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49

Parts 300 to 399


Revised as of October 1, 2007

Transportation

Containing a codification of documents


of general applicability and future effect

As of October 1, 2007

With Ancillaries

Published by
Office of the Federal Register
National Archives and Records
Administration

A Special Edition of the Federal Register


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Use of ISBN Prefix


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Table of Contents
Page
Explanation ................................................................................................ v

Title 49:

Subtitle B—Other Regulations Relating to Transportation (Contin-


ued)

Chapter III—Federal Motor Carrier Safety Administration, De-


partment of Transportation ........................................................ 5

Finding Aids:

Material Approved for Incorporation by Reference ............................ 529

Table of CFR Titles and Chapters ....................................................... 531

Alphabetical List of Agencies Appearing in the CFR ......................... 549

Redesignation Table ............................................................................ 559

List of CFR Sections Affected ............................................................. 561


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Cite this Code: CFR

To cite the regulations in


this volume use title,
part and section num-
ber. Thus, 49 CFR 303.1
refers to title 49, part
303, section 1.
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Explanation
The Code of Federal Regulations is a codification of the general and permanent
rules published in the Federal Register by the Executive departments and agen-
cies of the Federal Government. The Code is divided into 50 titles which represent
broad areas subject to Federal regulation. Each title is divided into chapters
which usually bear the name of the issuing agency. Each chapter is further sub-
divided into parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year and issued
on a quarterly basis approximately as follows:
Title 1 through Title 16..............................................................as of January 1
Title 17 through Title 27 .................................................................as of April 1
Title 28 through Title 41 ..................................................................as of July 1
Title 42 through Title 50 .............................................................as of October 1
The appropriate revision date is printed on the cover of each volume.
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The contents of the Federal Register are required to be judicially noticed (44
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The Code of Federal Regulations is kept up to date by the individual issues
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The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agencies
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Many agencies have begun publishing numerous OMB control numbers as amend-
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Provisions that become obsolete before the revision date stated on the cover
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effect on a given date in the past by using the appropriate numerical list of
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Sections Affected’’ is published at the end of each CFR volume.
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What is incorporation by reference? Incorporation by reference was established
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552(a)). This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the Federal Register
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(a) The incorporation will substantially reduce the volume of material pub-
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Properly approved incorporations by reference in this volume are listed in the
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ister.
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A List of CFR Sections Affected (LSA) is published monthly, keyed to the


revision dates of the 50 CFR titles.

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REPUBLICATION OF MATERIAL
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RAYMOND A. MOSLEY,
Director,
Office of the Federal Register.
October 1, 2007.
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THIS TITLE

Title 49—TRANSPORTATION is composed of nine volumes. The parts in these vol-


umes are arranged in the following order: Parts 1–99, parts 100–185, parts 186–
199, parts 200–299, parts 300–399, parts 400–599, parts 600–999, parts 1000–1199, 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 100–185) and the third volume (parts 186–199) contain the current regula-
tions issued under chapter I—Pipeline and Hazardous Materials Safety Adminis-
tration (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 400–599) con-
tains the current regulations issued under chapter IV—Coast Guard (DHS), chap-
ter V—National Highway Traffic Safety Administration (DOT); the seventh vol-
ume (parts 600–999) contains the current regulations issued under chapter VI—
Federal Transit Administration (DOT), chapter VII—National Railroad Passenger
Corporation (AMTRAK), and chapter VIII—National Transportation Safety
Board; the eighth volume (parts 1000–1199) contains the current regulations issued
under chapter X—Surface Transportation Board and the ninth volume (part 1200
to End) contains the current regulations issued under chapter X—Surface Trans-
portation Board, chapter XI—Research and Innovative Technology Administra-
tion, and chapter XII—Transportation Security Administration, Department of
Transportation. The contents of these volumes represent all current regulations
codified under this title of the CFR as of October 1, 2007.

In the volume containing parts 100–185, see § 172.101 for the Hazardous Materials
Table. The Federal Motor Vehicle Safety Standards appear in part 571.

Redesignation tables for chapter III—Federal Motor Carrier Safety Administra-


tion, Department of Transportation and chapter XII—Transportation Security
Administration, Department of Transportation appear in the Finding Aids sec-
tion of the fifth and ninth volumes.

For this volume Robert J. Sheehan, was Chief Editor. The Code of Federal
Regulations publication program is under the direction of Michael L. White, as-
sisted by Ann Worley.
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Title 49—Transportation
(This book contains parts 300 to 399)

Part

SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION


(CONTINUED)

CHAPTER III—Federal Motor Carrier Safety Administration,


Department of Transportation ........................................... 301

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Subtitle B—Other Regulations
Relating to Transportation
(Continued)

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

EDITORIAL NOTE: For nomenclature changes to chapter III see 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
301 [Reserved]
303 Civil Rights ............................................................. 7
325 Compliance with interstate motor carrier noise
emission standards ............................................... 7
SUBCHAPTER B—FEDERAL MOTOR CARRIER SAFETY REGULATIONS

350 Commercial motor carrier safety assistance pro-


gram ..................................................................... 19
355 Compatibility of State laws and regulations affect-
ing interstate motor carrier operations ............... 33
356 Motor carrier routing regulations ........................... 36
360 Fees for motor carrier registration and insurance .. 37
365 Rules governing applications for operating author-
ity ........................................................................ 41
366 Designation of process agent ................................... 52
367 Standards for registration with States ................... 53
368 Application for a certificate of registration to op-
erate in municipalities in the United States on
the United States-Mexico international border or
within the commercial zones of such municipali-
ties ....................................................................... 58
369 Reports of motor carriers ........................................ 60
370 Principles and practices for the investigation and
voluntary disposition of loss and damage claims
and processing salvage ......................................... 66
371 Brokers of property ................................................. 69
372 Exemptions, commercial zones, and terminal areas 70
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373 Receipts and bills .................................................... 84


374 Passenger carrier regulations ................................. 85

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SUBCHAPTER A—GENERAL REGULATIONS

PART 301 [RESERVED] PART 325—COMPLIANCE WITH


INTERSTATE MOTOR CARRIER
PART 303—CIVIL RIGHTS NOISE EMISSION STANDARDS
Sec. Subpart A—General Provisions
303.1 Purpose.
Sec.
303.3 Application of this part. 325.1 Scope of the rules in this part.
AUTHORITY: Public Law 105–159, 113 Stat. 325.3 Effective date.
1748, Title I, sections 107(a) and 106 (Dec. 9, 325.5 Definitions.
1999) (49 U.S.C. 113); 42 U.S.C. 2000d, et seq.; 325.7 Allowable noise levels.
and 49 CFR 1.73. 325.9 Measurement tolerances.

SOURCE: 70 FR 7414, Feb. 14, 2005, unless Subpart B—Administrative Provisions


otherwise noted.
325.11 Issuance, amendment, and revocation
§ 303.1 Purpose. of the rules in this part.
325.13 Inspection and examination of motor
The purpose of this part is to provide vehicles.
guidelines and procedures for imple-
menting the Federal Motor Carrier Subpart C—Instrumentation
Safety Administration’s (FMCSA)
325.21 Scope of the rules in this subpart.
Title VI program under Title VI of the 325.23 Type of measurement systems which
Civil Rights Act of 1964 and related may be used.
civil rights laws and regulations. For 325.25 Calibration of measurement systems.
FMCSA-only programs or activities, 325.27 Use of a windscreen.
Federal financial assistance recipients
or grantees will continue to apply and Subpart D—Measurement of Noise
use the Departmental Title VI provi- Emissions; Highway Operations
sions at 49 CFR part 21. For joint and 325.31 Scope of the rules in this subpart.
multi-agency programs/projects, 325.33 Site characteristics; highway oper-
FMCSA Federal assistance recipients ations.
or grantees must use the Title VI re- 325.35 Ambient conditions; highway oper-
ations.
quirements at 49 CFR part 21, unless 325.37 Location and operation of sound level
agreement is reached by the Federal measurement system; highway oper-
funding agencies for the recipients to ations.
use the Title VI procedures of another 325.39 Measurement procedure; highway op-
agency. erations.

§ 303.3 Application of this part. Subpart E—Measurement of Noise


Emissions; Stationary Test
The provisions of this part are appli-
cable to all elements of the FMCSA 325.51 Scope of the rules in this subpart.
and to any program or activity for 325.53 Site characteristics; stationary test.
which Federal financial assistance is 325.55 Ambient conditions; stationary test.
325.57 Location and operation of sound level
authorized under a law administered by measurement systems; stationary test.
the FMCSA. This part provides Title 325.59 Measurement procedure; stationary
VI guidelines for State Departments of test.
Transportation and local State agen-
cies, including their sub-recipients, to Subpart F—Correction Factors
implement Title VI. It also applies to 325.71 Scope of the rules in this subpart.
money paid, property transferred, or 325.73 Microphone distance correction fac-
other Federal financial assistance ex- tors.
tended under any program of the 325.75 Ground surface correction factors.
325.77 Computation of open site require-
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FMCSA after the date of this part.


ments—nonstandard sites.
325.79 Application of correction factors.

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§ 325.1 49 CFR Ch. III (10–1–07 Edition)

Subpart G—Exhaust Systems and Tires wise valid noise measurement. Exam-
ples of that type of auxiliary equip-
325.91 Exhaust systems.
325.93 Tires.
ment include, but are not limited to,
cranes, asphalt, spreaders, ditch dig-
AUTHORITY: 42 U.S.C. 4917; 49 U.S.C. 301; 49 gers, liquid or slurry pumps, auxiliary
CFR 1.73.
air compressors, welders, and trash
SOURCE: 40 FR 42437, Sept. 12, 1975, unless compactors.
otherwise noted.
EDITORIAL NOTE: Nomenclature changes to § 325.3 Effective date.
part 325 appear at 66 FR 49869, Oct. 1, 2001. The rules in this part are effective on
October 15, 1975.
Subpart A—General Provisions
§ 325.5 Definitions.
§ 325.1 Scope of the rules in this part.
(a) Statutory definitions. All terms de-
(a) The rules in this part prescribe fined in the Noise Control Act of 1972
procedures for inspection, surveillance, (Pub. L. 92–574, 86 Stat. 1234) are used
and measurement of motor vehicles as they are defined in that Act.
and motor vehicle equipment operated (b) Definitions in standards. All terms
by motor carriers to determine wheth- defined in § 202.10 of the Interstate
er those vehicles and that equipment Motor Carrier Noise Emission Stand-
conform to the Interstate Motor Car- ards, 40 CFR 202.10, are used as they are
rier Noise Emission Standards of the defined in that section.
Environmental Protection Agency, 40
(c) Additional definitions. (1) Hard test
CFR part 202.
site means any test site having the
(b) Except as provided in paragraph
ground surface covered with concrete,
(c) of this section, the rules in this part
asphalt, packed dirt, gravel, or similar
apply to motor carriers engaged in
reflective material for more than 1⁄2 the
interstate commerce. The rules apply
distance between the microphone tar-
at any time or under any condition of
get point and the microphone location
highway grade, load, acceleration or
point.
deceleration.
(c) The rules in this part do not apply (2) Soft test site means any test site
to— having the ground surface covered with
(1) A motor vehicle that has a Gross grass, other ground cover, or similar
Vehicle Weight Rating (GVWR) of absorptive material for 1⁄2 or more of
10,000 pounds (4,536 kg.) or less; the distance between the microphone
(2) A combination of motor vehicles target point and the microphone loca-
that has a Gross Combination Weight tion point.
Rating (GCWR) of 10,000 pounds (4,536 (3) Ground cover means any of various
kg.) or less; low, dense-growing plants, such as ivy,
(3) The sound generated by a warning myrtle, low weeds, or brush.
device, such as a horn or siren, in- (4) Traffic railing means any longitu-
stalled in a motor vehicle, unless such dinal highway traffic barrier system
device is intentionally sounded in order installed along the side or median of a
to preclude an otherwise valid noise highway. For the purpose of this part,
emission measurement; a traffic railing must have at least 35
(4) An emergency motor vehicle, such percent of its vertical height, from the
as a fire engine, an ambulance, a police ground surface to the top of the rail-
van, or a rescue van, when it is re- ing, open to free space in order to qual-
sponding to an emergency call; ify as an acceptable object within a
(5) A snow plow in operation; or noise measurement test site. Further,
(6) The sound generated by auxiliary for the purposes of this part, posts or
equipment which is normally operated other discrete supports shall be ignored
only when the motor vehicle on which when ascertaining open free space.
it is installed is stopped or is operating (5) Relatively flat when used to de-
at a speed of 5 miles per hour (8 kph) or scribe a noise measurement site means
less, unless such device is intentionally a site which does not contain signifi-
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operated at speeds greater than 5 mph cant concave curvatures or slope rever-
(8 kph) in order to preclude an other- sals that may result in the focusing of

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Federal Motor Carrier Safety Administration, DOT § 325.13

sound waves toward the microphone lo- § 325.7 Allowable noise levels.
cation point. Motor vehicle noise emissions, when
measured according to the rules of this
part, shall not exceed the values speci-
fied in Table 1.
TABLE 1—MAXIMUM PERMISSIBLE SOUND LEVEL READINGS (DECIBEL (A)) 1,2
Highway operation test Stationary tests

Soft site Hard Site


Soft site Hard site
35 mi/h Above 35 35 mi/h Above 35
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
(10.7m) .................................................... 87 91 89 93 89 91
35 ft (10.7m) or more but less than 39 ft
(11.9m) .................................................... 86 90 88 92 88 90
39 ft (11.9m) or more but less than 43 ft
(13.1m) .................................................... 85 89 87 91 87 89
43 ft (13.1m) or more but less than 48 ft
(14.6m) .................................................... 84 88 86 90 86 88
48 ft (14.6m) or more but less than 58 ft
(17.1m) .................................................... 83 87 85 89 85 87
58 ft (17.1m) or more but less than 70 ft
(21.3m) .................................................... 82 86 84 88 84 86
70 ft (21.3m) or more but less than 83 ft
(25.3m) .................................................... 81 85 83 87 83 85
1 The speeds shown refer to measurements taken at sites having speed limits as indicated. These speed limits do not nec-
essarily 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]

§ 325.9 Measurement tolerances. Subpart B—Administrative


(a) Measurement tolerances will be Provisions
allowed to take into account the ef-
fects of the following factors: § 325.11 Issuance, amendment, and
revocation of the rules in this part.
(1) The consensus standard practice
of reporting filed sound level measure- The procedures specified in part 389
ments to the nearest whole decibel. of this chapter for the issuance, amend-
(2) Variations resulting from com- ment, or revocation of the Federal
mercial instrument tolerances. Motor Carrier Safety Regulations
(3) Variations resulting from the to- apply to rulemaking proceedings for
pography of the noise measurement the issuance, amendment, or revoca-
site. tion of the rules in this part.
(4) Variations resulting from atmos-
§ 325.13 Inspection and examination of
pheric conditions such as wind, ambi- motor vehicles.
ent temperature, and atmospheric pres-
sure. (a) Any special agent of the Federal
(5) Variations resulting from re- Motor Carrier Safety Administration
flected sound from small objects al- (designated in appendix B to sub-
lowed within the test site. chapter B of this chapter) is authorized
(6) The interpretation of the effects to inspect, examine, and test a motor
of the above cited factors by enforce- vehicle operated by a motor carrier in
ment personnel. accordance with the procedures speci-
(b) Measurement tolerances shall not fied in this part for the purpose of
exceed 2 decibels for a given measure- ascertaining whether the motor vehicle
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ment. and equipment installed on the motor


vehicle conforms to the Interstate

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§ 325.21 49 CFR Ch. III (10–1–07 Edition)

Motor Carrier Noise Emission Stand- on. Motor carriers must return Forms
ards of the Environmental Protection MCS–141 to the Division Office at the
Agency, 40 CFR part 202. address indicated on Form MCS–141
(b) A motor carrier, its officers, driv- within fifteen (15) days following the
ers, agents, and employees must, at date of the vehicle inspection.
any time, submit a motor vehicle used [40 FR 42437, Sept. 12, 1975, as amended at 41
in its operations for inspection, exam- FR 10226, Mar. 10, 1976; 54 FR 50385, Dec. 6,
ination, and testing for the purpose of 1989; 60 FR 38743, July 28, 1995; 66 FR 49869,
ascertaining whether the motor vehicle Oct. 1, 2001]
and equipment installed on it conforms
to the Interstate Motor Carrier Noise Subpart C—Instrumentation
Emission Standards of the Environ-
mental Protection Agency, 40 CFR part § 325.21 Scope of the rules in this sub-
202. part.
(c) Prescribed inspection report. Form The rules in this subpart specify cri-
MCS–141, Noise Level Compliance teria for sound level measurement sys-
Check shall be used to record findings tems which are used to make the sound
from motor vehicles selected for noise level measurements specified in sub-
emission inspection by authorized em- part D and subpart E of this part.
ployees.
(d) Motor carrier’s disposition of form § 325.23 Type of measurement systems
MCS–141. (1) The driver of any motor which may be used.
vehicle receiving a Form MCS–141 shall The sound level measurement system
deliver such MCS–141 to the motor car- must meet or exceed the requirements
rier operating the vehicle upon his/her of American National Standard Speci-
arrival at the next terminal or facility fication for Sound Level Meters (ANSI
of the motor carrier, if such arrival oc- S1.4–1971), approved April 27, 1971,
curs within twenty-four (24) hours. If issued by the American National
the driver does not arrive at a terminal Standards Institute, 1 throughout the
or facility of the motor carrier oper- applicable frequency range for either:
ating the vehicle within twenty-four (a) A Type 1 sound level meter;
(24) hours he/she shall immediately (b) A Type 2 sound level meter; or
mail the Form MCS–141 to the motor (c) A Type S sound level meter which
carrier. For operating convenience, has—
motor carriers may designate any (1) A weighing frequency response;
shop, terminal, facility, or person to (2) Fast dynamic characteristics of
which it may instruct its drivers to de- its indicating instrument; and
liver or forward Form MCS–141. It shall (3) A relative response level tolerance
be the sole responsibility of the motor consistent with those of either a Type
carrier that Form MCS–141 is returned 1 or Type 2 sound level meter, as speci-
to the Federal Highway Administra- fied in section 3.2 of ANSI S1.4–1971.
tion, in accordance with the terms pre-
scribed thereon and in paragraphs (d) § 325.25 Calibration of measurement
(2) and (3) of this section. A driver, if systems.
himself/herself a motor carrier, shall (a)(1) The sound level measurement
return Form MCS–141 to the Federal system must be calibrated and appro-
Motor carrier Safety Administration , priately adjusted at one or more fre-
in accordance with the terms pre- quencies in the range from 250 to 1,000
scribed thereon and in paragraphs (d) Hz at the beginning of each series of
(2) and (3) of this section. measurements and at intervals of 5–15
(2) Motor carriers shall carefully ex- minutes thereafter, until it has been
amine Forms MCS–141. Appropriate determined that the sound level meas-
corrective action shall be taken on ve- urement system has not significantly
hicles found to be not in compliance drifted from its calibrated level. Once
with the requirements of this part.
(3) Motor carriers must complete the 1 Copies of the specification may be secured
‘‘Motor Carrier Certification of Action from the American National Standards Insti-
cprice-sewell on PROD1PC63 with CFR

Taken’’ on Form MCS–141 in accord- tute, 1430 Broadway, New York, New York,
ance with the terms prescribed there- 10018.

10

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Federal Motor Carrier Safety Administration, DOT § 325.33

this fact has been established, calibra- § 325.33 Site characteristics; highway
tions may be made at intervals once operations.
every hour. A significant drift shall be (a) Measurement shall be made at a
considered to have occurred if a 0.3 dB test site which is adjacent to, and in-
or more excursion is noted from the cludes a portion of, a traveled lane of a
system’s predetermined reference cali- public highway. A microphone target
bration level. In the case of systems point shall be established on the cen-
using displays with whole decibel in- terline of the traveled lane of the high-
crements, the operator may visually way, and a microphone location point
judge when the 0.3 dB drift has been shall be established on the ground sur-
met or exceeded. face not less than 31 feet (9.5 m) or
(2) The sound level measurement sys- more than 83 feet (25.3 m) from the
tem must be checked periodically by microphone target point and on a line
its manufacturer, a representative of that is perpendicular to the centerline
its manufacturer, or a person of equiv- of the traveled lane of the highway and
alent special competence to verify that that passes through the microphone
its accuracy meets the manufacturer’s target point. In the case of a standard
design criteria. test site, the microphone location
(b) An acoustical calibrator of the point is 50 feet (15.2 m) from the micro-
microphone coupler type designed for phone target point. Within the test site
the sound level measurement system in is a triangular measurement area. A
use shall be used to calibrate the sound plan view diagram of a standard test
level measurement system in accord- site, having an open site within a 50-
ance with paragraph (a) of this section. foot (15.2 m) radius of both the micro-
phone target point and the microphone
The calibration must meet or exceed
location point, is shown in Figure 1.
the accuracy requirements specified in
Measurements may be made at a test
section 5.4.1 of the American National
site having smaller or greater dimen-
Standard Institute Standard Methods sions in accordance with the rules in
for Measurements of Sound Pressure Lev- subpart F of this part.
els (ANSI S1.13–1971) for field method
measurements.
[40 FR 42437, Sept. 12, 1975, as amended at 41
FR 10227, Mar. 10, 1976]

§ 325.27 Use of a windscreen.


A properly installed windscreen, of
the type recommended by the manufac-
turer 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
§ 325.31 Scope of the rules in this sub-
part. (b) The test site must be an open site,
The rules in this subpart specify con- essentially free of large sound-reflect-
ditions and procedures for measure- ing objects. However, the following ob-
ment of the sound level generated by a jects may be within the test site, in-
motor vehicle engaged in a highway op- cluding the triangular measurement
area:
eration for the purpose of ascertaining
whether the motor vehicle conforms to (1) Small cylindrical objects such as
fire hydrants or telephone or utility
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the Standards for Highway Operations


poles.
set forth in 40 CFR 202.20.
(2) Rural mailboxes.

11
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§ 325.35 49 CFR Ch. III (10–1–07 Edition)

(3) Traffic railings of any type of con- response using a sound level measure-
struction except solid concrete barriers ment system that conforms to the
(see § 325.5(c)(4)). rules of § 325.23.
(4) One or more curbs having a (2) The measured ambient level must
vertical height of 1 foot (.3 m) or less. be 10 dB(A) or more below that level
(c) The following objects may be specified in § 325.7, Table 1, which cor-
within the test site if they are outside responds to the maximum permissible
of the triangular measurement area of sound level reading which is applicable
the site: at the test site at the time of testing.
(1) Any vertical surface (such as bill- (b) Wind. The wind velocity at the
board), regardless of size, having a test shall be measured at the beginning
lower edge more than 15 feet (4.6 m) of each series of noise measurements
higher than the surface of the traveled and at intervals of 5–15 minutes there-
lane of the highway. after until it has been established that
(2) Any uniformly smooth sloping the wind velocity is essentially con-
surface slanting away from the high- stant. Once this fact has been estab-
way (such as a rise in grade alongside lished, wind velocity measurements
the highway) with a slope that is less may be made at intervals of once every
than 45 degrees above the horizontal. hour. Noise measurements may only be
(3) Any surface slanting away from made if the measured wind velocity is
the highway that is 45 degrees or more 12 mph (19.3 kph) or less. Gust wind
and not more than 90 degrees above the measurements of up to 20 mph (33.2
horizontal, if all points on the surface kph) are allowed.
are more than 15 feet (4.6 m) above the (c) Precipitation. Measurements are
surface of the traveled lane of the high- prohibited under any condition of pre-
way. cipitation, however, measurements
(d) The surface of the ground within may be made with snow on the ground.
the measurement area must be rel- The ground surface within the meas-
atively flat (see § 325.5(c)(5)). The site urement area must be free of standing
shall be a ‘‘soft’’ test site. However, if water.
the site is determined to be ‘‘hard,’’ the
[40 FR 42437, Sept. 12, 1975, as amended at 41
correction factor specified in § 325.75(a)
FR 10227, Mar. 10, 1976; 41 FR 28267, July 9,
of this part shall be applied to the 1976]
measurement.
(e) The traveled lane of the highway § 325.37 Location and operation of
within the test site must be dry, paved sound level measurement system;
with relatively smooth concrete or as- highway operations.
phalt, and substantially free of— (a) The microphone of a sound level
(1) Holes or other defects which measurement system that conforms to
would cause a motor vehicle to emit ir- the rules in § 325.23 of this part shall be
regular tire, body, or chassis impact located at a height of not less than 2
noise; and feet (.6 m) nor more than 6 feet (1.8 M)
(2) Loose material, such as gravel or above the plane of the roadway surface
sand. and not less than 31⁄2 feet (1.1 m) above
(f) The traveled lane of the highway the surface on which the microphone
on which the microphone target point stands. The preferred microphone
is situated must not pass through a height on flat terrain is 4 feet (1.2 m).
tunnel or underpass located within 200 (b)(1) When the sound level measure-
feet (61 m) of that point. ment system is hand-held or is other-
[40 FR 42437, Sept. 12, 1975, as amended at 54 wise monitored by a person located
FR 50385, Dec. 6, 1989] near its microphone, the holder must
orient himself/herself relative to the
§ 325.35 Ambient conditions; highway highway in a manner consistent with
operations. the recommendation of the manufac-
(a)(1) Sound. The ambient A-weighted turer of the sound level measurement
sound level at the microphone location system.
point shall be measured, in the absence (2) In no case shall the holder or ob-
cprice-sewell on PROD1PC63 with CFR

of motor vehicle noise emanating from server be closer than 2 feet (.6 m) from
within the clear zone, with fast meter the system’s microphone, nor shall he/

12

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Federal Motor Carrier Safety Administration, DOT § 325.53

she locate himself/herself between the Subpart E—Measurement of Noise


microphone and the vehicle being Emissions; Stationary Test
measured.
(c) The microphone of the sound level § 325.51 Scope of the rules in this sub-
measurement system shall be oriented part.
toward the traveled lane of the high- (a) The rules in this subpart specify
way at the microphone target point at conditions and procedures for meas-
an angle that is consistent with the uring the sound level generated by a
recommendation of the system’s manu- vehicle when the vehicle’s engine is
facturer. If the manufacturer of the rapidly accelerated from idle to gov-
system does not recommend an angle erned speed at wide open throttle with
of orientation for its microphone, the the vehicle stationary, its transmission
microphone shall be oriented toward in neutral, and its clutch engaged, for
the highway at an angle of not less the purpose of ascertaining whether
than 70 degrees and not more than per- the motor vehicle conforms to the
pendicular to the horizontal plane of Standard for Operation Under Sta-
the traveled lane of the highway at the tionary Test, 40 CFR 202.21.
microphone target point. (b) The rules in this subpart apply
(d) The sound level measurement sys- only to a motor vehicle that is
tem shall be set to the A-weighting equipped with an engine speed gov-
network and ‘‘fast’’ meter response ernor.
mode. (c) Tests conducted in accordance
[40 FR 42437, Sept. 12, 1975, as amended at 41 with the rules of this subpart may be
FR 10227, Mar. 10, 1976] made on either side of the vehicle.

§ 325.39 Measurement procedure; high- § 325.53 Site characteristics; stationary


way operations. test.
(a) In accordance with the rules in (a)(1) The motor vehicle to be tested
this subpart, a measurement shall be shall be parked on the test site. A
made of the sound level generated by a microphone target point shall be estab-
motor vehicle operating through the lished on the ground surface of the site
measurement area on the traveled lane on the centerline of the lane in which
of the highway within the test site, re- the motor vehicle is parked at a point
gardless of the highway grade, load, ac- that is within 3 feet (.9 m) of the longi-
celeration or deceleration. tudinal position of the vehicle’s ex-
(b) The sound level generated by the haust system outlet(s). A microphone
motor vehicle is the highest reading location point shall be established on
observed on the sound level measure- the ground surface not less than 31 feet
ment system as the vehicle passes (9.5 m) and not more than 83 feet (25.3
through the measurement area, cor- m) from the microphone target point.
rected, when appropriate, in accord- Within the test site is a triangular
ance with the rules in subpart F of this measurement area. A plan view dia-
part. (Table 1 in § 325.7 lists the range gram of a standard test site, having an
of maximum permissible sound level open site within a 50-foot (15.2 m) ra-
readings for various test conditions.) dius of both the microphone target
The sound level of the vehicle being point and the microphone location
measured must be observed to rise at point, is shown in Figure 2.
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
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FR 10227, Mar. 10, 1976]

13

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§ 325.55 49 CFR Ch. III (10–1–07 Edition)

this part shall be applied to the meas-


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

§ 325.55 Ambient conditions; sta-


tionary 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 measure-
ment system that conforms to the
(2) Measurements may be made at a rules of § 325.23.
test site having smaller or greater di- (2) The measured ambient level must
mensions in accordance with the rules be 10 dB(A) or more below that level
in subpart F of this part. specified in § 325.7, Table 1, which cor-
(b) The test site must be an open site, responds to the maximum permissible
essentially free of large sound-reflect- sound level reading which is applicable
ing objects. However, the following ob- at the test site at the time of testing.
jects may be within the test site, in- (b) Wind. The wind velocity at the
cluding the triangular measurement test site shall be measured at the be-
area: ginning of each series of noise meas-
(1) Small cylindrical objects such as urements and at intervals of 5–15 min-
fire hydrants or telephone or utility utes thereafter until it has been estab-
poles. lished that the wind velocity is essen-
(2) Rural mailboxes. tially constant. Once this fact has been
(3) Traffic railings of any type of con- established, wind velocity measure-
struction except solid concrete barriers ments may be made at intervals of
(see § 325.5(c)(4)). once every hour. Noise measurements
(4) One or more curbs having a height may only be made if the measured wind
of 1 foot (.3 m) or less. velocity is 12 mph (19.3 kph) or less.
(c) The following objects may be Gust wind measurements of up to 20
within the test site if they are outside mph (33.2 kph) are allowed.
of the triangular measurement area of (c) Precipitation. Measurements are
the site: prohibited under any conditions of pre-
(1) Any vertical surface, regardless of cipitation, however, measurements
size (such as a billboard), having a may be made with snow on the ground.
lower edge more than 15 feet (4.6 m) The ground within the measurement
above the ground. area must be free of standing water.
(2) Any uniformly smooth surface [40 FR 42437, Sept. 12, 1975, as amended at 41
slanting away from the vehicle with a FR 28267, July 9, 1976]
slope that is less than 45 degrees above
the horizontal. § 325.57 Location and operation of
(3) Any surface slanting away from sound level measurement systems;
the vehicle that is 45 degrees or more stationary test.
and not more than 90 degrees above the (a) The microphone of a sound level
horizontal, if all points on the surface measurement system that conforms to
are more than 15 feet (4.6 m) above the the rules in § 325.23 shall be located at
surface of the ground in the test site. a height of not less than 2 feet (.6 m)
(d) The surface of the ground within nor more than 6 feet (1.8 m) above the
the measurement area must be rel- plane of the roadway surface and not
atively flat. (See § 325.5(c)(5)). The site less than 31⁄2 feet (1.1 m) above the sur-
shall be a ‘‘hard’’ site. However, if the face on which the microphone stands.
cprice-sewell on PROD1PC63 with CFR

site is determined to be ‘‘soft,’’ the cor- The preferred microphone height on


rection factor specified in § 325.75(b) of flat terrain is 4 feet (1.2 m).

14
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Federal Motor Carrier Safety Administration, DOT § 325.59

(b) When the sound level measure- (c) If the motor vehicle’s engine radi-
ment system is hand-held or otherwise ator fan drive is equipped with a clutch
monitored by a person located near its or similar device that automatically
microphone, the holder must orient either reduces the rotational speed of
himself/herself relative to the highway the fan or completely disengages the
in a manner consistent with the rec- fan from its power source in response
ommendation of the manufacturer of to reduced engine cooling loads, park
the sound level measurement system. the vehicle before testing with its en-
In no case shall the holder or observer gine running at high idle or any other
be closer than 2 feet (.6 m) from the speed the operator may choose, for suf-
system’s microphone, nor shall he/she ficient time but not more than 10 min-
locate himself/herself between the utes, to permit the engine radiator fan
microphone and the vehicle being
to automatically disengage when the
measured.
vehicle’s noise emissions are measured
(c) The microphone of the sound level
under stationary test.
measurement system shall be oriented
toward the vehicle at an angle that is (d) With the motor vehicle’s trans-
consistent with the recommendation of mission in neutral and its clutch en-
the system’s manufacturer. If the man- gaged, rapidly accelerate the vehicle’s
ufacturer of the system does not rec- engine from idle to its maximum gov-
ommend an angle of orientation for its erned speed with wide open throttle.
microphone, the microphone shall be Return the engine’s speed to idle.
oriented at an angle of not less than 70 (e) Observe the maximum reading on
degrees and not more than perpen- the sound level measurement system
dicular to the horizontal plane of the during the time the procedures speci-
test site at the microphone target fied in paragraph (d) of this section are
point. followed. Record that reading, if the
(d) The sound level measurement sys- reading has not been influenced by ex-
tem shall be set to the A-weighting traneous noise sources such as motor
network and ‘‘fast’’ meter response vehicles operating on adjacent road-
mode. ways.
[40 FR 42437, Sept. 12, 1975, as amended at 41 (f) Repeat the procedures specified in
FR 10227, Mar. 10, 1976] paragraphs (d) and (e) of this section
until the first two maximum sound
§ 325.59 Measurement procedure; sta- level readings that are within 2 dB(A)
tionary test. of each other are recorded. Numeri-
In accordance with the rules in this cally average those two maximum
subpart, a measurement shall be made sound level readings. When appro-
of the sound level generated by a sta- priate, correct the average figure in ac-
tionary motor vehicle as follows: cordance with the rules in subpart F of
(a) Park the motor vehicle on the this part.
test site as specified in § 325.53 of this (g) The average figure, corrected as
subpart. If the motor vehicle is a com- appropriate, contained in accordance
bination (articulated) vehicle, park the with paragraph (f) of this section, is
combination so that the longitudinal the sound level generated by the motor
centerlines of the towing vehicle and vehicle for the purpose of determining
the towed vehicle or vehicles are in whether it conforms to the Standard
substantial alinement. for Operation Under Stationary Test,
(b) Turn off all auxiliary equipment 40 CFR 202.21. (Table 1 in § 325.7 lists
which is installed on the motor vehicle the range of maximum permissible
and which is designed to operate under sound level readings for various test
normal conditions only when the vehi- conditions.)
cle is operating at a speed of 5 mph (8
kph) or less. Examples of such equip- [40 FR 42437, Sept. 12, 1975, as amended at 41
ment include cranes, asphalt spreaders, FR 10226, Mar. 10, 1976]
liquid or slurry pumps, auxiliary air
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compressors, welders, and trash com-


pactors.

15

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§ 325.71 49 CFR Ch. III (10–1–07 Edition)

Subpart F—Correction Factors TABLE 2—DISTANCE CORRECTION FACTORS—


Continued
§ 325.71 Scope of the rules in this sub-
part. The value
dB(A) to
(a) The rules in this subpart specify be applied
If the distance between the microphone location to the ob-
correction factors which are added to, point and the microphone target point is served
or subtracted from, the reading of the sound
level read-
sound level generated by a motor vehi- ing is—
cle, as displayed on a sound level meas-
58 feet (17.7 m) or more but less than 70 feet
urement system, during the measure- (21.3 m) ............................................................ +1
ment of the motor vehicle’s sound level 70 feet (21.3 m) or more but less than 83 feet
emissions at a test site which is not a (25.3 m) ............................................................ +2
standard site.
(b) The purpose of adding or sub- [40 FR 42437, Sept. 12, 1975, as amended at 54
tracting a correction factor is to FR 50385, Dec. 6, 1989]
equate the sound level reading actually
generated by the motor vehicle to the § 325.75 Ground surface correction fac-
sound level reading it would have gen- tors. 1
erated if the measurement had been (a) Highway operations. When meas-
made at a standard test site. urements are made in accordance with
the rules in subpart D of this part upon
§ 325.73 Microphone distance correc-
tion factors. 1 a test site which is ‘‘hard,’’ a correc-
tion factor of 2 dB(A) shall be sub-
If the distance between the micro- tracted from the maximum observed
phone location point and the micro- sound level reading generated by the
phone target point is other than 50 feet motor vehicle to determine whether
(15.2 m), the maximum observed sound the motor vehicle conforms to the
level reading generated by the motor Standards for Highway Operations, 40
vehicle in accordance with § 325.39 of CFR 202.20.
this part or the numerical average of (b) Stationary Test. When measure-
the recorded maximum observed sound ments are made in accordance with the
level readings generated by the motor rules in subpart E of this part upon a
vehicle in accordance with § 325.59 of test site which is ‘‘soft,’’ a correction
this part shall be corrected as specified
factor of 2 dB(A) shall be added to the
in the following table:
numerical average of the recorded
TABLE 2—DISTANCE CORRECTION FACTORS maximum observed sound level read-
ings generated by the motor vehicle to
The value determine whether the motor vehicle
dB(A) to
be applied conforms to the Standard for Operation
If the distance between the microphone location to the ob- Under Stationary Test, 40 CFR 202.21.
point and the microphone target point is served
sound
level read- § 325.77 Computation of open site re-
ing is— quirements—nonstandard sites.
31 feet (9.5 m) or more but less than 35 feet (a) If the distance between the micro-
(10.7 m) ............................................................ ¥4 phone location point and the micro-
35 feet (10.7 m) or more but less than 39 feet
(11.9 m) ............................................................ ¥3 phone target point is other than 50 feet
39 feet (11.9 m) or more but less than 43 feet (15.2 m), the test site must be an open
(13.1 m) ............................................................ ¥2 site within a radius from both points
43 feet (13.1 m) or more but less than 48 feet
(14.6 m) ............................................................ ¥1
which is equal to the distance between
48 feet (14.6 m) or more but less than 58 feet the microphone location point and the
(17.7 m) ............................................................ 0 microphone target point.

1 Table 1, in § 325.7 is a tabulation of the 1 Table 1, in § 325.7 is a tabulation of the

maximum allowable sound level readings maximum allowable sound level readings
taking into account both the distance cor- taking into account both the distance cor-
rection factors contained in § 325.73 and the rection factors contained in § 325.73 and the
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ground surface correction factors contained ground surface correction factors contained
in § 325.75. in § 325.75.

16

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Federal Motor Carrier Safety Administration, DOT § 325.91

(b) Plan view diagrams of non- § 325.79 Application of correction fac-


standard test sites are shown in Fig- tors.
ures 3 and 4. Figure 3 illustrates a test (a) If two correction factors apply to
site which is larger than a standard a measurement they are applied cumu-
test site and is based upon a 60-foot latively.
(18.3 m) distance between the micro- (b) The following examples illustrate
phone location point and the micro- the application of correction factors to
phone target point. (See § 325.79(b)(1) sound level measurement readings:
for an example of the application of the (1) Example 1—Highway operations. As-
correction factor to a sound level read- sume that a motor vehicle generates a
ing obtained at such a site.) Figure 4 il- maximum observed sound level reading
lustrates a test site which is smaller of 86 dB(A) during a measurement in
than a standard test site and is based accordance with the rules in subpart D
upon a 35-foot (10.7 m) distance be- of this part. Assume also that the dis-
tween the microphone location point tance between the microphone location
point and the microphone target point
and the microphone target point. (See
is 60 feet (18.3 m) and that the measure-
§ 325.79(b)(2) for an example of the ap-
ment area of the test site is acous-
plication of the correction factor to a tically ‘‘hard.’’ The corrected sound
sound level reading obtained at such a level generated by the motor vehicle
site.) would be 85 dB(A), calculated as fol-
lows:
86 dB(A) Uncorrected reading
+1 dB(A) Distance correction factor
¥2 dB(A) Ground surface correction factor
lllll
85 dB(A) Corrected reading
(2) Example 2—Stationary test. Assume
that a motor vehicle generates max-
imum sound level readings which aver-
age 88 dB(A) during a measurement in
accordance with the rules in subpart E
of this part. Assume also that the dis-
tance between the microphone location
point and the microphone target point
is 35 feet (10.7 m), and that the meas-
urement area of the test site is acous-
tically ‘‘soft.’’ The corrected sound
level generated by the motor vehicle
would be 87 dB(A), calculated as fol-
lows:
88 dB(A) Uncorrected average of readings
¥3 dB(A) Distance correction factor
+2 dB(A) Ground surface correction factor
lllll
87 dB(A) Corrected reading

Subpart G—Exhaust Systems and


Tires
§ 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 Emis-
sion Standards, if inspection of the ex-
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EC01AP91.013</GPH>

haust system of the motor vehicle dis-


closes that the system—

17
EC01AP91.012</GPH>

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§ 325.93 49 CFR Ch. III (10–1–07 Edition)

(a) Has a defect which adversely af- type specified in that paragraph, if the
fects sound reduction, such as exhaust motor carrier who operates the motor
gas leaks or alteration or deterioration vehicle demonstrates to the satisfac-
of muffler elements, (small traces of tion of the Administrator or his/her
soot on flexible exhaust pipe sections designee that either—
shall not constitute a violation of this (1) The tire did not have that type of
subpart); tread pattern when it was originally
(b) Is not equipped with either a muf- manufactured or newly remanufac-
fler or other noise dissipative device, tured; or
such as a turbocharger (supercharger (2) The motor vehicle generates a
driven by exhaust gases); or maximum sound level reading of 90
(c) Is equipped with a cut-out, by- dB(A) or less when measured at a
pass, or similar device, unless such de- standard test site for highway oper-
vice is designed as an exhaust gas driv- ations at a distance of 15.3 meters (50
en cargo unloading system. feet) and under the following condi-
tions:
§ 325.93 Tires. (i) The measurement must be made
(a) Except as provided in paragraph at a time and place and under condi-
(b) of this section, a motor vehicle does tions specified by the Administrator or
not conform to the visual tire inspec- his/her designee.
tion requirements, 40 CFR 202.23, of the (ii) The motor vehicle must be oper-
Interstate Motor Carrier Noise Emis- ated on the same tires that were in-
sions Standards, if inspection of any stalled on it when the inspection speci-
tire on which the vehicle is operating fied in paragraph (a) of this section oc-
discloses that the tire has a tread pat- curred.
tern composed primarily of cavities in (iii) The motor vehicle must be oper-
the tread (excluding sipes and local ated on a highway having a posted
chunking) which are not vented by speed limit of more than 56.3 kph (35
grooves to the tire shoulder or circum- mph).
ferentially to each other around the (iv) The sound level measurement
tire. must be made while the motor vehicle
(b) Paragraph (a) of this section does is operating at the posted speed limit.
not apply to a motor vehicle operated [40 FR 42437, Sept. 12, 1975, as amended at 60
on a tire having a tread pattern of the FR 38743, July 28, 1995]
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SUBCHAPTER B—FEDERAL MOTOR CARRIER SAFETY
REGULATIONS

PART 350—COMMERCIAL MOTOR 350.321 How may a State or local agency


qualify for High Priority or New Entrant
CARRIER SAFETY ASSISTANCE Funds?
PROGRAM 350.323 What criteria are used in the Basic
Program Funds allocation?
Subpart A—General 350.325 [Reserved]
350.327 How may States qualify for Incen-
Sec. tive Funds?
350.101 What is the Motor Carrier Safety As-
350.329 How may a State or a local agency
sistance Program (MCSAP)?
qualify for High Priority or Border Ac-
350.103 What is the purpose of this part?
tivity Funds?
350.105 What definitions are used in this
part? 350.331 How does a State ensure its laws and
350.107 What jurisdictions are eligible for regulations are compatible with the
MCSAP funding? FMCSRs and HMRs?
350.109 What are the national program ele- 350.333 What are the guidelines for the com-
ments? patibility review?
350.111 What constitutes traffic enforce- 350.335 What are the consequences if my
ment for the purpose of the MCSAP? State has laws or regulations incompat-
ible with the Federal regulations?
Subpart B—Requirements for Participation 350.337 How may State laws and regulations
governing motor carriers, CMV drivers,
350.201 What conditions must a State meet and CMVs in interstate commerce differ
to qualify for Basic Program Funds? from the FMCSRs and still be considered
350.203 [Reserved] compatible?
350.205 How and when does a State apply for 350.339 What are tolerance guidelines?
MCSAP funding? 350.341 What specific variances from the
350.207 What response does a State receive FMCSRs are allowed for State laws and
to its CVSP submission? regulations governing motor carriers,
350.209 How does a State demonstrate that CMV drivers, and CMVs engaged in intra-
it satisfies the conditions for Basic Pro- state commerce and not subject to Fed-
gram funding? eral jurisdiction?
350.211 What is the format of the certifi- 350.343 How may a State obtain a new ex-
cation required by § 350.209? emption for State laws and regulations
350.213 What must a State CVSP include? for a specific industry involved in intra-
350.215 What are the consequences for a state commerce?
State that fails to perform according to 350.345 How does a State apply for addi-
an approved CVSP or otherwise fails to tional variances from the FMCSRs?
meet the conditions of this part?
AUTHORITY: 49 U.S.C. 13902, 31100–31104,
Subpart C—Funding 31108, 31136, 31140–31141, 31144, 31161, 31310–
31311, 31502; and 49 CFR 1.73.
350.301 What level of effort must a State
maintain to qualify for MCSAP funding? SOURCE: 65 FR 15102, Mar. 21, 2000, unless
350.303 What are the State and Federal otherwise noted.
shares of expenses incurred under an ap-
proved CVSP? Subpart A—General
350.305 Are U.S. Territories subject to the
matching funds requirement? § 350.101 What is the Motor Carrier
350.307 How long are MCSAP funds available Safety Assistance Program
to a State? (MCSAP)?
350.309 What activities are eligible for reim-
bursement under the MCSAP? The MCSAP is a Federal grant pro-
350.311 What specific items are eligible for gram that provides financial assistance
reimbursement under the MCSAP? to States to reduce the number and se-
350.313 How are MCSAP funds allocated? verity of accidents and hazardous ma-
350.315 How may Basic Program Funds be
terials incidents involving commercial
used?
350.317 What are Incentive Funds and how motor vehicles (CMV). The goal of the
may they be used? MCSAP is to reduce CMV-involved ac-
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350.319 What are permissible uses of High cidents, fatalities, and injuries through
Priority Activity Funds? consistent, uniform, and effective CMV

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§ 350.103 49 CFR Ch. III (10–1–07 Edition)

safety programs. Investing grant mon- Basic Program Funds means the total
ies in appropriate safety programs will MCSAP funds less the High Priority
increase the likelihood that safety de- Activity, Border Activity, Administra-
fects, driver deficiencies, and unsafe tive Takedown, and Incentive Funds.
motor carrier practices will be de- Border Activity Funds means funds
tected and corrected before they be- provided to States, local governments,
come contributing factors to accidents. and other persons carrying out pro-
The MCSAP also sets forth the condi- grams, activities, and projects relating
tions for participation by States and to CMV safety and regulatory enforce-
local jurisdictions and promotes the ment supporting the North American
adoption and uniform enforcement of Free Trade Agreement (NAFTA) at the
safety rules, regulations, and standards U.S. border. Up to 5 percent of total
compatible with the Federal Motor MCSAP funds are available for these
Carrier Safety Regulations (FMCSRs) activities.
and Federal Hazardous Material Regu- Commercial motor vehicle (CMV) means
lations (HMRs) for both interstate and a motor vehicle that has any of the fol-
intrastate motor carriers and drivers. lowing characteristics:
(1) A gross vehicle weight (GVW),
§ 350.103 What is the purpose of this gross vehicle weight rating (GVWR),
part?
gross combination weight (GCW), or
The purpose of this part is to ensure gross combination weight rating
the Federal Motor Carrier Safety Ad- (GCWR) of 4,537 kilograms (10,001
ministration (FMCSA), States, and pounds) or more.
other political jurisdictions work in (2) Regardless of weight, is designed
partnership to establish programs to or used to transport 16 or more pas-
improve motor carrier, CMV, and driv- sengers, including driver.
er safety to support a safe and efficient (3) Regardless of weight, is used in
transportation system. the transportation of hazardous mate-
rials and is required to be placarded
§ 350.105 What definitions are used in pursuant to 49 CFR part 172, subpart F.
this part?
Commercial vehicle safety plan (CVSP)
10-year average accident rate means for means the document outlining the
each State, the aggregate number of State’s CMV safety objectives, strate-
large truck-involved fatal crashes (as gies, activities and performance meas-
reported in the Fatality Analysis Re- ures.
porting System (FARS)) for a 10-year Compatible or Compatibility means
period divided by the aggregate vehicle State laws and regulations applicable
miles traveled (VMT) (as defined by the to interstate commerce and to intra-
Federal Motor Carrier Safety Adminis- state movement of hazardous materials
tration (FMCSA) ) for the same 10-year are identical to the FMCSRs and the
period. HMRs or have the same effect as the
Accident rate means for each State, FMCSRs. State laws applicable to
the total number of fatal crashes in- intrastate commerce are either iden-
volving large trucks (as measured by tical to, or have the same effect as, the
the FARS for each State) divided by FMCSRs or fall within the established
the total VMT as defined by the limited variances under § 350.341.
FMCSA for each State for all vehicles. High Priority Activity Funds means
Agency means Federal Motor Carrier funds provided for carrying out high-
Safety Administration. priority activities and projects that
Administrative Takedown Funds means improve CMV safety and compliance
funds deducted by the FMCSA each fis- with CMV safety regulations (including
cal year from the amount made avail- activities and projects that are na-
able for the MCSAP for expenses in- tional in scope), increase public aware-
curred in the administration of the ness and education, demonstrate new
MCSAP, including expenses to train technologies, and reduce the number
State and local government employees. and rate of accidents involving CMVs.
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Administrator means Federal Motor Incentive Funds means funds awarded


Carrier Safety Administrator. to States achieving reductions in CMV

20

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Federal Motor Carrier Safety Administration, DOT § 350.201

involved fatal accidents, CMV fatal ac- (a) Driver/vehicle inspections.


cident rate, or meeting specified CMV (b) Traffic enforcement.
safety program performance criteria. (c) Compliance reviews.
Large truck means a truck over 10,000 (d) Public education and awareness.
pounds gross vehicle weight rating in- (e) Data collection.
cluding single unit trucks and truck
tractors (FARS definition). § 350.111 What constitutes traffic en-
Motor carrier means a for-hire motor forcement for the purpose of the
MCSAP?
carrier or private motor carrier. The
term includes a motor carrier’s agents, Traffic enforcement means enforce-
officers, or representatives responsible ment activities of State or local offi-
for hiring, supervising, training, as- cials, including the stopping of vehicles
signing, or dispatching a driver or con- operating on highways, streets, or
cerned with the installation, inspec- roads for moving violations of State or
tion, and maintenance of motor vehicle local motor vehicle or traffic laws (e.g.,
equipment or accessories or both. speeding, following too closely, reck-
New Entrant Funds means funds pro- less driving, improper lane changes).
vided to State and local governments [72 FR 36769, July 5, 2007]
to conduct safety audits on New En-
trant motor carriers under the New En- Subpart B—Requirements for
trant Safety Assurance Program.
North American Standard Inspection
Participation
means the methodology used by State § 350.201 What conditions must a State
CMV safety inspectors to conduct safe- meet to qualify for Basic Program
ty inspections of CMVs. This consists Funds?
of various levels of inspection of the Each State must meet the following
vehicle or driver or both. The inspec- twenty-two conditions:
tion criteria are developed by the (a) Assume responsibility for improv-
FMCSA in conjunction with the Com- ing motor carrier safety and adopting
mercial Vehicle Safety Alliance and enforcing State safety laws and
(CVSA), an association of States, Cana- regulations that are compatible with
dian Provinces, and Mexico whose the FMCSRs (49 CFR parts 390–397) and
members agree to adopt these stand- the HMRs (49 CFR parts 107 (subparts F
ards for inspecting CMVs in their juris- and G only), 171–173, 177, 178 and 180),
diction. except as may be determined by the
Operating authority means the reg- Administrator to be inapplicable to a
istration required by 49 U.S.C. 13902, 49 State enforcement program.
CFR part 365, 49 CFR part 368, and 49 (b) Implement performance-based ac-
CFR 392.9a. tivities, including deployment of tech-
[65 FR 15102, Mar. 21, 2000, as amended at 71 nology to enhance the efficiency and
FR 50866, Aug. 28, 2006; 72 FR 36769, July 5, effectiveness of CMV safety programs.
2007] (c) Designate, in its State Certifi-
cation, the lead State agency respon-
§ 350.107 What jurisdictions are eligi- sible for implementing the CVSP.
ble for MCSAP funding? (d) Ensure that only agencies having
All of the States, the District of Co- the legal authority, resources, and
lumbia, the Commonwealth of Puerto qualified personnel necessary to en-
Rico, the Commonwealth of the North- force the FMCSRs and HMRs or com-
ern Mariana Islands, American Samoa, patible State laws or regulations are
Guam, and the Virgin Islands are eligi- assigned to perform functions in ac-
ble to receive MCSAP grants directly cordance with the approved CVSP.
from the FMCSA. For purposes of this (e) Allocate adequate funds for the
subpart, all references to ‘‘State’’ or administration of the CVSP including
‘‘States’’ include these jurisdictions. the enforcement of the FMCSRs,
HMRs, or compatible State laws or reg-
§ 350.109 What are the national pro- ulations.
gram elements? (f) Maintain the aggregate expendi-
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The national program elements in- ture of funds by the State and its polit-
clude the following five activities: ical subdivisions, exclusive of Federal

21

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§ 350.201 49 CFR Ch. III (10–1–07 Edition)

funds, for CMV safety programs eligi- ready roadside access to alcohol detec-
ble for funding under this part, at a tion and measuring equipment.
level at least equal to the average level (2) Activities aimed at providing an
of expenditure for the 3 full fiscal years appropriate level of training to MCSAP
beginning after October 1 of the year 5 personnel to recognize drivers impaired
years prior to the beginning of each by alcohol or controlled substances.
Government fiscal year. (3) Interdiction activities affecting
(g) Provide legal authority for a right the transportation of controlled sub-
of entry and inspection adequate to stances by CMV drivers and training on
carry out the CVSP. appropriate strategies for carrying out
(h) Prepare and submit to the those interdiction activities.
FMCSA, upon request, all reports re- (r) Enforce requirements relating to
quired in connection with the CVSP or the licensing of CMV drivers, including
other conditions of the grant. checking the status of commercial
(i) Adopt and use the reporting stand- drivers’ licenses (CDL).
ards and forms required by the FMCSA (s) Establish a program to ensure
to record work activities performed that accurate, complete, and timely
under the CVSP. motor carrier safety data are collected
(j) Require registrants of CMVs to de- and reported, and ensure the State’s
clare, at the time of registration, their participation in a national motor car-
knowledge of applicable FMCSRs, rier safety data correction system pre-
HMRs, or compatible State laws or reg- scribed by FMCSA.
ulations. (t)(1) Enforce registration (i.e., oper-
ating authority) requirements under 49
(k) Grant maximum reciprocity for
U.S.C. 13902, 49 CFR part 365, 49 CFR
inspections conducted under the North
part 368, and 49 CFR 392.9a by prohib-
American Standard Inspection through
iting the operation of (i.e., placing out
the use of a nationally accepted system
of service) any vehicle discovered to be
that allows ready identification of pre-
operating without the required oper-
viously inspected CMVs.
ating authority or beyond the scope of
(l) Conduct CMV size and weight en-
the motor carrier’s operating author-
forcement activities funded under this
ity.
program only to the extent those ac-
(2) Enforce financial responsibility
tivities do not diminish the effective-
requirements under 49 U.S.C. 13906,
ness of other CMV safety enforcement
31138, 31139, and 49 CFR part 387.
programs.
(u) Adopt and maintain consistent,
(m) Coordinate the CVSP, data col- effective, and reasonable sanctions for
lection and information systems, with violations of CMV, driver, and haz-
State highway safety programs under ardous materials regulations.
title 23 United States Code (U.S.C.). (v) Ensure that MCSAP agencies
(n) Ensure participation in have policies that stipulate roadside
SAFETYNET and other information inspections will be conducted at loca-
systems by all appropriate jurisdic- tions that are adequate to protect the
tions receiving funding under this sec- safety of drivers and enforcement per-
tion. sonnel.
(o) Ensure information is exchanged (w) Include in the training manual
with other States in a timely manner. for the licensing examination to drive
(p) Emphasize and improve enforce- a CMV and the training manual for the
ment of State and local traffic laws licensing examination to drive a non-
and regulations related to CMV safety. CMV information on best practices for
(q) Promote activities in support of driving safely in the vicinity of non-
the national program elements listed CMVs and CMVs.
in § 350.109, including the following (x) Conduct comprehensive and high-
three activities: ly visible traffic enforcement and CMV
(1) Activities aimed at removing im- safety inspection programs in high-risk
paired CMV drivers from the highways locations and corridors.
through adequate enforcement of re- (y) Except in the case of an imminent
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strictions on the use of alcohol and or obvious safety hazard, ensure that
controlled substances and by ensuring an inspection of a vehicle transporting

22

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Federal Motor Carrier Safety Administration, DOT § 350.211

passengers for a motor carrier of pas- supplement it with a copy of any State
sengers is conducted at a station, ter- law, regulation, or form pertaining to
minal, border maintenance facility, CMV safety adopted since the State’s
destination, or other location where a last certification that bears on the
motor carrier may make a planned items contained in § 350.201 of this sub-
stop. part.
[65 FR 15102, Mar. 21, 2000, as amended at 67 § 350.211 What is the format of the cer-
FR 55165, Aug. 28, 2002; 67 FR 61820, Oct. 2, tification required by § 350.209?
2002; 71 FR 50866, Aug. 28, 2006; 72 FR 36769,
July 5, 2007] The State’s certification must be
consistent with the following content:
§ 350.203 [Reserved]
I (name), (title), on behalf of the State (or
§ 350.205 How and when does a State Commonwealth) of (State), as requested by
apply for MCSAP funding? the Administrator as a condition of approval
of a grant under the authority of 49 U.S.C.
(a) The lead agency, designated by 31102, as amended, do hereby certify as fol-
the Governor, must submit the State’s lows:
CVSP to the Motor Carrier State Di- 1. The State has adopted commercial
rector, FMCSA, on or before August 1 motor carrier and highway hazardous mate-
of each year. rials safety rules and regulations that are
compatible with the FMCSRs and the HMRs.
(b) This deadline may, for good cause, 2. The State has designated (name of State
be extended by the State Director for a CMV safety agency) as the lead agency to ad-
period not to exceed 30 calendar days. minister the CVSP for the grant sought and
(c) For a State to receive funding, (names of agencies) to perform defined func-
the CVSP must be complete and in- tions under the plan. These agencies have
clude all required documents. the legal authority, resources, and qualified
personnel necessary to enforce the State’s
§ 350.207 What response does a State commercial motor carrier, driver, and high-
receive to its CVSP submission? way hazardous materials safety laws or regu-
lations.
(a) The FMCSA will notify the State, 3. The State will obligate the funds or re-
in writing, within 30 days of receipt of sources necessary to provide a matching
the CVSP whether: share to the Federal assistance provided in
(1) The plan is approved. the grant to administer the plan submitted
(2) Approval of the plan is withheld and to enforce the State’s commercial motor
because the CVSP does not meet the carrier safety, driver, and hazardous mate-
requirements of this part, or is not ade- rials laws or regulations in a manner con-
sistent with the approved plan.
quate to ensure effective enforcement
4. The laws of the State provide the State’s
of the FMCSRs and HMRs or compat- enforcement officials right of entry and in-
ible State laws and regulations. spection sufficient to carry out the purposes
(b) If approval is withheld, the State of the CVSP, as approved, and provide that
will have 30 days from the date of the the State will grant maximum reciprocity
notice to modify and resubmit the for inspections conducted pursuant to the
plan. North American Standard Inspection proce-
(c) Disapproval of a resubmitted plan dure, through the use of a nationally accept-
is final. ed system allowing ready identification of
previously inspected CMVs.
(d) Any State aggrieved by an ad-
5. The State requires that all reports relat-
verse decision under this section may ing to the program be submitted to the ap-
seek judicial review under 5 U.S.C. propriate State agency or agencies, and the
chapter 7. State will make these reports available, in a
timely manner, to the FMCSA on request.
§ 350.209 How does a State dem- 6. The State has uniform reporting require-
onstrate that it satisfies the condi- ments and uses FMCSA designated forms for
tions for Basic Program funding? record keeping, inspection, and other en-
(a) The Governor, the State’s Attor- forcement activities.
ney General, or other State official 7. The State has in effect a requirement
that registrants of CMVs declare their
specifically designated by the Gov- knowledge of the applicable Federal or State
ernor, must execute a State Certifi- CMV safety laws or regulations.
cation as described in § 350.211. 8. The State must maintain the average
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(b) The State must submit the State aggregate expenditure of the State and its
Certification along with its CVSP, and political subdivisions, exclusive of Federal

23

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§ 350.213 49 CFR Ch. III (10–1–07 Edition)
assistance and State matching funds, for covered to be operating without the required
CMV safety programs eligible for funding operating authority or beyond the scope of
under the Basic program at a level at least the motor carrier’s operating authority.
equal to the average level of expenditure for 18. The State will enforce the financial re-
the 3 full fiscal years beginning after October sponsibility requirements under 49 CFR part
1 of the year 5 years prior to the beginning 387 as applicable to CMVs subject to the pro-
of each Government fiscal year. These ex- visions of 49 CFR 392.9a.
penditures must cover at least the following 19. The State will include, in the training
four program areas, as applicable: manual for the licensing examination to
a. Motor carrier safety programs in accord- drive a non-CMV and the training manual for
ance with 49 CFR 350.109. the licensing examination to drive a CMV,
b. Size and weight enforcement programs information on best practices for safe driving
in accordance with 49 CFR 350.309(c)(1). in the vicinity of noncommercial and com-
c. Drug interdiction enforcement programs mercial motor vehicles.
in accordance with 49 CFR 350.309(c)(2). 20. The State will conduct comprehensive
d. Traffic safety programs in accordance and highly visible traffic enforcement and
with 49 CFR 350.309(d). CMV safety inspection programs in high-risk
9. The State will ensure that CMV size and locations and corridors.
weight enforcement activities funded with 21. The State will ensure that, except in
MCSAP funds will not diminish the effec- the case of an imminent or obvious safety
tiveness of other CMV safety enforcement hazard, an inspection of a vehicle trans-
programs. porting passengers for a motor carrier of pas-
10. The State will ensure that violation sengers is conducted at a station, terminal,
fines imposed and collected by the State are border crossing, maintenance facility, des-
consistent, effective, and equitable. tination, or other location where motor car-
11. The State will establish a program to riers may make planned stops.
provide FMCSA with accurate, complete,
Date lllllllllllllllllllll
and timely reporting of motor carrier safety
Signature llllllllllllllllll
information that includes documenting the
effects of the State’s CMV safety programs; [65 FR 15102, Mar. 21, 2000, as amended at 67
participate in a national motor carrier safe- FR 12779, Mar. 19, 2002; 67 FR 61820, Oct. 2,
ty data correction program (DataQs); par- 2002; 72 FR 36770, July 5, 2007]
ticipate in SAFETYNET; and ensure infor-
mation is exchanged in a timely manner § 350.213 What must a State CVSP in-
with other States. clude?
12. The State will ensure that the CVSP,
data collection, and information systems are
The State’s CVSP must reflect a per-
coordinated with the State highway safety formance-based program, and contain
program under title 23, U.S. Code. The name the following eighteen items:
of the Governor’s highway safety representa- (a) A general overview section that
tive (or other authorized State official must include the following two items:
through whom coordination was accom- (1) A statement of the State agency
plished) is llllll. (Name) goal or mission.
13. The State has undertaken efforts to em- (2) A program summary of the effec-
phasize and improve enforcement of State
and local traffic laws as they pertain to CMV
tiveness of the prior years’ activities in
safety. reducing CMV accidents, injuries and
14. The State will ensure that MCSAP fatalities, and improving driver and
agencies have departmental policies stipu- motor carrier safety performance. Data
lating that roadside inspections will be con- periods used must be consistent from
ducted at locations that are adequate to pro- year to year. This may be calendar
tect the safety of drivers and enforcement year or fiscal year or any 12-month pe-
personnel. riod of time for which the State’s data
15. The State will ensure that require-
ments relating to the licensing of CMV driv- is current. The summary must show
ers are enforced, including checking the sta- trends supported by safety and pro-
tus of CDLs. gram performance data collected over
16. The State will ensure that MCSAP- several years. It must identify safety
funded personnel, including sub-grantees, or performance problems in the State
meet the minimum Federal standards set and those problems must be addressed
forth in 49 CFR part 385, subpart C for train- in the new or modified CVSP.
ing and experience of employees performing
(b) A brief narrative describing how
safety audits, compliance reviews, or driver/
vehicle roadside inspection. the State program addresses the na-
17. The State will enforce operating au- tional program elements listed in
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thority requirements under 49 CFR 392.9a by § 350.109. The plan must address these
prohibiting the operation of any vehicle dis- elements even if there are no planned

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Federal Motor Carrier Safety Administration, DOT § 350.215

activities in a program area. The ra- sist the State in monitoring the
tionale for the resource allocation de- progress of its program and preparing
cision must be explained. The narrative an annual evaluation.
section must include a description of (h) A description of the State’s meth-
how the State supports the activities od for ongoing monitoring of the
identified in § 350.201(q) and (t). progress of its plan. This should in-
(1) Activities aimed at removing im- clude who will conduct the monitoring,
paired CMV drivers from the highways the frequency with which it will be car-
through adequate enforcement of re- ried out, and how and to whom reports
strictions on the use of alcohol and will be made.
controlled substances and by ensuring (i) An objective evaluation that dis-
ready roadside access to alcohol detec- cusses the progress towards individual
tion and measuring equipment. objectives listed under the ‘‘Perform-
(2) Activities aimed at providing an ance Objectives’’ section of the pre-
appropriate level of training to MCSAP vious year’s CVSP and identifies any
personnel to recognize drivers impaired safety or performance problems discov-
by alcohol or controlled substances. ered. States will identify those prob-
(3) Interdiction activities affecting lems as new objectives or make modi-
the transportation of controlled sub- fications to the existing objectives in
stances by CMV drivers and training on the next CVSP.
appropriate strategies for carrying out (j) A budget which supports the
those interdiction activities. CVSP, describing the expenditures for
(4) Activities to enforce registration allocable costs such as personnel and
requirements under 49 U.S.C. 13902 and related costs, equipment purchases,
49 CFR part 365 and financial responsi- printing, information systems costs,
bility requirements under 49 U.S.C. and other eligible costs consistent with
13906, 31138 and 31139 and 49 CFR part §§ 350.311 and 350.309.
387. (k) A budget summary form includ-
(c) A definitive problem statement ing planned expenditures for that fiscal
for each objective, supported by data or year and projected number of activities
other information. The CVSP must in each national program element, ex-
identify the source of the data, and cept data collection.
who is responsible for its collection, (l) The results of the annual review
maintenance, and analysis. to determine the compatibility of
(d) Performance objectives, stated in State laws and regulations with the
quantifiable terms, to be achieved FMCSRs and HMRs.
through the State plan. Objectives (m) A copy of any new law or regula-
must include a measurable reduction in tion affecting CMV safety enforcement
highway accidents or hazardous mate- that was enacted by the State since the
rials incidents involving CMVs. The ob- last CVSP was submitted.
jective may also include documented (n) Executed State Certification as
improvements in other program areas outlined in § 350.211.
(e.g., legislative or regulatory author- (o) Executed MCSAP–1 form.
ity, enforcement results, or resource (p) List of MCSAP contacts.
allocations). (q) Annual Certification of Compat-
(e) Strategies to be employed to ibility, § 350.331.
achieve performance objectives. Strat- (r) State Training Plan.
egies may include education, enforce- [65 FR 15102, Mar. 21, 2000, as amended at 67
ment, legislation, use of technology FR 61820, Oct. 2, 2002; 67 FR 63019, Oct. 9, 2002]
and improvements to safety infrastruc-
ture. § 350.215 What are the consequences
(f) Specific activities intended to for a State that fails to perform ac-
achieve the stated strategies and objec- cording to an approved CVSP or
tives. Planned activities must be eligi- otherwise fails to meet the condi-
ble under this program as defined in tions of this part?
§§ 350.309 and 350.311. (a) If a State is not performing ac-
(g) Specific quantifiable performance cording to an approved plan or not ade-
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measures, as appropriate. These per- quately meeting conditions set forth in


formance measures will be used to as- § 350.201, the Administrator may issue a

25

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§ 350.301 49 CFR Ch. III (10–1–07 Edition)

written notice of proposed determina- which meet the current requirements


tion of nonconformity to the Governor for funding eligibility under the grant
of the State or the official designated program.
in the plan. The notice will set forth [65 FR 15102, Mar. 21, 2000, as amended at 72
the reasons for the proposed deter- FR 36770, July 5, 2007]
mination.
(b) The State will have 30 days from § 350.303 What are the State and Fed-
the date of the notice to reply. The eral shares of expenses incurred
reply must address the deficiencies or under an approved CVSP?
incompatibility cited in the notice and (a) The FMCSA will reimburse up to
provide documentation as necessary. 80 percent of the eligible costs incurred
(c) After considering the State’s in the administration of an approved
reply, the Administrator will make a CVSP.
final decision. (b) In-kind contributions are accept-
(d) In the event the State fails timely able in meeting the State’s matching
to reply to a notice of proposed deter- share if they represent eligible costs as
mination of nonconformity, the notice established by 49 CFR part 18 or agency
becomes the Administrator’s final de- policy.
termination of nonconformity.
(e) Any adverse decision will result in § 350.305 Are U.S. Territories subject
immediate cessation of Federal funding to the matching funds requirement?
under this part. The Administrator waives the re-
(f) Any State aggrieved by an adverse quirement for matching funds for the
decision under this section may seek Virgin Islands, American Samoa,
judicial review under 5 U.S.C. chapter Guam, and the Commonwealth of the
7. Northern Mariana Islands.

Subpart C—Funding § 350.307 How long are MCSAP funds


available to a State?
§ 350.301 What level of effort must a The funds obligated to a State will
State maintain to qualify for remain available for the rest of the fis-
MCSAP funding? cal year in which they were obligated
(a) The State must maintain the av- and the next full fiscal year. The State
erage aggregate expenditure of the must account for any prior year’s un-
State and its political subdivisions, ex- expended funds in the annual CVSP.
clusive of Federal funds and State Funds must be expended in the order in
matching funds, for CMV safety pro- which they are obligated.
grams eligible for funding under this
part at a level at least equal to the av- § 350.309 What activities are eligible
erage level of expenditure for the 3 full for reimbursement under the
fiscal years beginning after October 1 MCSAP?
of the year 5 years prior to the begin- The primary activities eligible for re-
ning of each Government fiscal year. imbursement are:
(b) Determination of a State’s level (a) The five national program ele-
of effort must not include the following ments listed in § 350.109 of this part.
three things: (b) Sanitary food transportation in-
(1) Federal funds received for support spections performed under 49 U.S.C.
of motor carrier and hazardous mate- 5708.
rials safety enforcement. (c) The following two activities, when
(2) State matching funds. accompanied by an appropriate North
(3) State funds used for federally American Standard Inspection and in-
sponsored demonstration or pilot CMV spection report:
safety programs. (1) Enforcement of CMV size and
(c) The State must include costs as- weight limitations at locations other
sociated with activities performed dur- than fixed weight facilities; at specific
ing the base period by State or local locations such as steep grades or moun-
agencies currently receiving or pro- tainous terrains where the weight of a
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jected to receive funds under this part. CMV can significantly affect the safe
It must include only those activities operation of the vehicle; or at ports

26

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Federal Motor Carrier Safety Administration, DOT § 350.313

where intermodal shipping containers specifically identifiable as program-re-


enter and leave the United States. lated to develop a data base to coordi-
(2) Detection of the unlawful pres- nate resources and improve efficiency.
ence of a controlled substance in a (e) Clerical and administrative ex-
CMV or on the person of any occupant penses, to the extent necessary and di-
(including the operator) of the vehicle. rectly attributable to the MCSAP.
(d) Documented enforcement of State (f) Expenses related to the improve-
traffic laws and regulations designed to ment of real property (e.g., installation
promote the safe operation of CMVs, of lights for the inspection of vehicles
including documented enforcement of at night). Acquisition of real property,
such laws and regulations relating to land, or buildings are not eligible costs.
non-CMVs when necessary to promote
the safe operation of CMVs, if the num- § 350.313 How are MCSAP funds allo-
ber of motor carrier safety activities cated?
(including roadside safety inspections) (a) After deducting administrative
conducted in the State is maintained expenses authorized in 49 U.S.C.
at a level at least equal to the average 31104(e), the MCSAP funds are allo-
level of such activities conducted in cated as follows:
the State in fiscal years 2003, 2004, and (1) An amount of the MCSAP funds
2005. The State may not use more than appropriated for each fiscal year up to
5 percent of its MCSAP Basic Program the maximum allowed by law may be
funds for enforcement activities relat- distributed for High Priority Activities
ing to non-CMVs unless the Adminis- and Projects at the discretion of the
trator determines that a higher per- Administrator.
centage will result in significant in- (2) An amount of the MCSAP funds
creases in CMV safety. appropriated for each fiscal year up to
[65 FR 15102, Mar. 21, 2000, as amended at 72 the maximum allowed by law may be
FR 36770, July 5, 2007] distributed for safety audits of New En-
trant motor carriers under the New En-
§ 350.311 What specific items are eligi- trant Safety Assurance Program at the
ble for reimbursement under the discretion of the Administrator.
MCSAP? (3) The remaining funds will be allo-
All reimbursable items must be nec- cated among qualifying States in two
essary, reasonable, allocable to the ap- ways:
proved CVSP, and allowable under this (i) As Basic Program Funds in ac-
part and 49 CFR part 18. The eligibility cordance with § 350.323 of this part,
of specific items is subject to review by (ii) As Incentive Funds in accordance
the FMCSA. The following six types of with § 350.327 of this part.
expenses are eligible for reimburse- (b) The funding provided in para-
ment: graphs (a)(1) and (a)(2) of this section
(a) Personnel expenses, including re- may be awarded through contract, co-
cruitment and screening, training, sal- operative agreement, or grant. The
aries and fringe benefits, and super- FMCSA will notify States if it intends
vision. to solicit State grant proposals for any
(b) Equipment and travel expenses, portion of this funding.
including per diem, directly related to (c) The funding provided under para-
the enforcement of safety regulations, graph (a)(1) of this section may be
including vehicles, uniforms, commu- made available to State agencies, local
nications equipment, special inspection governments, and organizations rep-
equipment, vehicle maintenance, fuel, resenting government agencies or offi-
and oil. cials that use and train qualified offi-
(c) Indirect expenses for facilities, ex- cers and employees in coordination
cept fixed scales, used to conduct in- with State motor vehicle safety agen-
spections or house enforcement per- cies. At least 90 percent of the amount
sonnel, support staff, and equipment to set aside in a fiscal year shall be
the extent they are measurable and re- awarded in grants to State agencies
curring (e.g., rent and overhead). and local government agencies.
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(d) Expenses related to data acquisi- (d) The funding provided under para-
tion, storage, and analysis that are graph (a)(2) of this section may be

27

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§ 350.315 49 CFR Ch. III (10–1–07 Edition)

made available to State and local gov- (d) The Administrator may set aside
ernments. If the Administrator deter- an amount of MCSAP funding up to the
mines that a State or local government maximum allowed by law for these
is not able to use government employ- projects and activities in each fiscal
ees to conduct New Entrant motor car- year.
rier audits, the Administrator may use (e) FMCSA will reimburse up to 80
the funds under paragraph (a)(2) to con- percent of the eligible costs in the ad-
duct audits for such State or local gov- ministration of an approved project
ernments. plan, except that approved public infor-
[65 FR 15102, Mar. 21, 2000, as amended at 72
mation and education activities may
FR 36770, July 5, 2007] be reimbursed up to 100 percent of the
eligible costs.
§ 350.315 How may Basic Program [65 FR 15102, Mar. 21, 2000, as amended at 72
Funds be used? FR 36771, July 5, 2007]
Basic Program Funds may be used
for any eligible activity or item con- § 350.321 What are permissible uses of
sistent with §§ 350.309 and 350.311. New Entrant Funds?
(a) These funds may be used to con-
§ 350.317 What are Incentive Funds duct safety audits on New Entrant
and how may they be used?
motor carriers under the New Entrant
Incentive Funds are monies, in addi- Safety Assurance Program.
tion to Basic Program Funds, provided (b) New Entrant funds will be allo-
to States that achieve reduction in cated, at the discretion of FMCSA, to
CMV-involved fatal accidents, CMV State and local governments.
fatal accident rate, or that meet speci- (c) FMCSA will notify States when
fied CMV safety performance criteria. such funds are available.
Incentive Funds may be used for any (d) The Administrator may designate
eligible activity or item consistent up to the maximum amount allowed by
with §§ 350.309 and 350.311. law of MCSAP funding for these
projects in each fiscal year. FMCSA
§ 350.319 What are permissible uses of
High Priority Activity Funds? will reimburse up to 100 percent of the
eligible costs in the administration of
(a) The FMCSA may generally use an approved project plan.
these funds to support, enrich, or
evaluate State CMV safety programs [72 FR 36771, July 5, 2007]
and to accomplish the five objectives
listed below: § 350.323 What criteria are used in the
Basic Program Funds allocation?
(1) Implement, promote, and main-
tain national programs to improve (a) The funds are distributed propor-
CMV safety. tionally to the States using the fol-
(2) Increase compliance with CMV lowing four, equally weighted (25 per-
safety regulations. cent), factors.
(3) Increase public awareness about (1) 1997 Road miles (all highways) as
CMV safety. defined by the FMCSA.
(4) Provide education on CMV safety (2) All vehicle miles traveled (VMT)
and related issues. as defined by the FMCSA.
(5) Demonstrate new safety related (3) Population—annual census esti-
technologies. mates as issued by the U.S. Census Bu-
(b) These funds will be allocated, at reau.
the discretion of the FMCSA, to (4) Special fuel consumption (net
States, local governments, and other after reciprocity adjustment) as de-
organizations that use and train quali- fined by the FMCSA.
fied officers and employees in coordina- (b) Distribution of Basic Program
tion with State safety agencies. Funds is subject to a maximum and
(c) The FMCSA will notify the States minimum allocation as illustrated in
when such funds are available. the Table to this section, as follows:
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28

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Federal Motor Carrier Safety Administration, DOT § 350.329

TABLE TO § 350.323(b)—BASIC PROGRAM FUND ALLOCATION LIMITATIONS


Recipient Maximum allocation Minimum allocation

States and Puerto Rico ... 4.944% of the Basic Program Funds ................... $350,000 or 0.44% of Basic Program Funds,
whichever is greater.

U.S. Territories ................ $350,000 (fixed amount)

§ 350.325 [Reserved] cent calendar year for which data are


available will be awarded three shares
§ 350.327 How may States qualify for if the rate for the State is the same as
Incentive Funds? its average accident rate for the pre-
(a) A State may qualify for Incentive ceding 10-year period.
Funds if it can demonstrate that its (3) Two shares will be awarded to
CMV safety program has shown im- States that upload CMV accident data
provement in any or all of the fol- within FMCSA policy guidelines.
lowing five categories: (4) Two shares will be awarded to
(1) Reduction of large truck-involved States that certify their MCSAP in-
fatal accidents. spection agencies have departmental
(2) Reduction of large truck-involved policies that stipulate CDLs are
fatal accident rate or maintenance of a verified, as part of the inspection proc-
large truck-involved fatal accident ess, through Commercial Driver’s Li-
rate that is among the lowest 10 per- cense Information System (CDLIS),
cent of such rates of MCSAP recipi- National Law Enforcement Tracking
ents. System (NLETS), or the State licens-
(3) Upload of CMV accident reports in ing authority.
accordance with current FMCSA policy (5) Two shares will be awarded to
guidelines. States that upload CMV inspection re-
(4) Verification of CDLs during all ports within current FMCSA policy
roadside inspections. guidelines.
(5) Upload of CMV inspection data in (c) The total of all States’ shares
accordance with current FMCSA policy awarded will be divided into the dollar
guidelines. amount of Incentive Funds available,
(b) Incentive Funds will be distrib- thereby establishing the value of one
uted based upon the five following safe- share. Each State’s incentive alloca-
ty and program performance factors: tion will then be determined by multi-
(1) Five shares will be awarded to plying the State’s percentage partici-
States that reduce the number of large pation in the formula allocation of
truck-involved fatal accidents for the Basic Program Funds, by the number
most recent calendar year for which of shares it received that year, multi-
data are available when compared to plied by the dollar value of one share.
the 10-year average number of large (d) States may use Incentive Funds
truck-involved fatal accidents ending for any eligible CMV safety purpose.
with the preceding year. The 10-year (e) Incentive Funds are subject to the
average will be computed from the same State matching requirements as
number of large truck-involved fatal Basic Program Funds.
crashes, as reported by the FARS, ad- (f) A State must annually certify
ministered by the National Highway compliance with the applicable incen-
Traffic Safety Administration tive criteria to receive Incentive
(NHTSA). Funds. A State must submit the re-
(2) Four shares will be awarded to quired certification as part of its CVSP
States that reduce the fatal-accident or as a separate document.
rate for the most recent calendar year
for which data are available when com- § 350.329 How may a State or local
pared to each State’s average fatal ac- agency qualify for High Priority or
cident rate for the preceding 10-year Border Activity Funds?
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period. States with the lowest 10 per- (a) States must meet the require-
cent of accident rates in the most re- ments of § 350.201, as applicable.

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§ 350.331 49 CFR Ch. III (10–1–07 Edition)

(b) Local agencies must meet the fol- (c) A State must conduct an annual
lowing nine conditions: review of its laws and regulations for
(1) Prepare a proposal in accordance compatibility and report the results of
with § 350.213, as applicable. that review in the annual CVSP in ac-
(2) Coordinate the proposal with the cordance with § 350.213(l) along with a
State lead MCSAP agency to ensure certification of compliance, no later
the proposal is consistent with State than August 1 of each year. The report
and national CMV safety program pri- must include the following two items:
orities. (1) A copy of the State law, regula-
(3) Certify that your local jurisdic- tion, or policy relating to CMV safety
tion has the legal authority, resources, that was adopted since the State’s last
and trained and qualified personnel
report.
necessary to perform the functions
specified in the proposal. (2) A certification, executed by the
(4) Designate a person who will be re- State’s Governor, Attorney General, or
sponsible for implementation, report- other State official specifically des-
ing, and administering the approved ignated by the Governor, stating that
proposal and will be the primary con- the annual review was performed and
tact for the project. that State CMV safety laws remain
(5) Agree to fund up to 20 percent of compatible with the FMCSRs and
the proposed request. HMRs. If State CMV laws are no longer
(6) Agree to prepare and submit all compatible, the certifying official shall
reports required in connection with the explain.
proposal or other conditions of the (d) As soon as practical after the ef-
grant. fective date of any newly enacted regu-
(7) Agree to use the forms and report- lation or amendment to the FMCSRs
ing criteria required by the State lead or HMRs, but no later than three years
MCSAP agency and/or the FMCSA to after that date, the State must amend
record work activities to be performed its laws or regulations to make them
under the proposal. compatible with the FMCSRs and/or
(8) Certify that the local agency will HMRs, as amended.
impose sanctions for violations of CMV
and driver laws and regulations that § 350.333 What are the guidelines for
are consistent with those of the State. the compatibility review?
(9) Certify participation in national (a) The State law or regulation must
data bases appropriate to the project. apply to all segments of the motor car-
§ 350.331 How does a State ensure its rier industry (i.e., for-hire and private
laws and regulations are compat- motor carriers of property and pas-
ible with the FMCSRs and HMRs? sengers).
(a) A State must review any new law (b) Laws and regulations reviewed for
or regulation affecting CMV safety as the CDL compliance report are ex-
soon as possible, but in any event im- cluded from the compatibility review.
mediately after enactment or issuance, (c) Definitions of words or terms
for compatibility with the FMCSRs must be consistent with those in the
and HMRs. FMCSRs and HMRs.
(b) If the review determines that the (d) A State must identify any law or
new law or regulation is incompatible regulation that is not the same as the
with the FMCSRs and/or HMRs, the corresponding Federal regulation and
State must immediately notify the evaluate it in accordance with the
Motor Carrier State Director. table to this section as follows:
TABLE TO § 350.333—GUIDELINES FOR THE STATE LAW AND REGULATION COMPATIBILITY REVIEW
Law or regulation has
same effect as cor- Applies to interstate or Less stringent or more Action authorized
responding Federal reg- intrastate commerce stringent
ulation

(1) Yes ........................... ....................................... ....................................... Compatible—Interstate and intrastate commerce


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enforcement authorized.
(2) No ............................ Intrastate ....................... ....................................... Refer to § 350.341

30

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Federal Motor Carrier Safety Administration, DOT § 350.341

TABLE TO § 350.333—GUIDELINES FOR THE STATE LAW AND REGULATION COMPATIBILITY REVIEW—
Continued
Law or regulation has
same effect as cor- Applies to interstate or Less stringent or more Action authorized
responding Federal reg- intrastate commerce stringent
ulation

(3) No ............................ Interstate ....................... Less stringent ............... Enforcement prohibited.


(4) No ............................ Interstate ....................... More stringent .............. Enforcement authorized if the State can dem-
onstrate the law or regulation has a safety
benefit or does not create an undue burden
upon interstate commerce (See 49 CFR Part
355).

§ 350.335 What are the consequences if interpretation will be referred to the


my State has laws or regulations in- Research and Special Programs Admin-
compatible with the Federal regula- istration of the DOT for such interpre-
tions? tation before proceeding under § 350.215.
(a) A State that currently has com-
patible CMV safety laws and regula- § 350.337 How may State laws and reg-
tions pertaining to interstate com- ulations governing motor carriers,
merce (i.e., rules identical to the CMV drivers, and CMVs in inter-
FMCSRs and HMRs) and intrastate state commerce differ from the
FMCSRs and still be considered
commerce (i.e., rules identical to or compatible?
within the tolerance guidelines for the
FMCSRs and identical to the HMRs) States are not required to adopt 49
but enacts a law or regulation which CFR parts 398 and 399, subparts A
results in an incompatible rule will not through E and H of part 107, and
be eligible for Basic Program Funds §§ 171.15 and 171.16, as applicable to ei-
nor Incentive Funds. ther interstate or intrastate com-
(b) A State that fails to adopt any merce.
new regulation or amendment to the
FMCSRs or HMRs within three years of § 350.339 What are tolerance guide-
its effective date will be deemed to lines?
have incompatible regulations and will Tolerance guidelines set forth the
not be eligible for Basic Program nor limited deviations from the FMCSRs
Incentive Funds. allowed in your State’s laws and regu-
(c) Those States with incompatible lations. These variances apply only to
laws or regulations pertaining to intra- motor carriers, CMV drivers and CMVs
state commerce and receiving 50 per- engaged in intrastate commerce and
cent of their basic formula allocation not subject to Federal jurisdiction.
on April 20, 2000 will continue at that
level of funding until those incompati- § 350.341 What specific variances from
bilities are removed, provided no fur- the FMCSRs are allowed for State
ther incompatibilities are created. laws and regulations governing
(d) Upon a finding by the FMCSA, motor carriers, CMV drivers, and
based upon its own initiative or upon a CMVs engaged in intrastate com-
petition of any person, including any merce and not subject to Federal
jurisdiction?
State, that your State law, regulation
or enforcement practice pertaining to (a) A State may exempt a CMV from
CMV safety, in either interstate or all or part of its laws or regulations ap-
intrastate commerce, is incompatible plicable to intrastate commerce, pro-
with the FMCSRs or HMRs, the vided that neither the GVW, GVWR,
FMCSA may initiate a proceeding GCW, nor GCWR of the vehicle equals
under § 350.215 for withdrawal of eligi- or exceeds 11,801 kg (26,001 lbs.). How-
bility for all Basic Program and Incen- ever, a State may not exempt a CMV
tive Funds. from such laws or regulations if the ve-
(e) Any decision regarding the com- hicle:
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patibility of your State law or regula- (1) Transports hazardous materials


tion with the HMRs that requires an requiring a placard.

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§ 350.343 49 CFR Ch. III (10–1–07 Edition)

(2) Is designed or used to transport 16 (iii) No other non-qualifying medical


or more people, including the driver. or physical condition has developed.
(b) State laws and regulations appli- (2) The State may adopt or continue
cable to intrastate commerce may not programs granting variances to intra-
grant exemptions based upon the type state drivers with medical or physical
of transportation being performed (e.g., conditions that would otherwise be
for-hire, private, etc.). non-qualifying under the State’s equiv-
(c) A State may retain those exemp- alent of 49 CFR 391.41 if the variances
tions from its motor carrier safety are based upon sound medical judg-
laws and regulations that were in ef- ment combined with appropriate per-
fect before April, 1988, are still in ef- formance standards ensuring no ad-
fect, and apply to specific industries verse affect on safety.
operating in intrastate commerce.
(d) State laws and regulations appli- § 350.343 How may a State obtain a
new exemption for State laws and
cable to intrastate commerce must not regulations for a specific industry
include exemptions based upon the dis- involved in intrastate commerce?
tance a motor carrier or driver oper-
ates from the work reporting location. The FMCSA strongly discourages ex-
emptions for specific industries, but
This prohibition does not apply to
will consider such requests if the State
those exemptions already contained in
submits documentation containing in-
the FMCSRs nor to the extension of
formation supporting evaluation of the
the mileage radius exemption con-
following 10 factors:
tained in 49 CFR 395.1(e) from 100 to 150
(a) Type and scope of the industry ex-
miles.
emption requested, including percent-
(e) Hours of service—State hours-of-
age of industry affected, number of ve-
service limitations applied to intra-
hicles, mileage traveled, number of
state transportation may vary to the
companies involved.
extent of allowing the following: (b) Type and scope of the require-
(1) A 12-hour driving limit, provided ment to which the exemption would
driving a CMV after having been on apply.
duty more than 16 hours is prohibited. (c) Safety performance of that spe-
(2) Driving prohibitions for drivers cific industry (e.g., accident frequency,
who have been on duty 70 hours in 7 rates and comparative figures).
consecutive days or 80 hours in 8 con- (d) Inspection information (e.g., num-
secutive days. ber of violations per inspection, driver
(f) Age of CMV driver—All CMV driv- and vehicle out-of-service informa-
ers must be at least 18 years of age. tion).
(g) Grandfather clauses—States may (e) Other CMV safety regulations en-
provide grandfather clauses in their forced by other State agencies not par-
rules and regulations if such exemp- ticipating in the MCSAP.
tions are uniform or in substantial har- (f) Commodity transported (e.g., live-
mony with the FMCSRs and provide an stock, grain).
orderly transition to full regulatory (g) Similar variations granted and
adoption at a later date. the circumstances under which they
(h) Driver qualifications: were granted.
(1) Intrastate drivers who do not (h) Justification for the exemption.
meet the physical qualification stand- (i) Identifiable effects on safety.
ards in 49 CFR 391.41 may continue to (j) State’s economic environment and
be qualified to operate a CMV in intra- its ability to compete in foreign and
state commerce if the following three domestic markets.
conditions are met:
(i) The driver was qualified under ex- § 350.345 How does a State apply for
isting State law or regulation at the additional variances from the
time the State adopted physical quali- FMCSRs?
fication standards compatible with the Any State may apply to the Adminis-
Federal standards in 49 CFR 391.41. trator for a variance from the FMCSRs
(ii) The otherwise non-qualifying for intrastate commerce. The variance
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medical or physical condition has not will be granted only if the State satis-
substantially worsened. factorily demonstrates that the State

32

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Federal Motor Carrier Safety Administration, DOT § 355.21

law, regulation or enforcement prac- § 355.3 Applicability.


tice:
These provisions apply to any State
(a) Achieves substantially the same that adopts or enforces laws or regula-
purpose as the similar Federal regula- tions pertaining to commercial motor
tion. vehicle safety in interstate commerce.
(b) Does not apply to interstate com-
merce. § 355.5 Definitions.
(c) Is not likely to have an adverse Unless specifically defined in this
impact on safety. section, terms used in this part are
subject to the definitions in 49 CFR
PART 355—COMPATIBILITY OF 390.5.
STATE LAWS AND REGULATIONS Compatible or Compatibility means
AFFECTING INTERSTATE MOTOR that State laws and regulations appli-
CARRIER OPERATIONS cable to interstate commerce and to
intrastate movement of hazardous ma-
Subpart A—General Applicability and terials are identical to the FMCSRs
Definitions and the HMRs or have the same effect
as the FMCSRs; and that State laws
Sec. applicable to intrastate commerce are
355.1 Purpose. either identical to, or have the same
355.3 Applicability. effect as, the FMCSRs or fall within
355.5 Definitions. the established limited variances under
§§ 350.341, 350.343, and 350.345 of this sub-
Subpart B—Requirements
chapter.
355.21 Regulatory review. Federal Hazardous Materials Regula-
355.23 Submission of results. tions (FMHRs) means those safety regu-
355.25 Adopting and enforcing compatible lations which are contained in parts
laws and regulations. 107, 171–173, 177, 178 and 180, except part
APPENDIX A TO PART 355—GUIDELINES FOR 107 and §§ 171.15 and 171.16.
THE REGULATORY REVIEW Federal Motor Carrier Safety Regula-
AUTHORITY: 49 U.S.C. 504 and 31101 et seq.; 49 tions (FMCSRs) means those safety reg-
CFR 1.73. ulations which are contained in parts
390, 391, 392, 393, 395, 396, and 397 of this
SOURCE: 57 FR 40962, Sept. 8, 1992, unless
subchapter.
otherwise noted.
State means a State of the United
EDITORIAL NOTE: Nomenclature changes to States, the District of Columbia, the
part 355 appear at 66 FR 49870, Oct. 1, 2001. Commonwealth of Puerto Rico, the
Commonwealth of the Northern Mar-
Subpart A—General Applicability iana Islands, American Samoa, Guam
and Definitions and the Virgin Islands.
[57 FR 40962, Sept. 8, 1992, as amended at 65
§ 355.1 Purpose. FR 15109, Mar. 21, 2000]
(a) To promote adoption and enforce-
ment of State laws and regulations per- Subpart B—Requirements
taining to commercial motor vehicle
safety that are compatible with appro- § 355.21 Regulatory review.
priate parts of the Federal Motor Car- (a) General. Each State shall annu-
rier Safety Regulations. ally analyze its laws and regulations,
(b) To provide guidelines for a con- including those of its political subdivi-
tinuous regulatory review of State sions, which pertain to commercial
laws and regulations. motor vehicle safety to determine
(c) To establish deadlines for States whether its laws and regulations are
to achieve compatibility with appro- compatible with the Federal Motor
priate parts of the Federal Motor Car- Carrier Safety Regulations. Guidelines
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rier Safety Regulations with respect to for the regulatory review are provided
interstate commerce. in the appendix to this part.

33

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§ 355.23 49 CFR Ch. III (10–1–07 Edition)

(b) Responsibility. The State agency view with the certification no later
designated as lead agency for the ad- than August 1 of each year with the
ministration of grants made pursuant Commercial Vehicle Safety Plan
to part 350 of this subchapter is respon- (CVSP). The State shall include copies
sible for reviewing and analyzing State of pertinent laws and regulations.
laws and regulations for compliance
[65 FR 15109, Mar. 21, 2000]
with this part. In the absence of an of-
ficially designated Motor Carrier Safe- § 355.25 Adopting and enforcing com-
ty Assistance Program (MCSAP) lead patible laws and regulations.
agency or in its discretion, the State
shall designate another agency respon- (a) General. No State shall have in ef-
sible to review and determine compli- fect or enforce any State law or regula-
ance with these regulations. tion pertaining to commercial motor
(c) State review. (1) The State shall vehicle safety in interstate commerce
determine which of its laws and regula- which the Administrator finds to be in-
tions pertaining to commercial motor compatible with the provisions of the
vehicle safety are the same as the Fed- Federal Motor Carrier Safety Regula-
eral Motor Carrier Safety or Federal tions.
Hazardous Materials Regulations. With (b) New state requirements. No State
respect to any State law or regulation shall implement any changes to a law
which is not the same as the FMCSRs or regulation which makes that or any
(FHMRs must be identical), the State other law or regulation incompatible
shall identify such law or regulation with a provision of the Federal Motor
and determine whether: Carrier Safety Regulations.
(i) It has the same effect as a cor- (c) Enforcement. To enforce compli-
responding section of the Federal ance with this section, the Adminis-
Motor Carrier Safety Regulations; trator will initiate a rulemaking pro-
(ii) It applies to interstate com- ceeding under part 389 of this sub-
merce; chapter to declare the incompatible
(iii) It is more stringent than the State law or regulation pertaining to
FMCSRs in that it is more restrictive commercial motor vehicle safety unen-
or places a greater burden on any enti- forceable in interstate commerce.
ty subject to its provisions. (d) Waiver of determination. Any per-
(2) If the inconsistent State law or son (including any State) may petition
regulation applies to interstate com- for a waiver of a determination made
merce and is more stringent than the under paragraph (c) of this section.
FMCSRs, the State shall determine: Such petition will also be considered in
(i) The safety benefits associated a rulemaking proceeding under part
with such State law or regulation; and 389. Waivers shall be granted only upon
(ii) The effect of the enforcement of a satisfactory showing that continued
such State law or regulation on inter- enforcement of the incompatible State
state commerce. law or regulation is not contrary to the
(3) If the inconsistent State law or public interest and is consistent with
regulation does not apply to interstate the safe operation of commercial
commerce or is less stringent than the motor vehicles.
FMCSRs, the guidelines for participa- (e) Consolidation of proceedings. The
tion in the Motor Carrier Safety As- Administrator may consolidate any ac-
sistance Program in §§ 350.341, 350.343, tion to enforce this section with other
and 350.345 of this subchapter shall proceedings required under this section
apply. if the Administrator determines that
[57 FR 40962, Sept. 8, 1992, as amended at 65 such consolidation will not adversely
FR 15109, Mar. 21, 2000] affect any party to any such pro-
ceeding.
§ 355.23 Submission of results.
Each State shall submit the results APPENDIX A TO PART 355—GUIDELINES
FOR THE REGULATORY REVIEW
of its regulatory review annually with
its certification of compliance under Each State shall review its laws and regu-
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§ 350.209 of this subchapter. It shall sub- lations to achieve compatibility with the
mit the results of the regulatory re- Federal Motor Carrier Safety Regulations

34

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Federal Motor Carrier Safety Administration, DOT Pt. 355, App. A
(FMCSRs). Each State shall consider all re- days; or after being on duty more than 70
lated requirements on enforcement of the hours in any 8 consecutive days.
State’s motor carrier safety regulations. The Require a driver to prepare a record-of-
documentation shall be simple and brief. duty status for each 24-hour period. The driv-
er and motor carrier must retain the records.
SCOPE
INSPECTION AND MAINTENANCE
The State review required by § 355.21 may
be limited to those laws and regulations pre- Prohibit a commercial motor vehicle from
viously determined to be incompatible in the being operated when it is likely to cause an
report of the Commercial Motor Vehicle accident or a breakdown; require the driver
Safety Regulatory Review Panel issued in to conduct a walk-around inspection of the
August 1990, or by subsequent determination vehicle before driving it to ensure that it can
by the Administrator under this part, and be safely operated; require the driver to pre-
any State laws or regulations enacted or pare a driver vehicle inspection report; and
issued after August 1990. require commercial motor vehicles to be in-
spected at least annually.
APPLICABILITY
HAZARDOUS MATERIALS
The requirements must apply to all seg-
ments of the motor carrier industry com- Require a motor carrier or a person oper-
mon, contract, and private carriers of prop- ating a commercial motor vehicle trans-
erty and for-hire carriers of passengers. porting hazardous materials to follow the
safety and hazardous materials require-
DEFINITIONS ments.
Definitions of terms must be consistent
STATE DETERMINATIONS
with those in the FMCSRs.
1. Each State must determine whether its
DRIVER QUALIFICATIONS requirements affecting interstate motor car-
Require a driver to be properly licensed to riers are ‘‘less stringent’’ than the Federal
drive a commercial motor vehicle; require a requirements. ‘‘Less stringent’’ requirements
driver to be in good physical health, at least represent either gaps in the State require-
21 years of age, able to operate a vehicle ments in relation to the Federal require-
safely, and maintain a good driving record; ments as summarized under item number
prohibit drug and alcohol abuse; require a one in this appendix or State requirements
motor carrier to maintain a driver qualifica- which are less restrictive than the Federal
tion file for each driver; and require a motor requirements.
carrier to ensure that a driver is medically a. An example of a gap is when a State
qualified. does not have the authority to regulate the
safety of for-hire carriers of passengers or
NOTE: The requirements for testing apply has the authority but chooses to exempt the
only to drivers of commercial motor vehicles carrier.
as defined in 49 CFR part 383. b. An example of a less restrictive State re-
quirement is when a State allows a person
DRIVING OF MOTOR VEHICLES under 21 years of age to operate a commer-
cial motor vehicle in interstate commerce.
Prohibit possession, use, or driving under
2. Each State must determine whether its
the influence of alcohol or other controlled
requirements affecting interstate motor car-
substances (while on duty); and establish 0.04
riers are ‘‘more stringent’’ than the Federal
percent as the level of alcohol in the blood at
requirements: ‘‘More stringent’’ require-
which a driver is considered under the influ-
ments are more restrictive or inclusive in re-
ence of alcohol.
lation to the Federal requirements as sum-
PARTS AND ACCESSORIES NECESSARY FOR SAFE marized under item number one in this ap-
OPERATION pendix. For example, a requirement that a
driver must have 2 days off after working 5
Require operational lights and reflectors; consecutive days. The State would dem-
require systematically arranged and in- onstrate that its more stringent require-
stalled wiring; and require brakes working at ments:
the required performance level, and other a. Have a ‘‘safety benefit;’’ for example, re-
key components included in 49 CFR part 393. sult in fewer accidents or reduce the risk of
accidents;
HOURS OF SERVICE OF DRIVERS
b. do not create ‘‘an undue burden on inter-
Prohibit a motor carrier from allowing or state commerce,’’ e.g., do not delay, inter-
requiring any driver to drive: More than 10 fere with, or increase that cost or the admin-
hours following 8 consecutive hours off duty; istrative burden for a motor carrier trans-
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after being on duty 15 hours, after being on porting property or passengers in interstate
duty more than 60 hours in any 7 consecutive commerce; and

35

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Pt. 356 49 CFR Ch. III (10–1–07 Edition)
c. Are otherwise compatible with Federal (1) All points within 3 miles of the
safety requirements. post office in such unincorporated com-
3. A State must adopt and enforce in a con- munity if it has a population of less
sistent manner the requirements referenced
in the above guidelines in order for the
than 2,500; within 4 miles if it has a
FMCSA to accept the State’s determination population of 2,500 but less than 25,000;
that it has compatible safety requirements and within 6 miles if it has a popu-
affecting interstate motor carrier oper- lation of 25,000 or more;
ations. Generally, the States would have up (2) At all points in any municipality
to 3 years from the effective date of the new any part of which is within the limits
Federal requirement to adopt and enforce described in paragraph (b)(1) of this
compatible requirements. The FMCSA would section; and
specify the deadline when promulgating fu-
(3) At all points in any municipality
ture Federal safety requirements. The re-
quirements are considered of equal impor- wholly surrounded, or so surrounded
tance. except for a water boundary, by any
municipality included under the terms
[57 FR 40962, Sept. 8, 1992, as amended by 58
of paragraph (b)(2) of this section.
FR 33776, June 21, 1993; 62 FR 37151, July 11,
1997; 65 FR 15110, Mar. 21, 2000]
§ 356.3 Regular route motor passenger
service.
PART 356—MOTOR CARRIER (a) A motor common carrier author-
ROUTING REGULATIONS ized to transport passengers over reg-
ular routes may serve:
Sec. (1) All points on its authorized route;
356.1 Authority to serve a particular area—
(2) All municipalities wholly within
construction.
356.3 Regular route motor passenger serv- one airline mile of its authorized route;
ice. (3) All unincorporated areas within
356.5 Traversal authority. one airline mile of its authorized route;
356.7 Tacking. and
356.9 Elimination of routing restrictions— (4) All military posts, airports,
regular route carriers. schools, and similar establishments
356.11 Elimination of gateways—regular and that may be entered within one airline
irregular route carriers.
356.13 Redesignated highways.
mile of its authorized route, but oper-
ations within any part of such estab-
AUTHORITY: 5 U.S.C. 553; 49 U.S.C. 13301 and lishment more than one airline mile
13902; and 49 CFR 1.73. from such authorized route may not be
SOURCE: 62 FR 32041, June 12, 1997, unless over a public road.
otherwise noted. (b) This section does not apply to
EDITORIAL NOTE: Nomenclature changes to those motor passenger common car-
part 356 appear at 66 FR 49870, Oct. 1, 2001. riers authorized to operate within:
(1) New York, NY;
§ 356.1 Authority to serve a particular (2) Rockland, Westchester, Orange, or
area—construction. Nassau Counties, NY;
(a) Service at municipality. A motor (3) Fairfield County, CT; and
carrier of property, motor passenger (4) Passaic, Bergen, Essex, Hudson,
carrier of express, and freight for- Union, Morris, Somerset, Middlesex, or
warder authorized to serve a munici- Monmouth Counties, NJ.
pality may serve all points within that
municipality’s commercial zone not be- § 356.5 Traversal authority.
yond the territorial limits, if any, fixed (a) Scope. An irregular route motor
in such authority. carrier may operate between author-
(b) Service at unincorporated commu- ized service points over any reasonably
nity. A motor carrier of property, direct or logical route unless expressly
motor passenger carrier of express, and prohibited.
freight forwarder, authorized to serve (b) Requirements. Before commencing
an unincorporated community having a operations, the carrier must, regarding
post office of the same name, may each State traversed:
serve all points in the United States (1) Notify the State regulatory body
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not beyond the territorial limits, if in writing, attaching a copy of its oper-
any, fixed in such authority, as follows: ating rights;

36

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Federal Motor Carrier Safety Administration, DOT Pt. 360

(2) Designate a process agent; and to nominal restrictions) on the under-


(3) Comply with 49 CFR 387.315. lying service route;
(2) The alternative route involves the
§ 356.7 Tacking. use of a superhighway (i.e., a limited
Unless expressly prohibited, a motor access highway with split-level cross-
common carrier of property holding ings);
separate authorities which have com- (3) The alternative superhighway
mon service points may join, or tack, route, including highways connecting
those authorities at the common point, the superhighway portion of the route
or gateway, for the purpose of per- with the carrier’s authorized service
forming through service as follows: route,
(i) Extends in the same general direc-
(a) Regular route authorities may be
tion as the carrier’s authorized service
tacked with one another;
route and
(b) Regular route authority may be (ii) Is wholly within 25 airline miles
tacked with irregular route authority; of the carrier’s authorized service
(c) Irregular route authorities may route; and
be tacked with one another if the au- (4) Service is provided in the same
thorities were granted pursuant to ap- manner as, and subject to any restric-
plication filed on or before November tions that apply to, service over the
23, 1973, and the distance between the authorized service route.
points at which service is provided,
when measured through the gateway § 356.11 Elimination of gateways—reg-
point, is 300 miles or less; and ular and irregular route carriers.
(d) Irregular route authorities may A motor common carrier of property
be tacked with one another if the au- holding separate grants of authority
thorities involved contain a specific (including regular route authority),
provision granting the right to tack. one or more of which authorizes trans-
portation over irregular routes, where
§ 356.9 Elimination of routing restric- the authorities have a common service
tions—regular route carriers.
point at which they can lawfully be
(a) Regular route authorities—construc- tacked to perform through service,
tion. All certificates that, either singly may perform such through service over
or in combination, authorize the trans- any available route.
portation by a motor common carrier
of property over: § 356.13 Redesignated highways.
(1) A single regular route or; Where a highway over which a reg-
(2) Over two or more regular routes ular route motor common carrier of
that can lawfully be tacked at a com- property is authorized to operate is as-
mon service point, shall be construed signed a new designation, such as a
as authorizing transportation between new number, letter, or name, the car-
authorized service points over any rier shall advise the FMCSA by letter,
available route. and shall provide information con-
(b) Service at authorized points. A com- cerning the new and the old designa-
mon carrier departing from its author- tion, the points between which the
ized service routes under paragraph (a) highway is redesignated, and each
of this section shall continue to serve place where the highway is referred to
points authorized to be served on or in in the carrier’s authority. The new des-
connection with its authorized service ignation of the highway will be shown
routes. in the carrier’s certificate when the
(c) Intermediate point service. A com- FMCSA has occasion to reissue it.
mon carrier conducting operations
under paragraph (a) of this section may PART 360—FEES FOR MOTOR CAR-
serve points on, and within one airline RIER REGISTRATION AND INSUR-
mile of, an alternative route it elects ANCE
to use if all the following conditions
are met:
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Sec.
(1) The carrier is authorized to serve 360.1 Fees for records search, review, copy-
all intermediate points (without regard ing, certification, and related services.

37

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§ 360.1 49 CFR Ch. III (10–1–07 Edition)
360.3 Filing fees. surety or self-insurer accepted certifi-
360.5 Updating user fees. cate of insurance, surety bond or other
AUTHORITY: 31 U.S.C. 9701; 49 U.S.C. 13908(c) instrument submitted in lieu of a
and 14504(c)(2); and 49 CFR 1.73. broker surety bond must be charged to
SOURCE: 64 FR 7137, Feb. 12, 1999, unless an insurance service account estab-
otherwise noted. lished by the Federal Motor Carrier
Safety Administration in accordance
EDITORIAL NOTE: Nomenclature changes to
part 360 appear at 66 FR 49870, Oct. 1, 2001. with paragraph (a)(2) of this section.
(2) Billing account procedure. A writ-
§ 360.1 Fees for records search, review, ten request must be submitted to the
copying, certification, and related Office of Enforcement and Compliance,
services. Insurance Compliance Division (MC-
Certifications and copies of public PSDECI) to establish an insurance
records and documents on file with the service fee account.
Federal Motor Carrier Safety Adminis- (i) Each account will have a specific
tration will be furnished on the fol- billing date within each month and a
lowing basis, pursuant to the Freedom billing cycle. The billing date is the
of Information Act regulations at 49 date that the bill is prepared and print-
CFR Part 7: ed. The billing cycle is the period be-
(a) Certificate of the Director, Office tween the billing date in one month
of Data Analysis and Information Sys- and the billing date in the next month.
tems, as to the authenticity of docu- A bill for each account which has ac-
ments, $9.00; tivity or an unpaid balance during the
(b) Service involved in checking billing cycle will be sent on the billing
records to be certified to determine au- date each month. Payment will be due
thenticity, including clerical work, 20 days from the billing date. Pay-
etc., incidental thereto, at the rate of ments received before the next billing
$16.00 per hour; date are applied to the account. Inter-
(c) Copies of the public documents, at est will accrue in accordance with 4
the rate of $.80 per letter size or legal CFR 102.13.
size exposure. A minimum charge of (ii) The Debt Collection Act of 1982,
$5.00 will be made for this service; and including disclosure to the consumer
(d) Search and copying services re- reporting agencies and the use of col-
quiring ADP processing, as follows: lection agencies, as set forth in 4 CFR
(1) A fee of $42.00 per hour for profes- 102.5 and 102.6 will be utilized to en-
sional staff time will be charged when courage payment where appropriate.
it is required to fulfill a request for (iii) An account holder who files a pe-
ADP data. tition in bankruptcy or who is the sub-
(2) The fee for computer searches will ject of a bankruptcy proceeding must
be set at the current rate for computer provide the following information to
service. Information on those charges theOffice of Enforcement and Compli-
can be obtained from the Office of Data ance, Insurance Division (MC-PSDECI):
Analysis and Information Systems (A) The filing date of the bankruptcy
(MC-PSDRIS). petition;
(3) Printing shall be charged at the (B) The court in which the bank-
rate of $.10 per page of computer gen- ruptcy petition was filed;
erated output with a minimum charge (C) The type of bankruptcy pro-
of $.25. A charge of $30 per reel of mag- ceeding;
netic tape will be made if the tape is to (D) The name, address, and telephone
be permanently retained by the re- number of its representative in the
questor. bankruptcy proceeding; and
(E) The name, address, and telephone
§ 360.3 Filing fees. number of the bankruptcy trustee, if
(a) Manner of payment. (1) Except for one has been appointed.
the insurance fees described in the next (3) Fees will be payable to the Fed-
sentence, all filing fees will be payable eral Motor Carrier Safety Administra-
at the time and place the application, tion by a check payable in United
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petition, or other document is tendered States currency drawn upon funds de-
for filing. The service fee for insurance, posited in a United States or foreign

38

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Federal Motor Carrier Safety Administration, DOT § 360.3

bank or other financial institution, rently filed applications, petitions, or


money order payable in United States’ other documents asserted to be related
currency, or credit card (VISA or and refund the filing fee if, in its judg-
MASTERCARD). ment, they embrace two or more sever-
(b) Any filing that is not accom- able matters which should be the sub-
panied by the appropriate filing fee is ject of separate proceedings.
deficient except for filings that satisfy (e) Waiver or reduction of filing fees. It
the deferred payment procedures in is the general policy of the Federal
paragraph (a) of this section. Motor Carrier Safety Administration
(c) Fees not refundable. Fees will be not to waive or reduce filing fees ex-
assessed for every filing in the type of cept as described as follows:
proceeding listed in the schedule of (1) Filing fees are waived for an ap-
fees contained in paragraph (f) of this plication or other proceeding which is
section, subject to the exceptions con- filed by a Federal government agency,
tained in paragraphs (d) and (e) of this or a State or local government entity.
section. After the application, petition, For purposes of this section the
or other document has been accepted phrases ‘‘Federal government agency’’
for filing by the Federal Motor Carrier or ‘‘government entity’’ do not include
Safety Administration, the filing fee a quasi-governmental corporation or
will not be refunded, regardless of government subsidized transportation
whether the application, petition, or company.
other document is granted or approved,
(2) In extraordinary situations the
denied, rejected before docketing, dis-
Federal Motor Carrier Safety Adminis-
missed, or withdrawn.
tration will accept requests for waivers
(d) Related or consolidated proceedings.
or fee reductions in accordance with
(1) Separate fees need not be paid for
the following procedure:
related applications filed by the same
applicant which would be the subject of (i) When to request. At the time that
one proceeding. (This does not mean re- a filing is submitted to the Federal
quests for multiple types of operating Motor Carrier Safety Administration
authority filed on forms in the OP–1 se- the applicant may request a waiver or
ries under the regulations at 49 CFR reduction of the fee prescribed in this
part 365. A separate filing fee is re- part. Such request should be addressed
quired for each type of authority to the Director, Office of Data Analysis
sought in each transportation mode, and Information Systems.
e.g., common, contract, and broker au- (ii) Basis. The applicant must show
thority for motor property carriers.) the waiver or reduction of the fee is in
(2) Separate fees will be assessed for the best interest of the public, or that
the filing of temporary operating au- payment of the fee would impose an
thority applications as provided in undue hardship upon the requestor.
paragraph (f)(6) of this section, regard- (iii) Federal Motor Carrier Safety Ad-
less of whether such applications are ministration action. The Director, Office
related to an application for cor- of Data Analysis and Information Sys-
responding permanent operating au- tems, will notify the applicant of the
thority. decision to grant or deny the request
(3) The Federal Motor Carrier Safety for waiver or reduction.
Administration may reject concur- (f) Schedule of filing fees.
Type of Proceeding Fee

Part I: Licensing:
(1) ................................ An application for motor carrier operating authority, a certificate of reg- $300
istration for certain foreign carriers, property broker authority, or freight
forwarder authority.
(2) ................................ A petition to interpret or clarify an operating authority ................................ 3,000
(3) ................................ A request seeking the modification of operating authority only to the ex- 50
tent of making a ministerial correction, when the original error was
caused by applicant, a change in the name of the shipper or owner of
a plant site, or the change of a highway name or number.
(4) ................................ A petition to renew authority to transport explosives .................................. 250
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(5) ................................ An application for authority to deviate from authorized regular-route au- 150
thority.

39

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§ 360.5 49 CFR Ch. III (10–1–07 Edition)

Type of Proceeding Fee

(6) ................................ An application for motor carrier temporary authority issued in an emer- 100
gency situation.
(7) ................................ Request for name change of a motor carrier, property broker, or freight 14
forwarder.
(8) ................................ An application involving the merger, transfer, or lease of the operating 300
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 qualification as self-insurer for bodily injury 4,200
and property damage insurance (BI&PD).
(ii) An application for original qualification as self-insurer for cargo insur- 420
ance.
(51) .............................. A service fee for insurer, surety, or self-insurer accepted certificate of in- $10 per accepted certifi-
surance, surety bond, and other instrument submitted in lieu of a cate, surety bond or
broker surety bond. other instrument sub-
mitted in lieu of a
broker surety bond.
(52) .............................. A petition for reinstatement of revoked operating authority ........................ 80
(53)—(79) .................... [Reserved].
Part III: Services:
(80) .............................. Request for service or pleading list for proceedings ................................... 13 per list
(81) .............................. Faxed copies of operating authority to applicants or their representatives 5
who did not receive a served copy.

(g) Returned check policy. (1) If a FEDERAL REGISTER and shall become
check submitted to the FMCSA for a effective 30 days after publication.
filing or service fee is dishonored by a (c) Payment of fees. Any person sub-
bank or financial institution on which mitting a filing for which a fee is es-
it is drawn, the FMCSA will notify the tablished shall pay the fee in effect at
person who submitted the check that: the time of the filing.
(i) All work will be suspended on the (d) Method of updating fees. Each fee
filing or proceeding, until the check is shall be updated by updating the cost
made good; components comprising the fee. Cost
(ii) A returned check charge of $6.00 components shall be updated as fol-
and any bank charges incurred by the lows:
FMCSA as a result of the dishonored (1) Direct labor costs shall be updated
check must be submitted with the fil- by multiplying base level direct labor
ing fee which is outstanding; and costs by percentage changes in average
(iii) If payment is not made within wages and salaries of FMCSA employ-
the time specified by the FMCSA, the ees. Base level direct labor costs are di-
proceeding will be dismissed or the fil- rect labor costs determined by the cost
ing may be rejected. study in Regulations Governing Fees For
(2) If a person repeatedly submits dis- Service, 1 I.C.C. 2d 60 (1984), or subse-
honored checks to the FMCSA for fil- quent cost studies. The base period for
ing fees, the FMCSA may notify the measuring changes shall be April 1984
person that all future filing fees must or the year of the last cost study.
be submitted in the form of a certified (2) Operations overhead shall be de-
or cashier’s check, money order, or veloped each year on the basis of cur-
credit card. rent relationships existing on a weight-
ed basis, for indirect labor applicable
[64 FR 7137, Feb. 12, 1999, as amended at 67 to the first supervisory work centers
FR 61820, Oct. 2, 2002] directly associated with user fee activ-
ity. Actual updating of operations
§ 360.5 Updating user fees.
overhead will be accomplished by ap-
(a) Update. Each fee established in plying the current percentage factor to
this part may be updated in accordance updated direct labor, including current
with this section as deemed necessary governmental overhead costs.
by the FMCSA. (3)(i) Office general and administra-
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(b) Publication and effective dates. Up- tive costs shall be developed each year
dated fees shall be published in the on the basis of current levels costs, i.e.,

40

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Federal Motor Carrier Safety Administration, DOT Pt. 365

dividing actual office general and ad- 365.111 Appeals to rejections of the applica-
ministrative costs for the current fis- tion.
cal year by total office costs for the of- 365.113 Changing the request for authority
or filing supplementary evidence after
fice directly associated with user fee the application is filed.
activity. Actual updating of office gen- 365.115 After publication in the FMCSA
eral and administrative costs will be Register.
accomplished by applying the current 365.117 Obtaining a copy of the application.
percentage factor to updated direct 365.119 Opposed applications.
labor, including current governmental 365.121 Filing a reply statement.
overhead and current operations over- 365.123 Applicant withdrawal.
head costs.
Subpart B—How To Oppose Requests for
(ii) FMCSA general and administra- Authority
tive costs shall be developed each year
on the basis of current level costs; i.e., 365.201 Definitions.
dividing actual FMCSA general and ad- 365.203 Time for filing.
ministrative costs for the current fis- 365.205 Contents of the protest.
365.207 Withdrawal.
cal year by total agency expenses for
the current fiscal year. Actual updat- Subpart C—General Rules Governing the
ing of FMCSA general and administra- Application Process
tive costs will be accomplished by ap-
plying the current percentage factor to 365.301 Applicable rules.
updated direct labor, including current 365.303 Contacting another party.
governmental overhead, operations 365.305 Serving copies of pleadings.
365.307 Replies to motions.
overhead and office general and admin- 365.309 FAX filings.
istrative costs.
(4) Publication costs shall be ad- Subpart D—Transfer of Operating Rights
justed on the basis of known changes in Under 49 U.S.C. 10926
the costs applicable to publication of
material in the FEDERAL REGISTER or 365.401 Scope of rules.
365.403 Definitions.
FMCSA Register. 365.405 Applications.
(This rounding procedures excludes 365.407 Notice.
copying, printing and search fees.) 365.409 FMCSA action and criteria for ap-
(e) Rounding of updated fees. Updated proval.
fees shall be rounded in the following 365.411 Responsive pleadings.
manner: 365.413 Procedures for changing the name or
business form of a motor carrier, freight
(1) Fees between $1 and $30 will be
forwarder, or property broker.
rounded to the nearest $1;
(2) Fees between $30 and $100 will be Subpart E—Special Rules for Certain
rounded to the nearest $10; Mexico-Domiciled Carriers
(3) Fees between $100 and $999 will be
rounded to the nearest $50; and 365.501 Scope of rules.
365.503 Application.
(4) Fees above $1,000 will be rounded 365.505 Re-registration and fee waiver for
to the nearest $100. certain applicants.
365.507 FMCSA action on the application.
PART 365—RULES GOVERNING AP- 365.509 Requirement to notify FMCSA of
change in applicant information.
PLICATIONS FOR OPERATING 365.511 Requirement for CVSA inspection of
AUTHORITY vehicles during first three consecutive
years of permanent operating authority.
Subpart A—How To Apply for Operating APPENDIX A TO SUBPART E—EXPLANATION OF
Authority PRE-AUTHORIZATION SAFETY AUDIT EVAL-
UATION CRITERIA FOR MEXICO-DOMICILED
Sec. MOTOR CARRIERS
365.101 Applications governed by these
rules. AUTHORITY: 5 U.S.C. 553 and 559; 16 U.S.C.
365.103 Modified procedure. 1456; 49 U.S.C. 13101, 13301, 13901–13906, 14708,
365.105 Starting the application process: 31138, and 31144; 49 CFR 1.73.
Form OP–1. SOURCE: 59 FR 63728, Dec. 9, 1994, unless
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365.107 Types of applications. otherwise noted. Redesignated at 61 FR 54707,


365.109 FMCSA review of the application. Oct. 21, 1996.

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§ 365.101 49 CFR Ch. III (10–1–07 Edition)
EDITORIAL NOTE: Nomenclature changes to to each other and to the FMCSA. There
part 365 appear at 66 FR 49870, Oct. 1, 2001. are no personal appearances or formal
hearings.
Subpart A—How To Apply for
Operating Authority § 365.105 Starting the application proc-
ess: Form OP–1.
§ 365.101 Applications governed by (a) All applicants must file the appro-
these rules.
priate form in the OP–1 series, effective
These rules govern the handling of January 1, 1995. Form OP–1 for motor
applications for operating authority of property carriers and brokers of gen-
the following type: eral freight and household goods; Form
(a) Applications for certificates and OP–1(P) for motor passenger carriers;
permits to operate as a motor common Form OP–1(FF) for freight forwarders;
or contract carrier of property or pas- and Form OP–1(MX) for Mexico-domi-
sengers. ciled motor property carriers, includ-
(b) Applications for permits to oper-
ing household goods and motor pas-
ate as a freight forwarder.
senger carriers. A separate filing fee in
(c) [Reserved]
the amount set forth at 49 CFR
(d) Applications for licenses to oper-
ate as a broker of motor vehicle trans- 360.3(f)(1) is required for each type of
portation. authority sought in each transpor-
(e) Applications for certificates under tation mode.
49 U.S.C. 13902(b)(3) to operate as a (b) Obtain forms at a FMCSA Divi-
motor common carrier of passengers in sion Office in each State or at one of
intrastate commerce on a route over the FMCSA Service Centers. Addresses
which applicant holds interstate au- and phone numbers for the Division Of-
thority as of November 19, 1982. fices and Service Centers can be found
(f) Applications for certificates under at: http://www.fmcsa.dot.gov/aboutus/
49 U.S.C. 13902(b)(3) to operate as a fieldoffices. The forms and information
motor common carrier of passengers in about filing procedures can be
intrastate commerce on a route over downloaded at: http://
which applicant has been granted or www.fmcsa.dot.gov/factsfigs/formspubs;
will be granted interstate authority and from the do-it-yourself website at:
after November 19, 1982. http://www.diy.dot.gov.
(g) Applications for temporary motor
[66 FR 49870, Oct. 1, 2001, as amended at 67 FR
carrier authority.
12714, Mar. 19, 2002; 67 FR 61820, Oct. 2, 2002]
(h) Applications for Mexico-domiciled
motor carriers to operate in foreign § 365.107 Types of applications.
commerce as common, contract or pri-
vate motor carriers of property (includ- (a) Fitness applications. Motor prop-
ing exempt items) between Mexico and erty applications and certain types of
all points in the United States. Under motor passenger applications require
NAFTA Annex I, page I-U-20, a Mexico- only the finding that the applicant is
domiciled motor carrier may not pro- fit, willing and able to perform the in-
vide point-to-point transportation volved operations and to comply with
services, including express delivery all applicable statutory and regulatory
services, within the United States for provisions. These applications can be
goods other than international cargo. opposed only on the grounds that appli-
cant is not fit [e.g., is not in compli-
[59 FR 63728, Dec. 9, 1994, as amended at 60
FR 63981, Dec. 13, 1995; 62 FR 49940, Sept. 24, ance with applicable financial responsi-
1997; 67 FR 12714, Mar. 19, 2002; 67 FR 61820, bility and safety fitness requirements].
Oct. 2, 2002] These applications are:
(1) Motor common and contract car-
§ 365.103 Modified procedure. rier of property (except household
The FMCSA will handle licensing ap- goods) , Mexican motor property car-
plication proceedings using the modi- riers that perform private carriage and
fied procedure, if possible. The appli- transport exempt items, and motor
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cant and protestants send statements contract carrier of passengers trans-


made under oath (verified statements) portation.

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Federal Motor Carrier Safety Administration, DOT § 365.109

(2) Motor carrier brokerage of gen- Form OP–1(P) for motor passenger car-
eral commodities (except household riers.
goods). [59 FR 63728, Dec. 9, 1994, as amended at 60
(3) Certain types of motor passenger FR 63981, Dec. 13, 1995; 62 FR 49940, Sept. 24,
applications as described in Form OP– 1997; 67 FR 61820, Oct. 2, 2002]
1 (P).
(b) Motor passenger ‘‘public interest’’ § 365.109 FMCSA review of the appli-
cation.
applications as described in Form OP–
1 (P). (a) FMCSA staff will review the ap-
(c) Intrastate motor passenger appli- plication for correctness, complete-
cations under 49 U.S.C. 13902(b)(3) as ness, and adequacy of the evidence (the
prima facie case).
described in Form OP–1, Schedule B.
(1) Minor errors will be corrected
(d) Motor common carrier of house- without notification to the applicant.
hold goods applications, including (2) Materially incomplete applica-
Mexican carrier applicants. These ap- tions will be rejected. Applications
plications require a finding that: that are in substantial compliance
(1) The applicant is fit, willing, and with these rules may be accepted.
able to provide the involved transpor- (3) All motor carrier applications will
tation and to comply with all applica- be reviewed for consistency with the
ble statutory and regulatory provi- FMCSA’s operational safety fitness
sions; and policy. Applicants with ‘‘Unsatisfac-
(2) The service proposed will serve a tory’’ safety fitness ratings from DOT
useful public purpose, responsive to a will have their applications rejected.
public demand or need. (4) FMCSA staff will review com-
(e) Motor contract carrier of house- pleted applications that conform with
hold goods, household goods property the FMCSA’s safety fitness policy and
broker, and freight forwarder applica- that are accompanied by evidence of
tions. These applications require a adequate financial responsibility.
(5) Financial responsibility is indi-
finding that:
cated by filing within 20 days from the
(1) The applicant is fit, willing, and date an application notice is published
able to provide the involved transpor- in the FMCSA Register:
tation and to comply with all applica- (i) Form BMC–91 or 91X or BMC 82 sur-
ble statutory and regulatory provi- ety bond—Bodily injury and property
sions; and damage (motor property and passenger
(2) The transportation to be provided carriers; household goods freight for-
will be consistent with the public in- warders that provide pickup or delivery
terest and the national transportation service directly or by using a local de-
policy of 49 U.S.C. 13101. livery service under their control).
(f) Temporary authority (TA) for (ii) Form BMC–84—Surety bond or
motor and water carriers. These appli- Form BMC–85—trust fund agreement
cations require a finding that there is (property brokers of general commod-
or soon will be an immediate transpor- ities and household goods).
tation need that cannot be met by ex- (iii) Form BMC–34 or BMC 83 surety
isting carrier service. bond—Cargo liability (motor property
(g)In view of the expedited time common carriers and household goods
freight forwarders).
frames established in this part for
(6) Applicants also must submit
processing requests for permanent au-
Form BOC–3—designation of legal proc-
thority, applications for TA will be en-
ess agents—within 20 days from the
tertained only in exceptional cir- date an application notice is published
cumstances (i.e., natural disasters or in the FMCSA Register.
national emergencies) when evidence of (7) Applicants seeking to conduct op-
immediate service need can be specifi- erations for which tariffs are required
cally documented in a narrative sup- may not commence such operations
plement appended to Form OP–1 for until tariffs are in effect.
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motor property carriers, Form OP–1MX (8) All applications must be com-
for Mexican property carriers and, pleted in English.

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§ 365.111 49 CFR Ch. III (10–1–07 Edition)

(b) A summary of the application will § 365.121 Filing a reply statement.


be published as a preliminary grant of (a) If the application is opposed, ap-
authority in the FMCSA Register to plicant may file a reply statement.
give notice to the public in case anyone This statement is due within 20 days
wishes to oppose the application. after FMCSA Register publication.
[59 FR 63728, Dec. 9, 1994, as amended at 60 (b) The reply statement may not con-
FR 63981, Dec. 13, 1995; 67 FR 61820, Oct. 2, tain new evidence. It shall only rebut
2002] or further explain matters previously
raised.
§ 365.111 Appeals to rejections of the (c) The reply statement need not be
application. notarized or verified. Applicant under-
(a) An applicant has the right to ap- stands that the oath in the application
peal rejection of the application. The form applies to all evidence submitted
appeal must be filed at the FMCSA in the application. Separate legal argu-
within 10 days of the date of the letter ments by counsel need not be notarized
of rejection. or verified.
(b) If the appeal is successful and the § 365.123 Applicant withdrawal.
filing is found to be proper, the appli-
cation shall be deemed to have been If the applicant wishes to withdraw
an application, it shall request dis-
properly filed as of the decision date of
missal in writing.
the appeal.

§ 365.113 Changing the request for au- Subpart B—How To Oppose


thority or filing supplementary evi- Requests for Authority
dence after the application is filed.
§ 365.201 Definitions.
(a) Once the application is filed, the
applicant may supplement evidence A person wishing to oppose a request
only with approval of the FMCSA. for permanent authority files a protest.
(b) Amendments to the application A person filing a valid protest becomes
generally are not permitted, but in ap- a protestant.
propriate instances may be entertained § 365.203 Time for filing.
at the discretion of the FMCSA.
A protest shall be filed (received at
§ 365.115 After publication in the the FMCSA) within 10 days after notice
FMCSA Register. of the application appears in the
FMCSA Register. A copy of the protest
(a) Interested persons have 10 days
shall be sent to applicant’s representa-
from the date of FMCSA Register publi- tive at the same time. Failure timely
cation to file protests. See Subpart B to file a protest waives further partici-
of this part. pation in the proceeding.
(b) If no one opposes the application,
the grant published in the FMCSA Reg- § 365.205 Contents of the protest.
ister will become effective by issuance (a) All information upon which the
of a certificate, permit, or license. protestant plans to rely is put into the
protest.
§ 365.117 Obtaining a copy of the ap- (b) A protest must be verified, as fol-
plication.
lows:
After publication, interested persons
I, llllllllll, verify under penalty
may request a copy of the application of perjury under laws of the United States of
by contacting the FMCSA-designated America, that the information above is true
contract agent (as identified in the and correct. Further, I certify that I am
FMCSA Register). qualified and authorized to file this protest.
(See 18 U.S.C. 1001 and 18 U.S.C. 1621 for pen-
§ 365.119 Opposed applications. alties.)
(Signature and Date)
If the application is opposed, oppos-
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ing parties are required to send a copy (c) A protest not in substantial com-
of their protest to the applicant. pliance with applicable statutory

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Federal Motor Carrier Safety Administration, DOT § 365.403

standards or these rules may be re- time frames established for protesting
jected. an application, however, the FMCSA
(d) Protests must respond directly to will accept FAX filings of protests and
the statutory standards for FMCSA re- any reply or rebuttal evidence. FAX
view of the application. As these stand- filings of these pleadings must be fol-
ards vary for particular types of appli- lowed by the original document, plus
cations, potential protestants should one copy for FMCSA recordkeeping
refer to the general criteria addressed purposes.
at § 365.107 and may consult the FMCSA
at (202) 366–9805 for further assistance Subpart D—Transfer of Operating
in developing their evidence. Rights Under 49 U.S.C. 10926
[59 FR 63728, Dec. 9, 1994. Redesignated at 61
FR 54707, Oct. 21, 1996, as amended at 62 FR SOURCE: 53 FR 4852, Feb. 18, 1988, unless
49940, Sept. 24, 1997] otherwise noted. Redesignated at 61 FR 54707,
Oct. 21, 1996.
§ 365.207 Withdrawal.
A protestant wishing to withdraw § 365.401 Scope of rules.
from a proceeding shall inform the These rules define the procedures
FMCSA and applicant in writing. that enable motor passenger and prop-
erty carriers,, property brokers, and
Subpart C—General Rules Gov- household goods freight forwarders to
erning the Application Proc- obtain approval from the FMCSA to
ess merge, transfer, or lease their oper-
ating rights in financial transactions
§ 365.301 Applicable rules. not subject to 49 U.S.C. 11343. Trans-
Generally, all application pro- actions covered by these rules are gov-
ceedings are governed by the FMCSA’s erned by 49 U.S.C. 10321 and 10926. The
Rules of Practice at part 386 of this filing fee is set forth at 49 CFR
chapter except as designated below. 360.3(f)(8).

§ 365.303 Contacting another party. [53 FR 4852, Feb. 18, 1988, as amended at 67
FR 61820, Oct. 2, 2002]
When a person wishes to contact a
party or serve a pleading or letter on § 365.403 Definitions.
that party, it shall do so through its
For the purposes of this part, the fol-
representative. The phone and FAX
lowing definitions apply:
numbers and address of applicant’s rep-
(a) Transfer. Transfers include all
resentative shall be listed in the
transactions (i.e., the sale or lease of
FMCSA Register.
interstate operating rights, 1 or the
§ 365.305 Serving copies of pleadings. merger of two or more carriers or a
carrier into a noncarrier) subject to 49
(a) An applicant must serve all plead- U.S.C. 10926, as well as the sale of prop-
ings and letters on the FMCSA and all erty brokers’ licenses under 49 U.S.C.
known participants in the proceeding, 10321.
except that a reply to a motion need
(b) Operating rights. Operating rights
only be served on the moving party.
include:
(b) A protestant need serve only the
(1) Certificates and permits issued to
FMCSA and applicant with pleadings
motor carriers;
or letters.
(2) Permits issued to freight for-
§ 365.307 Replies to motions. warders;
Replies to motions filed under this
1 The execution of a chattel mortgage, deed
part are due within 5 days of the date
the motion is filed at the FMCSA. of trust, or other similar document does not
constitute a transfer or require the FMCSA’s
§ 365.309 FAX filings. approval. However, a foreclosure for the pur-
pose of transferring an operating right to
FAX filings of applications and sup- satisfy a judgment or claim against the
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porting evidence are not permitted. To record holder may not be effected without
assist parties in meeting the expedited approval of the FMCSA.

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§ 365.405 49 CFR Ch. III (10–1–07 Edition)

(3) Licenses issued to property bro- acquired from the transferor upon its
kers; and compliance with the FMCSA’s regula-
(4) Certificates of Registration issued tions governing insurance, and process
to motor carriers. The term also in- agents. See 49 CFR parts 387, subpart C,
cludes authority held by virtue of the and 366, respectively. In the alter-
gateway elimination regulations pub- native, applicants may wait until the
lished in the FEDERAL REGISTER as let- FMCSA has issued a decision on their
ter-notices. application before transferring the op-
(c) Certificate of registration. The evi- erating rights. If the transferee wants
dence of a motor carrier’s right to en- the transferor’s operating authority to
gage in interstate or foreign commerce be reissued in its name, it should fur-
within a single State is established by nish the FMCSA with a statement exe-
a corresponding State certificate. cuted by both transferor and transferee
(d) Person. An individual, partner- indicating that the transaction has
ship, corporation, company, associa- been consummated. Authority will not
tion, or other form of business, or a be reissued until after the FMCSA has
trustee, receiver, assignee, or personal approved the transaction.
representative of any of these. (b) Information required. (1) In cat-
(e) Record holder. The person shown egory 1 and category 2 transfers, appli-
on the records of the FMCSA as the cants must furnish the following infor-
legal owner of the operating rights. mation:
(f) Control. A relationship between (i) Full name, address, and signatures
persons that includes actual control, of the transferee and transferor.
legal control, and the power to exercise (ii) A copy of the transferor’s oper-
control, through or by common direc- ating authority involved in the trans-
tors, officers, stockholders, a voting fer proceeding.
trust, a holding or investment com- (iii) A short summary of the essential
pany, or any other means. terms of the transaction.
(g) Category 1 transfers. Transactions (iv) If relevant, the status of pro-
in which the person to whom the oper- ceedings for the transfer of State cer-
ating rights would be transferred is not tificate(s) corresponding to the Certifi-
an FMCSA carrier and is not affiliated cates of Registration being transferred.
with any FMCSA carrier. (v) A statement as to whether the
(h) Category 2 transfers. Transactions transfer will or will not significantly
in which the person to whom the oper- affect the quality of the human envi-
ating rights would be transferred is an ronment.
FMCSA carrier and/or is affiliated with (vi) Certification by transferor and
an FMCSA carrier. transferee of their current respective
[53 FR 4852, Feb. 18, 1988, as amended at 67 safety ratings by the United States De-
FR 61821, Oct. 2, 2002] partment of Transportation (i.e., satis-
factory, conditional, unsatisfactory, or
§ 365.405 Applications. unrated).
(a) Procedural requirements. (1) At (vii) Certification by the transferee
least 10 days before consummation, an that it has sufficient insurance cov-
original and two copies of a properly erage under 49 U.S.C. 13906 for the serv-
completed Form OP-FC-1 and any at- ice it intends to provide.
tachments (see paragraph (b)(1)(viii) of (viii) Information to demonstrate
this section) must be filed with the that the proposed transaction is con-
Federal Motor Carrier Safety Adminis- sistent with the national transpor-
tration, IT Operations Division (MC– tation policy and satisfies the criteria
RIO), 1200 New Jersey Ave., SE., Wash- for approval set forth at § 365.409 of this
ington, DC 20590–0001. part. (Such information may be ap-
(2) At any time after the expiration pended to the application form and, if
of the 10-day waiting period, applicants provided, would be embraced by the
may consummate the transaction, sub- oath and verification contained on that
ject to the subsequent approval of the form.)
application by the FMCSA, as de- (ix) If motor carrier operating rights
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scribed below. The transferee may are being transferred, certification by


commence operations under the rights the transferee that it is not domiciled

46

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Federal Motor Carrier Safety Administration, DOT § 365.413

in Mexico nor owned or controlled by § 365.411 Responsive pleadings.


persons of that country.
(a) Protests must be filed within 20
(2) Category 2 applicants must also days after the date of publication of an
submit the following additional infor- approved transfer application in the
mation: FMCSA Register. Protests received prior
(i) Name(s) of the carrier(s), if any, to the notice will be rejected. Appli-
with which the transferee is affiliated. cants may respond within 20 days after
(ii) Aggregate revenues of the trans- the due date of protests. Petitions for
feror, transferee, and their carrier af- reconsideration of decisions denying
filiates from interstate transportation applications must be filed within 20
sources for a 1-year period ending not days after the date of service of such
earlier than 6 months before the date decisions.
of the agreement of the parties con- (b) Protests and petitions for recon-
cerning the transaction. If revenues ex- sideration must be filed with the Fed-
ceed $2 million, the transfer may be eral Motor Carrier Safety Administra-
subject to 49 U.S.C. 14303 rather than tion, IT Operations Division (MC–RIO),
these rules. 1200 New Jersey Ave., SE., Washington,
[53 FR 4852, Feb. 18, 1988, as amended at 54
DC 20590–0001, and be served on appro-
FR 35343, Aug. 25, 1989; 62 FR 49940, Sept. 24, priate parties.
1997; 67 FR 61821, Oct. 2, 2002; 68 FR 56198, [53 FR 4852, Feb. 18, 1988, as amended at 67
Sept. 30, 2003; 72 FR 55699, Oct. 1, 2007] FR 61821, Oct. 2, 2002; 68 FR 56198, Sept. 30,
2003; 72 FR 55699, Oct. 1, 2007]
§ 365.407 Notice.
The FMCSA will give notice of ap- § 365.413 Procedures for changing the
proved transfer applications through name or business form of a motor
carrier, freight forwarder, or prop-
publication in the FMCSA Register. erty broker.
§ 365.409 FMCSA action and criteria (a) Scope. These procedures apply in
for approval. the following circumstances:
A transfer will be approved under (1) A change in the form of a busi-
ness, such as the incorporation of a
this section if:
partnership or sole proprietorship;
(a) The transaction is not subject to
(2) A change in the legal name of a
49 U.S.C. 14303; and
corporation or partnership or change in
(b) The transaction is consistent with the trade name or assumed name of
the public interest; however, any entity;
(c) If the transferor or transferee has (3) A transfer of operating rights
an ‘‘Unsatisfactory’’ safety fitness rat- from a deceased or incapacitated
ing from DOT, the transfer may be de- spouse to the other spouse;
nied. If an application is denied, the (4) A reincorporation and merger for
FMCSA will set forth the basis for its the purpose of effecting a name change;
action in a decision or letter notice. If (5) An amalgamation or consolida-
parties with ‘‘Unsatisfactory’’ safety tion of a carrier and a noncarrier into
fitness ratings consummate a trans- a new carrier having a different name
action pursuant to the 10-day rule at from either of the predecessor entities;
§ 365.405 of this part prior to the notifi- and
cation of FMCSA action, they do so at (6) A change in the State of incorpo-
their own risk and subject to any con- ration accomplished by dissolving the
ditions we may impose subsequently. corporation in one State and reincor-
Transactions that have been con- porating in another State.
summated but later are denied by the (b) Procedures. To accomplish these
FMCSA are null and void and must be changes, a letter must be sent to the
rescinded. Similarly, if applications Federal Motor Carrier Safety Adminis-
contain false or misleading informa- tration, IT Operations Division (MC–
tion, they are void ab initio. RIO), 1200 New Jersey Ave., SE., Wash-
[53 FR 4852, Feb. 18, 1988, as amended at 56 ington, DC 20590–0001. The envelope
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FR 46735, Sept. 16, 1991; 62 FR 49940, Sept. 24, should be marked ‘‘NAME CHANGE’’.
1997] The applicant must provide:

47

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§ 365.501 49 CFR Ch. III (10–1–07 Edition)

(1) The docket number(s) and name of U.S. Municipalities and Commercial
the carrier requesting the change; Zones on the U.S.-Mexico Border;
(2) A copy of the articles of incorpo- (2) Form MCS–150—Motor Carrier
ration and the State certificate reflect- Identification Report; and
ing the incorporation; (3) A notification of the means used
(3) The name(s) of the owner(s) of the to designate process agents, either by
stock and the distribution of the submission in the application package
shares; of Form BOC–3—Designation of Agents-
(4) The names of the officers and di- Motor Carriers, Brokers and Freight
rectors of the corporation; and Forwarders or a letter stating that the
(5) A statement that there is no applicant will use a process agent serv-
change in the ownership, management, ice that will submit the Form BOC–3
or control of the business. When this electronically.
procedure is being used to transfer op- (b) The Federal Motor Carrier Safety
erating rights from a deceased or inca- Administration (FMCSA) will only
pacitated spouse to the other spouse, process your application if it meets the
documentation that the other spouse following conditions:
has the legal right to effect such (1) The application must be com-
change must be included with the re- pleted in English;
quest. The fee for filing a name change (2) The information supplied must be
request is in § 360.3(f) of this chapter. accurate, complete, and include all re-
quired supporting documents and appli-
[53 FR 4852, Feb. 18, 1988, as amended at 54
FR 47364, Nov. 14, 1989; 62 FR 49940, Sept. 24, cable certifications in accordance with
1997; 68 FR 56198, Sept. 30, 2003; 72 FR 55699, the instructions to Form OP–1 (MX),
Oct. 1, 2007] Form MCS–150, and Form BOC–3;
(3) The application must include the
Subpart E—Special Rules for Cer- filing fee payable to the FMCSA in the
amount set forth at 49 CFR 360.3(f)(1);
tain Mexico-domiciled Car- and
riers (4) The application must be signed by
the applicant.
SOURCE: 67 FR 12714, Mar. 19, 2002, unless (c) You must submit the application
otherwise noted.
to the address provided in Form OP–
1(MX).
§ 365.501 Scope of rules.
(d) You may obtain the application
(a) The rules in this subpart govern forms from any FMCSA Division Office
the application by a Mexico-domiciled or download it from the FMCSA
motor carrier to provide transpor- website at: http://www.fmcsa.dot.gov/
tation of property or passengers in factsfigs/formspubs.htm.
interstate commerce between Mexico
and points in the United States beyond § 365.505 Re-registration and fee waiv-
the municipalities and commercial er for certain applicants.
zones along the United States-Mexico (a) If you filed an application using
international border. Form OP–1(MX) before May 3, 2002, you
(b) A Mexico-domiciled carrier may are required to file a new Form OP–
not provide point-to-point transpor- 1(MX). You do not need to submit a
tation services, including express deliv- new fee when you file a new application
ery services, within the United States under this subpart.
for goods other than international (b) If you hold a Certificate of Reg-
cargo. istration issued before April 18, 2002,
authorizing operations beyond the mu-
§ 365.503 Application.
nicipalities along the United States-
(a) Each applicant applying under Mexico border and beyond the commer-
this subpart must submit an applica- cial zones of such municipalities, you
tion that consists of: are required to file an OP–1(MX) if you
(1) Form OP–1 (MX)—Application to want to continue those operations. You
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Register Mexican Carriers for Motor do not need to submit a fee when you
Carrier Authority To Operate Beyond file an application under this subpart.

48

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Federal Motor Carrier Safety Administration, DOT § 365.509

(1) You must file the application by nicipalities in the United States on the
November 4, 2003. U.S.-Mexico international border and
(2) The FMCSA may suspend or re- beyond the commercial zones of such
voke the Certificate of Registration of municipalities. In order to operate in
any applicable holder that fails to com- the United States, a Mexico-domiciled
ply with the procedures set forth in motor carrier with provisional oper-
this section. ating authority must:
(3) Certificates of Registration issued (1) Have its surety or insurance pro-
before April 18, 2002, will remain valid vider file proof of financial responsi-
until the FMCSA acts on the OP–1(MX) bility in the form of certificates of in-
application. surance, surety bonds, and endorse-
[67 FR 12714, Mar. 19, 2002, as amended at 68 ments, as required by § 387.301 of this
FR 56198, Sept. 30, 2003] subchapter;
(2) File a hard copy of, or have its
§ 365.507 FMCSA action on the appli- process agent(s) electronically submit,
cation. Form BOC–3—Designation of Agents-
(a) The FMCSA will review and act Motor Carriers, Brokers and Freight
on each application submitted under Forwarders, as required by part 366 of
this subpart in accordance with the this subchapter; and
procedures set out in this part. (3) Comply with all provisions of the
(b) The FMCSA will validate the ac- safety monitoring system in subpart B
curacy of information and certifi- of part 385 of this subchapter, including
cations provided in the application by successfully passing CVSA Level I in-
checking data maintained in databases spections at least every 90 days and
of the governments of Mexico and the having decals affixed to each commer-
United States. cial motor vehicle operated in the
(c) Pre-authorization safety audit. United States as required by § 385.103(c)
Every Mexico-domiciled carrier that of this subchapter.
applies under this part must satisfac- (f) The FMCSA may grant permanent
torily complete an FMCSA-adminis- operating authority to a Mexico-domi-
tered safety audit before FMCSA will ciled carrier no earlier than 18 months
grant provisional operating authority after the date that provisional oper-
to operate in the United States. The ating authority is granted and only
safety audit is a review by the FMCSA after successful completion to the sat-
of the carrier’s written procedures and isfaction of the FMCSA of the safety
records to validate the accuracy of in- monitoring system for Mexico-domi-
formation and certifications provided ciled carriers set out in subpart B of
in the application and determine part 385 of this subchapter. Successful
whether the carrier has established or completion includes obtaining a satis-
exercises the basic safety management factory safety rating as the result of a
controls necessary to ensure safe oper- compliance review.
ations. The FMCSA will evaluate the
results of the safety audit using the § 365.509 Requirement to notify
criteria in Appendix A to this subpart. FMCSA of change in applicant in-
(d) If a carrier successfully completes formation.
the pre-authorization safety audit and (a) A motor carrier subject to this
the FMCSA approves its application subpart must notify the FMCSA of any
submitted under this subpart, FMCSA changes or corrections to the informa-
will publish a summary of the applica- tion in parts I, IA or II submitted on
tion as a preliminary grant of author- the Form OP–1(MX) or the Form BOC–
ity in the FMCSA Register to give no- 3—Designation of Agents—Motor Car-
tice to the public in case anyone wishes riers, Brokers and Freight Forwarders
to oppose the application, as required during the application process or after
in § 365.109(b) of this part. having been granted provisional oper-
(e) If the FMCSA grants provisional ating authority. The carrier must no-
operating authority to the applicant, it tify the FMCSA in writing within 45
will assign a distinctive USDOT Num- days of the change or correction.
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ber that identifies the motor carrier as (b) If a carrier fails to comply with
authorized to operate beyond the mu- paragraph (a) of this section, the

49

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§ 365.511 49 CFR Ch. III (10–1–07 Edition)

FMCSA may suspend or revoke its op- tion necessary to determine the carrier’s
erating authority until it meets those preparedness to comply with the Federal
requirements. Motor Carrier Safety Regulations, parts 382
through 399 of this subchapter, and the Fed-
§ 365.511 Requirement for CVSA in- eral Hazardous Material Regulations, parts
spection of vehicles during first 171 through 180 of this title;
three consecutive years of perma- (6) Inspection of available commercial
nent operating authority. motor vehicles to be used under provisional
operating authority, if any of these vehicles
A Mexico-domiciled motor carrier have not received a decal required by
granted permanent operating authority § 385.103(d) of this subchapter;
must have its vehicles inspected by (7) Evaluation of the carrier’s safety in-
Commercial Vehicle Safety Alliance spection, maintenance, and repair facilities
(CVSA)-certified inspectors every three or management systems, including
months and display a current inspec- verification of records of periodic vehicle in-
tion decal attesting to the successful spections;
completion of such an inspection for at (8) Verification of drivers’ qualifications,
least three consecutive years after re- including confirmation of the validity of the
ceiving permanent operating authority Licencia de Federal de Conductor of each
driver the carrier intends to assign to oper-
from the FMCSA.
ate under its provisional operating author-
APPENDIX A TO SUBPART E OF PART ity; and
(9) An interview of carrier officials to re-
365—EXPLANATION OF PRE-AUTHOR-
view safety management controls and evalu-
IZATION SAFETY AUDIT EVALUATION
ate any written safety oversight policies and
CRITERIA FOR MEXICO-DOMICILED practices.
MOTOR CARRIERS (d) To successfully complete the safety
audit, a Mexico-domiciled motor carrier
I. GENERAL
must demonstrate to the FMCSA that it has
(a) Section 350 of the Fiscal Year 2002 DOT the required elements in paragraphs (c)(2),
Appropriations Act (Pub. L. 107–87) directed (3), (4), (7), and (8) above and other basic safe-
the FMCSA to perform a safety audit of each ty management controls in place which func-
Mexico-domiciled motor carrier before the tion adequately to ensure minimum accept-
FMCSA grants the carrier provisional oper- able compliance with the applicable safety
ating authority to operate beyond United requirements. The FMCSA developed a
States municipalities and commercial zones ‘‘safety audit evaluation criteria,’’ which
on the United States-Mexico international uses data from the safety audit and roadside
border. inspections to determine that each applicant
(b) The FMCSA will decide whether it will for provisional operating authority has basic
conduct the safety audit at the Mexico-domi- safety management controls in place.
ciled motor carrier’s principal place of busi- (e) The safety audit evaluation process de-
ness in Mexico or at a location specified by veloped by the FMCSA is used to:
the FMCSA in the United States, in accord- (1) Evaluate basic safety management con-
ance with the statutory requirements that 50 trols and determine if each Mexico-domiciled
percent of all safety audits must be con- carrier and each driver is able to operate
ducted onsite and on-site inspections cover safely in the United States beyond munici-
at least 50 percent of estimated truck traffic palities and commercial zones on the United
in any year. All records and documents must States-Mexico international border; and
be made available for examination within 48 (2) Identify motor carriers and drivers who
hours after a request is made. Saturdays, are having safety problems and need im-
Sundays, and Federal holidays are excluded provement in their compliance with the
from the computation of the 48-hour period. FMCSRs and the HMRs, before FMCSA
(c) The safety audit will include: grants the carriers provisional operating au-
(1) Verification of available performance
thority to operate beyond United States mu-
data and safety management programs;
nicipalities and commercial zones on the
(2) Verification of a controlled substances
United States-Mexico international border.
and alcohol testing program consistent with
part 40 of this title; II. SOURCE OF THE DATA FOR THE SAFETY
(3) Verification of the carrier’s system of AUDIT EVALUATION CRITERIA
compliance with hours-of-service rules in
part 395 of this subchapter, including record- (a) The FMCSA’s evaluation criteria are
keeping and retention; built upon the operational tool known as the
(4) Verification of proof of financial re- safety audit. The FMCSA developed this tool
to assist auditors and investigators in as-
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sponsibility;
(5) Review of available data concerning the sessing the adequacy of a Mexico-domiciled
carrier’s safety history, and other informa- carrier’s basic safety management controls.

50

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Federal Motor Carrier Safety Administration, DOT Pt. 365, Subpt. E, App. A
(b) The safety audit is a review of a Mex- (c) Critical regulations are those where
ico-domiciled motor carrier’s operation and noncompliance relates to management and/
is used to: or operational controls. These are indicative
(1) Determine if a carrier has the basic of breakdowns in a carrier’s management
safety management controls required by 49 controls.
U.S.C. 31144; (d) The list of the acute and critical regu-
(2) Meet the requirements of Section 350 of lations, which are used in determining if a
the DOT Appropriations Act; and carrier has basic safety management con-
(3) In the event that a carrier is found not trols in place, is included in Appendix B, VII.
to be in compliance with applicable FMCSRs List of Acute and Critical Regulations to
and HMRs, the safety audit can be used to part 385 of this subchapter.
educate the carrier on how to comply with (e) Noncompliance with acute and critical
U.S. safety rules. regulations are indicators of inadequate
(c) Documents such as those contained in safety management controls and usually
driver qualification files, records of duty sta- higher than average accident rates.
tus, vehicle maintenance records, and other (f) Parts of the FMCSRs and the HMRs
records are reviewed for compliance with the having similar characteristics are combined
FMCSRs and HMRs. Violations are cited on together into six regulatory areas called
the safety audit. Performance-based infor- ‘‘factors.’’ The regulatory factors, evaluated
mation, when available, is utilized to evalu- on the adequacy of the carrier’s safety man-
ate the carrier’s compliance with the vehicle agement controls, are:
regulations. Recordable accident informa- (1) Factor 1—General: Parts 387 and 390;
tion is also collected. (2) Factor 2—Driver: Parts 382, 383 and 391;
(3) Factor 3—Operational: Parts 392 and
III. OVERALL DETERMINATION OF THE CAR- 395;
RIER’S BASIC SAFETY MANAGEMENT CON- (4) Factor 4—Vehicle: Part 393, 396 and in-
TROLS spection data for the last 12 months;
(5) Factor 5—Hazardous Materials: Parts
(a) The carrier will not be granted provi- 171, 177, 180 and 397; and
sional operating authority if the FMCSA (6) Factor 6—Accident: Recordable Acci-
fails to: dent Rate per Million Miles.
(1) Verify a controlled substances and alco- (g) For each instance of noncompliance
hol testing program consistent with part 40 with an acute regulation, 1.5 points will be
of this title; assessed.
(2) Verify a system of compliance with (h) For each instance of noncompliance
hours-of-service rules of this subchapter, in- with a critical regulation, 1 point will be as-
cluding recordkeeping and retention; sessed.
(3) Verify proof of financial responsibility; (i) Vehicle Factor. (1) When at least three
(4) Verify records of periodic vehicle in- vehicle inspections are recorded in the Motor
spections; and Carrier Management Information System
(5) Verify drivers’ qualifications of each (MCMIS) during the twelve months before
driver the carrier intends to assign to oper- the safety audit or performed at the time of
ate under such authority, as required by the review, the Vehicle Factor (part 396) will
parts 383 and 391 of this subchapter, includ- be evaluated on the basis of the Out-of-Serv-
ing confirming the validity of each driver’s ice (OOS) rates and noncompliance with
Licencia de Federal de Conductor. acute and critical regulations. The results of
(b) If the FMCSA confirms each item under the review of the OOS rate will affect the Ve-
II (a)(1) through (5) above, the carrier will be hicle Factor as follows:
granted provisional operating authority, ex- (i) If the motor carrier has had at least
cept if FMCSA finds the carrier has inad- three roadside inspections in the twelve
equate basic safety management controls in months before the safety audit, and the vehi-
at least three separate factors described in cle OOS rate is 34 percent or higher, one
part III below. If FMCSA makes such a de- point will be assessed against the carrier.
termination, the carrier’s application for That point will be added to any other points
provisional operating authority will be de- assessed for discovered noncompliance with
nied. acute and critical regulations of part 396 to
determine the carrier’s level of safety man-
IV. EVALUATION OF REGULATORY COMPLIANCE
agement control for that factor.
(a) During the safety audit, the FMCSA (ii) If the motor carrier’s vehicle OOS rate
gathers information by reviewing a motor is less than 34 percent, or if there are less
carrier’s compliance with ‘‘acute’’ and ‘‘crit- than three inspections, the determination of
ical’’ regulations of the FMCSRs and HMRs. the carrier’s level of safety management
(b) Acute regulations are those where non- controls will only be based on discovered
compliance is so severe as to require imme- noncompliance with the acute and critical
diate corrective actions by a motor carrier
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regulations of part 396.


regardless of the overall basic safety man- (2) Over two million inspections occur on
agement controls of the motor carrier. the roadside each year in the United States.

51

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Pt. 366 49 CFR Ch. III (10–1–07 Edition)
This vehicle inspection information is re- another kind of mishap, the accident was
tained in the MCMIS and is integral to eval- preventable.’’
uating motor carriers’ ability to successfully (k) Factor Ratings. (1) The following table
maintain their vehicles, thus preventing shows the five regulatory factors, parts of
them from being placed OOS during roadside the FMCSRs and HMRs associated with each
inspections. Each safety audit will continue factor, and the accident factor. Each car-
to have the requirements of part 396, Inspec- rier’s level of basic safety management con-
tion, Repair, and Maintenance, reviewed as trols with each factor is determined as fol-
indicated by the above explanation. lows:
(j) Accident Factor. (1) In addition to the (i) Factor 1—General: Parts 390 and 387;
five regulatory factors, a sixth factor is in- (ii) Factor 2—Driver: Parts 382, 383, and 391;
cluded in the process to address the accident (iii) Factor 3—Operational: Parts 392 and
history of the motor carrier. This factor is 395;
the recordable accident rate, which the car- (iv) Factor 4—Vehicle: Parts 393, 396 and
rier has experienced during the past 12 the Out of Service Rate;
months. Recordable accident, as defined in 49 (v) Factor 5—Hazardous Materials: Part
CFR 390.5, means an accident involving a 171, 177, 180 and 397; and
commercial motor vehicle operating on a (vi) Factor 6—Accident: Recordable Acci-
public road in interstate or intrastate com- dent Rate per Million Miles;
merce which results in a fatality; a bodily (2) For paragraphs III (k)(1)(i) through (v)
(Factors 1 through 5), if the combined viola-
injury to a person who, as a result of the in-
tions of acute and or critical regulations for
jury, immediately receives medical treat-
each factor is equal to three or more points,
ment away from the scene of the accident; or
the carrier is determined not to have basic
one or more motor vehicles incurring dis-
safety management controls for that indi-
abling damage as a result of the accident re-
vidual factor.
quiring the motor vehicle to be transported
(3) For paragraphs III (k)(1)(vi), if the re-
away from the scene by a tow truck or other
cordable accident rate is greater than 1.7 re-
motor vehicle.
cordable accidents per million miles for an
(2) Experience has shown that urban car- urban carrier (1.5 for all other carriers), the
riers, those motor carriers operating entirely carrier is determined to have inadequate
within a radius of less than 100 air miles basic safety management controls.
(normally urban areas), have a higher expo- (l) Notwithstanding FMCSA verification of
sure to accident situations because of their the items listed in part II (a)(1) through (5)
environment and normally have higher acci- above, if the safety audit determines the car-
dent rates. rier has inadequate basic safety management
(3) The recordable accident rate will be controls in at least three separate factors de-
used in determining the carrier’s basic safety scribed in part III, the carrier’s application
management controls in Factor 6, Accident. for provisional operating authority will be
It will be used only when a carrier incurs two denied. For example, FMCSA evaluates a
or more recordable accidents within the 12 carrier finding:
months before the safety audit. An urban (1) One instance of noncompliance with a
carrier (a carrier operating entirely within a critical regulation in part 387 scoring one
radius of 100 air miles) with a recordable rate point for Factor 1;
per million miles greater than 1.7 will be (2) Two instances of noncompliance with
deemed to have inadequate basic safety man- acute regulations in part 382 scoring three
agement controls for the accident factor. All points for Factor 2;
other carriers with a recordable accident (3) Three instances of noncompliance with
rate per million miles greater than 1.5 will critical regulations in part 396 scoring three
be deemed to have inadequate basic safety points for Factor 4; and
management controls for the accident fac- (4) Three instances of noncompliance with
tor. The rates are the result of roughly dou- acute regulations in parts 171 and 397 scoring
bling the United States national average ac- four and one-half (4.5) points for Factor 5.
cident rate in Fiscal Years 1994, 1995, and Under this example, the carrier will not re-
1996. ceive provisional operating authority be-
(4) The FMCSA will continue to consider cause it scored three or more points for Fac-
preventability when a new entrant contests tors 2, 4, and 5 and FMCSA determined the
the evaluation of the accident factor by pre- carrier had inadequate basic safety manage-
senting compelling evidence that the record- ment controls in at least three separate fac-
able rate is not a fair means of evaluating its tors.
accident factor. Preventability will be deter-
mined according to the following standard:
‘‘If a driver, who exercises normal judgment
PART 366—DESIGNATION OF
and foresight, could have foreseen the possi- PROCESS AGENT
bility of the accident that in fact occurred,
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and avoided it by taking steps within his/her Sec.


control which would not have risked causing 366.1 Applicability.

52

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Federal Motor Carrier Safety Administration, DOT Pt. 367
366.2 Form of designation. (b) Brokers. Every broker shall make
366.3 Eligible persons. a designation for each State in which
366.4 Required States. its offices are located or in which con-
366.5 Blanket designations.
tracts will be written.
366.6 Cancellation or change.
AUTHORITY: 49 U.S.C. 13303, 13304, and 14704; [55 FR 11197, Mar. 27, 1990, as amended at 55
and 49 CFR 1.73. FR 47338, Nov. 13, 1990]

SOURCE: 55 FR 11197, Mar. 27, 1990, unless § 366.5 Blanket designations.


otherwise noted. Redesignated at 61 FR 54707,
Oct. 21, 1996. Where an association or corporation
has filed with the FMCSA a list of
EDITORIAL NOTE: Nomenclature changes to
part 366 appear at 66 FR 49870, Oct. 1, 2001.
process agents for each State, motor
carriers may make the required des-
§ 366.1 Applicability. ignations by using the following state-
ment:
These rules, relating to the filing of
designations of persons upon whom Those persons named in the list of process
court process may be served, govern agents on file with the Federal Motor Carrier
motor carriers and brokers and, as of Safety Administra-
the moment of succession, their fidu- tion by lllllllllllllll
ciaries (as defined at 49 CFR 387.319(a)). llllllllllllllllllllllll

[55 FR 11197, Mar. 27, 1990. Redesignated at 61 (Name of association or corporation) and any
FR 54707, Oct. 21, 1996; 62 FR 49940, Sept. 24, subsequently filed revisions thereof, for the
1997] States in which this carrier is or may be au-
thorized to operate, including States tra-
§ 366.2 Form of designation. versed during such operations, except those
States for which individual designations are
Designations shall be made on Form named.
BOC–3, Designation of Agent for Service
of Process. Only one completed current § 366.6 Cancellation or change.
form may be on file. It must include all
A designation may be canceled or
States for which agent designations are
changed only by a new designation ex-
required. One copy must be retained by
cept that, where a carrier or broker
the carrier or broker at its principal
ceases to be subject to § 366.4 in whole
place of business.
or in part for 1 year, designation is no
§ 366.3 Eligible persons. longer required and may be canceled
without making another designation.
All persons (as defined at 49 U.S.C.
13102(16)) designated must reside or [55 FR 11197, Mar. 27, 1990. Redesignated at 61
maintain an office in the State for FR 54707, Oct. 21, 1996; 62 FR 49940, Sept. 24,
which they are designated. If a State 1997]
official is designated, evidence of his
willingness to accept service of process PART 367—STANDARDS FOR
must be furnished. REGISTRATION WITH STATES
[55 FR 11197, Mar. 27, 1990. Redesignated at 61
FR 54707, Oct. 21, 1996; 62 FR 49940, Sept. 24, Subpart A—Single State Registration
1997] System

§ 366.4 Required States. Sec.


367.1 Definitions.
(a) Motor carriers. Every motor car- 367.2 Participation by States.
rier (of property or passengers) shall 367.3 Selection of registration State.
make a designation for each State in 367.4 Requirements for registration.
which it is authorized to operate and 367.5 Registration receipts.
for each State traversed during such 367.6 Registration State accounting.
operations. Every motor carrier (in- 367.7 Violations unlawful; criminal pen-
cluding private carriers) operating in alties and civil sanctions.
the United States in the course of APPENDIX A TO SUBPART A—UNIFORM APPLI-
transportation between points in a for- CATION FOR SINGLE STATE REGISTRATION
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eign country shall file a designation for FOR MOTOR CARRIERS REGISTERED WITH
each State traversed. THE SECRETARY OF TRANSPORTATION

53

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§ 367.1 49 CFR Ch. III (10–1–07 Edition)

Subpart B—Fees Under the Unified Carrier § 367.3 Selection of registration State.
Registration Plan and Agreement
(a) Each motor carrier required to
§ 367.20 Fees under the Unified Carrier Reg- register and pay filing fees must select
istration Plan and Agreement for Reg- a single participating State as its reg-
istration Year 2007. istration State. The carrier must select
AUTHORITY: 49 U.S.C. 13301, 14504, 14504a; the State in which it maintains its
and 49 CFR 1.73. principal place of business, if such
SOURCE: 58 FR 28933, May 18, 1993, unless
State is a participating State. A car-
otherwise noted. Redesignated at 61 FR 54707, rier that maintains its principal place
Oct. 21, 1996. of business outside of a participating
State must select the State in which it
EDITORIAL NOTE: Nomenclature changes to
part 367 appear at 66 FR 49870, Oct. 1, 2001. will operate the largest number of
motor vehicles during the next reg-
istration year. In the event a carrier
Subpart A—Single State will operate the same largest number
Registration System of vehicles in more than one State, it
must select one of those States.
§ 367.1 Definitions.
(b) A carrier may not change its reg-
(a) The Secretary. The Secretary of istration State unless it changes its
Transportation. principal place of business or its reg-
(b) Motor carrier and carrier. A person istration State ceases participating in
authorized to engage in the transpor- the program, in which case the carrier
tation of passengers or property, as a must select a registration State for the
common or contract carrier, in inter- next registration year under the stand-
state or foreign commerce, under the ards of paragraph (a) of this section.
provisions of 49 U.S.C. 13902. (c) A carrier must give notice of its
(c) Motor vehicle. A self-propelled or selection to the State commission of
motor driven vehicle operated by a its selected registration State, and, the
motor carrier in interstate or foreign State commission of its prior registra-
commerce under authority issued by
tion State, within 30 days after it has
the Secretary.
made its selection. If a carrier changes
(d) Principal place of business. A single its principal place of business during
location that serves as a motor car-
the annual registration period specified
rier’s headquarters and where it main-
in § 367.4(b)(2), the carrier may continue
tains or can make available its oper-
to use its prior registration State, if
ational records.
any, for the next registration year.
(e) State. A State of the United States
or the District of Columbia. (d) A carrier must give notice of its
selection to its insurer or insurers as
[58 FR 28933, May 18, 1993. Redesignated at 61 soon as practicable after it has made
FR 54707, Oct. 21, 1996, as amended at 62 FR its selection.
15420, Apr. 1, 1997]
[58 FR 28933, May 18, 1993. Redesignated at 61
§ 367.2 Participation by States. FR 54707, Oct. 21, 1996, as amended at 62 FR
15420, Apr. 1, 1997]
(a) A State is eligible to participate
as a registration State and to receive § 367.4 Requirements for registration.
fee revenue only if, as of January 1,
1991, it charged or collected a fee for a (a) Except as provided in paragraph
vehicle identification stamp or a num- (c)(1) of this section with regard to a
ber pursuant to the provisions of the carrier operating under temporary au-
predecessor to this part. thority, only a motor carrier holding a
(b) An eligible State that intends ei- certificate or permit issued by the Sec-
ther to commence or to cease partici- retary under 49 U.S.C. 13902 shall be re-
pating in the registration program quired to register under these stand-
must publish notice of its intention by ards.
the 1st day of July of the year pre- (b) A motor carrier operating in
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ceding the registration year in which it interstate or foreign commerce in one


will commence or cease participating. or more participating States under a

54

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Federal Motor Carrier Safety Administration, DOT § 367.4

certificate or permit issued by the Sec- mation is on file. Once a carrier has
retary shall be required to register an- submitted, or caused to be submitted, a
nually with a single registration State, copy of its proof or order of the Sec-
and such registration shall be deemed retary, it may thereafter satisfy the
to satisfy the registration require- filing requirement by certifying that it
ments of all participating States. has done so and that its security, self-
(1) The registration year will be the insurance, or agreement remains in ef-
calendar year. fect;
(2) A carrier must file its annual reg- (3) A copy of its designation of an
istration application between the 1st agent or agents for service of process
day of August and the 30th day of No- submitted to and accepted by the Sec-
vember of the year preceding the reg- retary under 49 CFR part 366. A carrier
istration year. A carrier that intends must supplement its filings as nec-
to commence operating during the cur- essary to ensure that current informa-
rent registration year may register at tion is on file. Once a carrier has sub-
any time, but it must do so before it mitted a copy of its designation, it
commences operating. may thereafter satisfy the filing re-
(3) The registration application must quirement by certifying that its des-
be in the form appended to this part ignation is on file; and
and must contain the information and (4) A fee for the filing of proof of in-
be accompanied by the fees specified in surance. In support of such fee, the car-
paragraph (c) of this section. There will rier must submit the following infor-
be no prorating of fees to account for mation:
partial year operations. (i) The number of motor vehicles it
(4) A carrier that has changed its reg- intends to operate in each partici-
istration State since its last filing pating State during the next registra-
must identify the registration State tion year;
with which it previously filed. (ii) The per vehicle fee each pertinent
(c) A motor carrier must file, or participating State charges, which fee
cause to be filed, the following with its must equal the fee, not to exceed $10,
registration State: that such State collected or charged as
(1) Copies of its certificates and/or of November 15, 1991;
permits. A carrier must supplement its (iii) The total fee due each partici-
filing by submitting copies of any new pating State; and
operating authorities as they are (iv) The total of all fees specified in
issued. Once a carrier has submitted paragraph (c)(4)(iii) of this section.
copies of its authorities, it may there- (d) Consistent with its obligations
after satisfy the filing requirement by under paragraph (c)(2) of this section, a
certifying that the copies are on file. A carrier must cause to be timely filed
carrier may, with the permission of its with its registration State copies of
registration State, submit a summary any notices of cancellation or of any
of its operating authorities in lieu of replacement certificates of insurance,
copies. A carrier granted emergency surety bonds, or other security filed
temporary authority or temporary au- with the Secretary under 49 CFR part
thority having a duration of 120 days or 387, subpart C.
less is not required to file evidence of (e) A carrier must make such supple-
such authority, but it must otherwise mental filings at any time during the
comply with the requirements of this registration year as may be necessary
section; to specify additional vehicles and/or
(2) A copy of its proof of public liabil- States of operation and to pay addi-
ity security submitted to and accepted tional fees.
by the Secretary under 49 CFR part 387, (f) A motor carrier must submit to
subpart C or a copy of an order of the its insurer or insurers a copy of the
Secretary approving a public liability supporting information, including any
self-insurance application or other pub- supplemental information, filed with
lic liability security or agreement its registration State under paragraphs
under the provisions of that part. A (c)(4) and (e) of this section.
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carrier must supplement its filings as (g) The charging or collection of any
necessary to ensure that current infor- fee that is not in accordance with the

55

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§ 367.5 49 CFR Ch. III (10–1–07 Edition)

fee system established above is deemed ies. It may not operate more motor ve-
a burden on interstate commerce. This hicles in a participating State than the
includes fees for the registration or fil- number for which it has paid fees.
ing of evidence of insurance whether (d) A motor carrier may not copy or
assessed directly upon the carrier or alter a receipt or an official copy of a
indirectly upon the insurance provider receipt.
or other party who seeks reimburse- (e) A motor carrier must maintain in
ment from the carrier. each of its motor vehicles an official
(h) To the extent any State registra- copy of its receipt indicating that it
tion requirement imposes obligations has filed the required proof of insur-
in excess of those specified in this part, ance and paid appropriate fees for each
the requirement is an unreasonable State in which it operates.
burden on transportation within the (f) A motor carrier may transfer its
Secretary’s jurisdiction under 49 U.S.C. official copies of its receipts from vehi-
13501. cles taken out of service to their re-
[58 FR 28933, May 18, 1993. Redesignated at 61 placement vehicles.
FR 54707, Oct. 21, 1996, as amended at 62 FR (g) The driver of a motor vehicle
15420, Apr. 1, 1997] must present an official copy of a re-
ceipt for inspection by any authorized
§ 367.5 Registration receipts.
government personnel on reasonable
(a) On compliance by a motor carrier demand.
with the annual or supplemental reg- (h) No registration State shall re-
istration requirements of § 367.4, the quire decals, stamps, cab cards, or any
registration State must issue the car- other means of registering or identi-
rier a receipt reflecting that the car- fying specific vehicles operated by a
rier has filed the required proof of in- motor carrier.
surance and paid fees in accordance
with the requirements of that section. [60 FR 30012, June 7, 1995. Redesignated at 61
The registration State also must issue FR 54707, Oct. 21, 1996, as amended at 62 FR
15420, Apr. 1, 1997]
a number of official copies of the re-
ceipt equal to the number of motor ve- § 367.6 Registration State accounting.
hicles for which fees have been paid.
(1) The receipt and official copies (a) A participating State must, on or
must contain only information identi- before the last day of each month, allo-
fying the carrier and specifying the cate and remit to each other partici-
States for which fees were paid. Sup- pating State the appropriate portion of
plemental receipts and official copies the fee revenue registrants submitted
need contain only information relating during the preceding month. Each re-
to their underlying supplemental reg- mittance must be accompanied by a
istrations. supporting statement identifying reg-
(b) Receipts and official copies issued istrants and specifying the number of
pursuant to a filing made during the motor vehicles for which each reg-
annual registration period specified in istrant submitted fees. A participating
§ 367.4(b)(2) must be issued within 30 State must submit a report of ‘‘no ac-
days of filing of a fully acceptable reg- tivity’’ to any other participating
istration application. All other re- State for which it collected no fees dur-
ceipts and official copies must be ing any month.
issued by the 30th day following the (b) A participating State must main-
date of filing of a fully acceptable sup- tain records of fee revenue received
plemental registration application. All from and remitted to each other par-
receipts and official copies shall expire ticipating State. Such records must
at midnight on the 31st day of Decem- specify the fees received from and re-
ber of the registration year for which mitted to each participating State
they were issued. with respect to each motor carrier reg-
(c) A carrier is permitted to operate istrant. A participating State must re-
its motor vehicles only in those par- tain such records for a minimum of 3
ticipating States with respect to which years.
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it has paid appropriate fees, as indi- (c) A participating State must keep
cated on the receipts and official cop- records pertaining to each of the motor

56

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Federal Motor Carrier Safety Administration, DOT Pt. 367, Subpt. A, App. A

carriers for which it acts as a registra- [ ] New Registration State Selection—The


tion State. The records must, at a min- motor carrier has changed its principal
imum, include copies of annual and place of business or its prior registration
State has left the registration program.
supplemental registration applications
The prior registration State was
containing the information required by llllllllll.
§ 367.4(c). A registration State must re-
[ ] Additional States not registered in prior
tain all such records for a minimum of years. List
3 years.
llllllllllllllllllllllll
[58 FR 28933, May 18, 1993. Redesignated at 61 llllllllllllllllllllllll
FR 54707, Oct. 21, 1996, as amended at 62 FR
Type of Motor Carrier: (Check one)
15420, Apr. 1, 1997]
[ ] Individual emsp;[ ] Partnership
emsp;[ ] Corporation
§ 367.7 Violations unlawful; criminal
If corporation, give State in which incor-
penalties and civil sanctions.
porated:llllllllll
Any violation of the provisions of List names of partners or officers:
these standards is unlawful. Nothing in Name: llllllllllllllllllll
these standards shall be construed to
Title: llllllllllllllllllll
prevent a State from imposing crimi-
nal penalties or civil sanctions upon Name: llllllllllllllllllll
any person or organization violating Title: llllllllllllllllllll
any provision of them. Name: llllllllllllllllllll
Title: llllllllllllllllllll
APPENDIX A TO SUBPART A—UNIFORM Type of FMCSA Registered Authority:
APPLICATION FOR SINGLE STATE Permanent Certificate or Permit [ ] Tem-
REGISTRATION FOR MOTOR CARRIERS porary Authority (TA) [ ] Emergency
REGISTERED WITH THE SECRETARY Temporary Authority (ETA) [ ]
OF TRANSPORTATION FMCSA Certificate(s) or Permit(s):
[ ] FMCSA Authority Order(s) attached for
Motor Carrier Identification Numbers:
initial registration.
FMCSA MC No.(s.) lllllllllllll [ ] FMCSA Authority Order(s) attached for
US DOT No. lllllllllllllllll additional grants received.
Applicant (Identical to name on FMCSA [ ] No change from prior year registration.
order): Proof of Public Liability Security:
Name: llllllllllllllllllll [ ] The applicant is filing, or causing to be
D/B/A llllllllllllllllllll filed, a copy of its proof of public liabil-
Principal Place of Business Address: 1 ity security submitted to and accepted
Street llllllllllllllllllll by the FMCSA under 49 CFR part 387,
subpart C.
City lllllllllllllllllllll [ ] The applicant has filed, or caused to be
State llllllllllllllllllll filed, a copy of its proof of public liabil-
Zip lllllllllllllllllllll ity security submitted to and accepted
Mailing Address if Different From Business by the FMCSA under 49 CFR part 387,
Address Above: subpart C, and the security remains in
Street llllllllllllllllllll effect.
City lllllllllllllllllllll FMCSA Approved Self-Insurance or Other Secu-
rities:
State llllllllllllllllllll
[ ] FMCSA Insurance order attached for
Zip lllllllllllllllllllll new carrier registration. (Check one
Type of Registration: when completing for annual registra-
[ ] New Carrier Registration—The motor car- tion.)
rier has not previously registered. [ ] The FMCSA Order approving the self-in-
[ ] Annual Registration—The motor carrier is surance plan or other security is still in
renewing its annual registration. full force and effect, and the carrier is in
[ ] Supplemental Registration—The motor full compliance with all conditions im-
carrier is adding additional vehicles or posed by the FMCSA Order.
States of travel after its annual registra- [ ] The motor carrier is no longer approved
tion. under a self-insurance plan or other secu-
rity, and the motor carrier will file, or
1 A principal place of business is a single lo- cause to be filed, a copy of proof of public
cation that serves as a motor carrier’s head- liability security with this application in
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quarters and where it maintains or can make the registration State.


available its operational records. Hazardous Materials: (Check one)

57

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§ 367.20 49 CFR Ch. III (10–1–07 Edition)
[ ] The applicant will not haul hazardous behalf of the applicant. (Penalty provisions
materials in any quantity. subject to the laws of the registration
[ ] The applicant will haul hazardous mate- State.)
rials that require the following limits in
Name (Printed) lllllllllllllll
accordance with Title 49 CFR 387.303:
(Check one) Signature llllllllllllllllll
[ ] Public Liability and Property Damage Title lllllllllllllllllllll
Insurance of $1 million. Telephone Number lllllllllllll
[ ] Public Liability and Property Damage
Insurance of $5 million. Date lllllllllllllllllllll
Process Agents: [58 FR 28933, May 18, 1993. Redesignated at 61
[ ] FMCSA Form No. BOC–3 or blanket des- FR 54707, Oct. 21, 1996, as amended at 62 FR
ignation attached for new registration. 15420, Apr. 1, 1997]
[ ] FMCSA Form No. BOC–3 or blanket des-
ignation attached reflecting changes of
designation of process agents. Subpart B—Fees Under the Unified
[ ] No change from prior year registration. Carrier Registration Plan and
Certification: Agreement
I, the undersigned, under penalty for false
statement, certify that the above informa- § 367.20 Fees under the Unified Car-
tion is true and correct and that I am au- rier Registration Plan and Agree-
thorized to execute and file this document on ment for Registration Year 2007.
FEES UNDER THE UNIFIED CARRIER REGISTRATION PLAN AND AGREEMENT FOR REGISTRATION YEAR
2007
Fee per company
Number of commercial motor vehicles for exempt or non- Fee per company
owned or operated by exempt or non-ex- exempt motor car-
Bracket for broker or leas-
empt motor carrier, motor private carrier, rier, motor private ing company
or freight forwarder carrier, or freight
forwarder

B1 .............................................................. 0–2 ............................................................ $39 $39


B2 .............................................................. 3–5 ............................................................ 116
B3 .............................................................. 6–20 .......................................................... 231
B4 .............................................................. 21–100 ...................................................... 806
B5 .............................................................. 101–1,000 ................................................. 3,840
B6 .............................................................. 1,001 and above ....................................... 37,500 ..............................

[72 FR 48590, Aug. 24, 2007] AUTHORITY: 49 U.S.C. 13301 and 13902; Pub.
L. 106–159, 113 Stat. 1748; and 49 CFR 1.73.
PART 368—APPLICATION FOR A SOURCE: 67 FR 12660, Mar. 19, 2002, unless
CERTIFICATE OF REGISTRATION otherwise noted.
TO OPERATE IN MUNICIPALITIES
IN THE UNITED STATES ON THE § 368.1 Certificate of registration.
UNITED STATES-MEXICO INTER- (a) A Mexico-domiciled motor carrier
NATIONAL BORDER OR WITHIN must apply to the FMCSA and receive
THE COMMERCIAL ZONES OF a Certificate of Registration to provide
SUCH MUNICIPALITIES. interstate transportation in munici-
palities in the United States on the
Sec. United States-Mexico international
368.1 Certificate of registration. border or within the commercial zones
368.2 Definitions. of such municipalities as defined in 49
368.3 Applying for a certificate of registra- U.S.C. 13902(c)(4)(A).
tion.
(b) A certificate of registration per-
368.4 Requirement to notify FMCSA of
change in applicant information. mits only interstate transportation of
368.5 Re-registration of certain carriers property in municipalities in the
holding certificates of registration. United States on the United States-
368.6 FMCSA action on an application. Mexico international border or within
368.7 Requirement to carry certificate of
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the commercial zones of such munici-


registration in the vehicle.
368.8 Appeals.
palities. A holder of a Certificate of

58

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Federal Motor Carrier Safety Administration, DOT § 368.5

Registration who operates a vehicle be- (c) If you fail to furnish the complete
yond this area is subject to applicable application as described under para-
penalties and out-of-service orders. graph (b) of this section your applica-
tion may be rejected.
§ 368.2 Definitions. (d) If you submit false information
Interstate transportation means trans- under this section, you will be subject
portation described at 49 U.S.C. 13501, to applicable Federal penalties.
and transportation in the United (e) You must submit the application
States otherwise exempt from the Sec- to the address provided in the instruc-
retary’s jurisdiction under 49 U.S.C. tions to the Form OP–2.
13506(b)(1). (f) You may obtain the application
Mexico-domiciled motor carrier means a described in paragraph (a) of this sec-
motor carrier of property whose prin- tion from any FMCSA Division Office
cipal place of business is located in or download it from the FMCSA web
Mexico. site at: http://www.fmcsa.dot.gov/
factsfigs/formspubs.htm.
§ 368.3 Applying for a certificate of
registration. § 368.4 Requirement to notify FMCSA
of change in applicant information.
(a) If you wish to obtain a certificate
of registration under this part, you (a) You must notify the FMCSA of
must submit an application that in- any changes or corrections to the in-
cludes the following: formation in Parts I, IA or II sub-
mitted on the Form OP–2 or the Form
(1) Form OP–2—Application for Mexi-
BOC–3—Designation of Agents—Motor
can Certificate of Registration for For-
Carriers, Brokers and Freight For-
eign Motor Carriers and Foreign Motor
warders during the application process
Private Carriers Under 49 U.S.C. 13902;
or while you have a Certificate of Reg-
(2) Form MCS–150—Motor Carrier
istration. You must notify the FMCSA
Identification Report; and
in writing within 45 days of the change
(3) A notification of the means used or correction.
to designate process agents, either by (b) If you fail to comply with para-
submission in the application package graph (a) of this section, the FMCSA
of Form BOC–3—Designation of may suspend or revoke the Certificate
Agents—Motor Carriers, Brokers and of Registration until you meet those
Freight Forwarders or a letter stating requirements.
that the applicant will use a process
agent service that will submit the § 368.5 Re-registration of certain car-
Form BOC–3 electronically. riers holding certificates of reg-
(b) The FMCSA will only process istration.
your application for a Certificate of (a) Each holder of a certificate of reg-
Registration if it meets the following istration that permits operations only
conditions: in municipalities in the United States
(1) The application must be com- along the United States-Mexico inter-
pleted in English; national border or in commercial zones
(2) The information supplied must be of such municipalities issued before
accurate and complete in accordance April 18, 2002, who wishes to continue
with the instructions to the Form OP– solely in those operations must submit
2, Form MCS–150 and Form BOC–3; an application according to procedures
(3) The application must include all established under § 368.3 of this part,
the required supporting documents and except the filing fee in paragraph (b)(4)
applicable certifications set forth in of that section is waived. You must file
the instructions to the Form OP–2, your application by October 20, 2003.
Form MCS–150 and Form BOC–3; (b) The FMCSA may suspend or re-
(4) The application must include the voke the certificate of registration of
filing fee payable to the FMCSA in the any registrant that fails to comply
amount set forth in 49 CFR 360.3(f)(1); with the procedures set forth in this
and section.
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(5) The application must be signed by (c) Certificates of registration issued


the applicant. before April 18, 2002, remain valid until

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§ 368.6 49 CFR Ch. III (10–1–07 Edition)

the FMCSA acts on the OP–2 applica- the scope of the Certificate, and make
tion filed according to paragraph (a) of it available upon request to any State
this section. or Federal authorized inspector or en-
forcement officer.
§ 368.6 FMCSA action on the applica-
tion. § 368.8 Appeals.
(a) The Federal Motor Carrier Safety An applicant has the right to appeal
Administration will review the applica- denial of the application. The appeal
tion for correctness, completeness, and must be in writing and specify in detail
adequacy of information. Non-material why the agency’s decision to deny the
errors will be corrected without notice application was wrong. The appeal
to the applicant. Incomplete applica- must be filed with the Director, Office
tions may be rejected. of Data Analysis and Information Sys-
(b) If the applicant does not require tems within 20 days of the date of the
or is not eligible for a Certificate of letter denying the application. The de-
Registration, the FMCSA will deny the cision of the Director will be the final
application and notify the applicant. agency order.
(c) The FMCSA will validate the ac-
curacy of information and certifi- PART 369—REPORTS OF MOTOR
cations provided in the application CARRIERS
against data maintained in databases
of the governments of Mexico and the Sec.
United States. 369.1 Annual reports of motor carriers of
(d) If the FMCSA determines that the property, motor carriers of household
application and certifications dem- goods, and dual property carriers.
onstrate that the application is con- 369.2 Classification of carriers—motor car-
sistent with the FMCSA’s safety fit- riers of property, household goods car-
ness policy, it will issue a provisional riers, and dual property carriers.
369.3 Classification of carriers—motor car-
Certificate of Registration, including a riers of passengers.
distinctive USDOT Number that identi- 369.4 Annual and quarterly reports of Class
fies the motor carrier as permitted to I carriers of passengers.
provide interstate transportation of 369.5 Records.
property solely in municipalities in the 369.6 Address.
United States on the U.S.-Mexico 369.8 Requests for exemptions from filing.
international border or within the 369.9 Requests for exemptions from public
release.
commercial zones of such municipali- 369.10 Public release of motor carrier of
ties. property data.
(e) The FMCSA may issue a perma- 369.11 Quarterly reports of passenger reve-
nent Certificate of Registration to the nues, expenses, and statistics.
holder of a provisional Certificate of AUTHORITY: 5 U.S.C. 553 and 559; 16 U.S.C.
Registration no earlier than 18 months 1456; 49 U.S.C. 14123; 49 CFR 1.73.
after the date of issuance of the Certifi-
cate and only after completion to the § 369.1 Annual reports of motor car-
satisfaction of the FMCSA of the safe- riers of property, motor carriers of
ty monitoring system for Mexico-domi- household goods, and dual property
ciled carriers set out in subpart B of carriers.
part 385 of this subchapter. (a) Annual Report Form M. All class I
(f) Notice of the authority sought and class II common and contract car-
will not be published in either the FED- riers of property, including household
ERAL REGISTER or the FMCSA Register. goods and dual property motor car-
Protests or comments will not be al- riers, must file Motor Carrier Annual
lowed. There will be no oral hearings. Report Form M (Form M). Carriers
must file the annual report on or be-
§ 368.7 Requirement to carry certifi- fore March 31 of the year following the
cate of registration in the vehicle. year to which it relates. For classifica-
A holder of a Certificate of Registra- tion criteria, see § 369.2.
tion must maintain a copy of the Cer- (b) Quarterly Report Form QFR. All
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tificate of Registration in any vehicle class I common motor carriers of prop-


providing transportation service within erty and class I household goods motor

60

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Federal Motor Carrier Safety Administration, DOT § 369.2

carriers must file Motor Carrier Quar- mediately following the third consecu-
terly Report Form QFR (Form QFR). tive year of revenue qualification.
The quarterly accounting periods end (2) Any carrier which begins new op-
on March 31, June 30, September 30, erations by obtaining operating au-
and December 31. The quarterly reports thority not previously held or extends
must be filed within 30 calendar days its existing authority by obtaining ad-
after the end of the reporting quarter. ditional operating rights shall be clas-
(c) Where to file reports. Carriers must sified in accordance with a reasonable
file the quarterly and annual reports estimate of its annual carrier oper-
with the Federal Motor Carrier Safety ating revenues after applying the rev-
Administration at the address in § 369.6. enue deflator formula shown in Note A.
You can obtain blank copies of the re- (3) When a business combination oc-
port forms from the Federal Motor Car- curs such as a merger, reorganization,
rier Safety Administration. or consolidation, the surviving carrier
[64 FR 13921, Mar. 23, 1999. Redesignated at 71 shall be reclassified effective as of Jan-
FR 45742, Aug. 10, 2006, and amended at 71 FR uary 1 of the next calendar year on the
45743, Aug. 10, 2006] basis of the combined revenues for the
year when the combination occurred
§ 369.2 Classification of carriers— after applying the revenue deflator for-
motor carriers of property, house- mula shown in Note A.
hold goods carriers, and dual prop- (4) Carriers must notify the Federal
erty carriers.
Motor Carrier Safety Administration
(a) Common and contract motor car- (FMCSA) of any change in classifica-
riers of property are grouped into the tion or any change in annual operating
following three classes: revenues that would cause a change in
Class I. Carriers having annual car- classification. The carrier may request
rier operating revenues (including a waiver or an exception from these
interstate and intrastate) of $10 million regulations in unusual or extenuating
or more after applying the revenue circumstances, where the classification
deflator formula in Note A. process will unduly burden the carrier,
Class II. Carriers having annual car- such as partial liquidation or curtail-
rier operating revenues (including ment or elimination of contracted
interstate and intrastate) of at least $3 services. The request must be in writ-
million but less than $10 million after ing, specifying the conditions justi-
applying the revenue deflator formula fying the waiver or exception. FMCSA
in Note A. will notify the carriers of any change
Class III. Carriers having annual car- in classification.
rier operating revenues (including (5) Carriers not required to file an
interstate and intrastate) of less than Annual Report Form M may be re-
$3 million after applying the revenue quired to file the Worksheet for Calcu-
deflator formula in Note A. lating Carrier Classification. All car-
(b)(1) The class to which any carrier riers will be notified of any classifica-
belongs shall be determined by annual tion changes.
carrier operating revenues (excluding
revenues from private carriage, com- NOTE A: Each carrier’s operating revenues
pensated intercorporate hauling, and will be deflated annually using the Producers
Price Index (PPI) of Finished Goods before
leasing vehicles with drivers to private
comparing those revenues with the dollar
carriers) after applying the revenue revenue limits prescribed in paragraph (a) of
deflator formula in Note A. Upward this section. The PPI is published monthly
and downward classification will be ef- by the Bureau of Labor Statistics. The for-
fective as of January 1 of the year im- mula to be applied is as follows:
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61

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§ 369.3 49 CFR Ch. III (10–1–07 Edition)

Current year' s annual 1994 average PPI Adjusted annual


× =
operating revenues Current year's average PPI operating revenues
[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. Resesignated at 71 FR 45742, Aug. 10, 2006, and amended at 71 FR
45743, Aug. 10, 2006]

§ 369.3 Classification of carriers— shall be reclassified effective as of Jan-


motor carriers of passengers. uary 1 of the next calendar year on the
(a) Common and contract carriers of basis of the combined revenues for the
passengers are grouped into the fol- year when the combination occurred
lowing two classes: after applying the revenue deflator for-
Class I—Carriers having average an- mula shown in the Note.
nual gross transportation operating (4) Carriers shall notify the FMCSA
revenues (including interstate and of any change in classification or when
intrastate) of $5 million or more from their annual operating revenues exceed
passenger motor carrier operations the Class II limit by writing to the
after applying the revenue deflator for- Federal Motor Carrier Safety Adminis-
mula as shown in the Note. tration at the address in § 369.6. In un-
Class II—Carriers having average an- usual circumstances where the classi-
nual gross transportation operating fication regulations and reporting re-
revenues (including interstate or intra- quirements will unduly burden the car-
state) of less than $5 million from pas- rier, the carrier may request from the
senger motor carrier operations after FMCSA a waiver from these regula-
applying the revenue deflator formula tions. This request shall be in writing
as shown in the Note. specifying the conditions justifying the
(b)(1) The class to which any carrier waiver. The FMCSA then shall notify
belongs shall be determined by annual carriers of any change in classification
carrier operating revenues after apply- or reporting requirements.
ing the revenue deflator formula as (c) For classification purposes, the
shown in the Note. Upward and down- FMCSA shall publish in the FEDERAL
ward reclassification will be effective REGISTER annually an index number
as of January 1 of the year imme- which shall be used for adjusting gross
diately following the third consecutive annual operating revenues. The index
year of revenue qualification. number (deflator) is based on the Pro-
(2) Any carrier which begins new op- ducer Price Index of Finished Goods
erations (obtains operating authority and is used to eliminate the effects of
not previously held) or extends its ex- inflation from the classification proc-
isting authority (obtains additional op- ess.
erating rights) shall be classified in ac-
cordance with a reasonable estimate of NOTE: Each carrier’s operating revenues
its annual carrier operating revenues will be deflated annually using the Producers
Price Index (PPI) of Finished Goods before
after applying the revenue deflator for- comparing them with the dollar revenue lim-
mula shown in the Note. its prescribed in paragraph (a) of this sec-
(3) When a business combination oc- tion. The PPI is published monthly by the
curs, such as a merger, reorganization, Bureau of Labor Statistics. The formula to
or consolidation, the surviving carrier be applied is as follows:

Current year' s annual 1986 average PPI Adjusted annual


× =
operating revenues Current year's average PPI operating revenues
[53 FR 4029, Feb. 11, 1988. Redesignated at 63 FR 52193, Sept. 30, 1998, and amended at 68 FR
cprice-sewell on PROD1PC63 with CFR

ec03mr91.052</GPH>

4719, Jan. 30, 2003. Redesignated at 71 FR 45742, Aug. 10, 2006, and amended at 71 FR 45743, Aug.
10, 2006]

62
ec03mr91.051</GPH>

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Federal Motor Carrier Safety Administration, DOT § 369.8

§ 369.4 Annual and quarterly reports § 369.6 Address.


of Class I carriers of passengers. The following address must be used
(a) All Class I motor carriers of pas- by motor carriers when submitting a
sengers shall complete and file Motor report, requesting an exemption from
Carrier Quarterly and Annual Report filing a report, or requesting an exemp-
Form MP–1 for Motor Carriers of Pas- tion from public release of a report:
sengers (Form MP–1). Other than Class Federal Motor Carrier Safety Adminis-
I carriers are not required to file Form tration, Office of Information Tech-
MP–1. nology (MC–RI), 1200 New Jersey Ave.,
(b) Motor Carrier Quarterly and An- SE., Washington, DC 20590–0001. This
nual Report Form MP–1 shall be used address may also be used for general
to file both quarterly and annual se- correspondence regarding the data col-
lected motor carrier data. The annual lection program described in this sec-
accounting period shall be based either tion.
(1) on the 31st day of December in each [64 FR 13923, Mar. 23, 1999, as amended at 68
year, or (2) an accounting year of thir- FR 4719, Jan. 30, 2003. Redesignated at 71 FR
teen 4-week periods ending at the close 45742, Aug. 10, 2006, and amended at 71 FR
of the last 7 days of each calendar year. 45743, Aug. 10, 2006; 72 FR 55699, Oct. 1, 2007]
A carrier electing to adopt an account-
ing year of thirteen 4-week periods § 369.8 Requests for exemptions from
filing.
shall file with the FMCSA a statement
showing the day on which its account- (a) In General. This section governs
ing year will close. A subsequent requests for exemptions from filing of
change in the accounting period may reports required under § 369.1.
not be made except by authority of the (b) Criteria. The Federal Motor Car-
FMCSA. The quarterly accounting pe- rier Safety Administration (FMCSA)
riod shall end on March 31, June 30, may grant a request upon a proper
September 30, and December 31. The showing that the exemption is nec-
quarterly report shall be filed within 30 essary to preserve confidential business
days after the end of the reporting information that is not otherwise pub-
quarter. The annual report shall be licly available. Information is consid-
filed on or before March 31 of the year ered to be confidential when:
following the year to which it relates. (1) Disclosure of the information in
(c) The quarterly and annual report the carrier’s report would be likely to
shall be filed in duplicate to the Fed- cause substantial harm to the carrier’s
eral Motor Carrier Safety Administra- competitive position; or
tion at the address in § 369.6. Copies of (2) Disclosure of information in the
Form MP–1 may be obtained from the report would be likely to impair
FMCSA. protectable government interests.
(c) Contents of a request. The contents
[52 FR 20400, June 1, 1987. Redesignated at 63 of a request for an exemption from fil-
FR 52193, Sept. 30, 1998, as amended at 68 FR ing must contain, at a minimum, the
4719, Jan. 30, 2003. Redesignated at 71 FR contents that are required for a request
45742, Aug. 10, 2006, and amended at 71 FR for an exemption from public release
45743, Aug. 10, 2006]
contained in § 369.9(c). A carrier’s re-
§ 369.5 Records. quest may include any other grounds
as to why the request should be grant-
Books, records and carrier operating ed.
documents shall be retained as pre- (d) When requests are due. The timing
scribed in 49 CFR part 379, Preserva- of a request for an exemption from fil-
tion of Records. ing is the same as the timing for a re-
[52 FR 10383, Apr. 1, 1987. Redesignated at 63 quest for an exemption from public re-
FR 52193, Sept. 30, 1998. Redesignated at 71 lease contained in § 369.9(d). The table
FR 45742, Aug. 10, 2006, and amended at 71 FR below summarizes report and request
45743, Aug. 10, 2006] due dates.
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63

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§ 369.9 49 CFR Ch. III (10–1–07 Edition)

Request due
Report Report due by by

Annual Form M ...................................................................................................... March 31 ............................... March 31


First Quarter Form QFR ........................................................................................ April 30 .................................. March 31
Second Quarter Form QFR ................................................................................... July 31 ................................... March 31
Third Quarter Form QFR ....................................................................................... October 31 ............................. March 31
Fourth Quarter Form QFR .................................................................................... January 31 ............................. March 31

(e) Decision to grant or deny a request. Exchange Commission, and that the ex-
(1) A request will be denied if it fails to emption is necessary to avoid competi-
provide all of the supporting informa- tive harm and to avoid the disclosure
tion required in paragraph (c) of this of information that qualifies as trade
section or if the supporting informa- secret or privileged or confidential in-
tion is insufficient to establish that in- formation under 5 U.S.C. 552(b)(4). In-
formation in the carrier’s report meets formation is considered to be confiden-
the criteria in paragraph (b) of this sec- tial when:
tion. (1) Disclosure of the information in
(2) FMCSA will grant or deny each the carrier’s report would be likely to
request within a reasonable period of cause substantial harm to the carrier’s
time. FMCSA will notify the carrier of competitive position; or
its decision. The decision by FMCSA (2) Disclosure of information in the
shall be administratively final. report would be likely to impair
(f) Pendency. While a request is pend- protectable government interests.
ing, the carrier is required to submit (c) Contents of a request. A request for
any reports required under § 369.1. an exemption from public release must
(g) Period of exemptions. If a request contain information supporting the
for an exemption under this section is claim. While the supporting informa-
granted, the carrier will be exempt tion may contain opinions, the request
from the reporting requirements of must consist of objective data to the
§ 369.1 for a period of three reporting extent possible. General or nonspecific
years. assertions or analysis will be insuffi-
(h) Modification of a decision to grant a cient to support a request if FMCSA is
request. If a request is granted it re- unable to find that the criteria are
mains in effect in accordance with its met. The supporting information must
terms, unless modified by a later find- show:
ing that the decision was clearly erro- (1) That the information claimed to
neous. If FMCSA believes such a find- be confidential is a trade secret, or
ing should be made, FMCSA will notify commercial or financial information
the requesting carrier in writing of the that is privileged or confidential.
reasons for the modification. The car- (2) Measures taken by the carrier to
rier may seek reconsideration of the ensure that the information has not
modification. been disclosed or otherwise made avail-
[64 FR 13922, Mar. 23, 1999. Redesignated at 71 able to any person, company, or orga-
FR 45742, Aug. 10, 2006, and amended at 71 FR nization other then the carrier.
45743, Aug. 10, 2006] (3) Insofar as is known by the carrier,
the extent to which the information
§ 369.9 Requests for exemptions from has been disclosed, or otherwise be-
public release. come available, to persons other than
(a) In General. This section governs the carrier, and why such disclosure or
requests for exemptions from public re- availability does not compromise the
lease of reports filed under § 369.1. confidential nature of the information.
(b) Criteria. The Federal Motor Car- (4) If the carrier asserts that disclo-
rier Safety Administration (FMCSA) sure would be likely to result in sub-
will grant a request upon a proper stantial competitive harm, what the
showing that the carrier is not a pub- harmful effects of disclosure would be,
licly held corporation or that the car- why the effects should be viewed as
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rier is not subject to financial report- substantial, and the causal relation-
ing requirements of the Securities and ship between the effects and disclosure.

64

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Federal Motor Carrier Safety Administration, DOT § 369.9

(5) If the carrier asserts that disclo- summarizes report, request, and deci-
sure would be likely to impair sion due dates.
protectable government interests, what (e) Decision to grant or deny a request.
the effects of disclosure are likely to be (1) After each due date of each annual
and why disclosure is likely to impair report specified in § 369.1, FMCSA will
such interests. publish a notice in the FEDERAL REG-
(d) When requests are due. (1) Requests ISTER requesting comments on any re-
for an exemption under this section quests received under this section that
may be made at any time during the are valid and pending.
year. However, a request will be (2) A request will be granted only if it
deemed applicable to only those re- provides all of the supporting informa-
ports due on or after the date the re- tion required in paragraph (c) of this
quest is received. Requests received section and if the supporting informa-
after a report’s due date will only be
tion is sufficient to establish that in-
considered for the following year’s re-
formation in the carrier’s report meets
port.
the criteria in paragraph (b) of this sec-
(2) A request will be deemed received
tion.
on the date the request is physically
received or, if it is sent by mail, on the (3) If the carrier fails to comply with
date it is postmarked. the timing requirements of paragraph
(3) FMCSA will only allow a late re- (d) of this section, the claim for con-
quest if there are extenuating cir- fidentiality will be waived unless
cumstances and the carrier gives ade- FMCSA is notified of extenuating cir-
quate notice within a reasonable time cumstances before the information is
of the extenuating circumstances. disclosed to the public and FMCSA
(4) A carrier submitting a request re- finds that the extenuating cir-
lating to the annual report can also re- cumstances warrant consideration of
quest that it cover the quarterly re- the claim.
ports for the upcoming year. In this (4) FMCSA will grant or deny each
case FMCSA will decide both requests request no later than 90 days after the
at the same time. Requests covering request’s due date as defined in para-
the quarterly reports must be received graph (d) of this section. The decision
by the due date of the annual report by FMCSA shall be administratively
which relates to the prior year. The final. The table below summarizes re-
table in paragraph (e) of this section port, request, and decision due dates.
Report Report due Request due Decision due

Annual Form M .................................................. March 31 ............................... March 31 ............................... June 30


First Quarter Form QFR .................................... April 30 .................................. March 31 ............................... June 30
Second Quarter Form QFR ............................... July 31 ................................... March 31 ............................... June 30
Third Quarter Form QFR ................................... October 31 ............................. March 31 ............................... June 30
Fourth Quarter Form QFR ................................ January 31 ............................. March 31 ............................... June 30

(5) If a request is granted, FMCSA any report for which a valid request for
will notify carrier of that decision and an exemption from public release is
of any appropriate limitations. pending.
(6) If a request for confidentiality is (g) Period of exemptions. If a request
denied, FMCSA will notify the carrier for an exemption under this section is
of that decision and that the informa- granted, FMCSA will not publicly re-
tion will be made available to the pub- lease the reports covered by the grant-
lic not less than ten working days after ed exemption, unless otherwise re-
the carrier has received notice of the
quired by law, for a period of three
denial. The notice will specify the rea-
sons for denying the request. years from the report’s due date.
(f) Pendency. A request is deemed (h) Modification of a decision to grant a
pending from the date it is received by request. If a request is granted it re-
FMCSA until it is granted or denied by mains in effect in accordance with its
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FMCSA. FMCSA will not release pub-


licly, unless otherwise required by law,

65

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§ 369.10 49 CFR Ch. III (10–1–07 Edition)

terms, unless modified by a later find- § 369.11 Quarterly reports of passenger


ing that the decision was clearly erro- revenues, expenses, and statistics.
neous. If FMCSA believes such a find- Commencing with reports for the
ing should be made, FMCSA will notify quarter ended March 31, 1968, and for
the requesting carrier in writing of the subsequent quarters thereafter, until
reasons for the modification and that further order, all class I common and
the carrier’s report will be made avail- contract motor carriers of passengers,
able to the public in not less than ten as defined in § 369.3(a), shall compile
working days from the date of receipt and file quarterly reports in accord-
of notice under this paragraph. The ance with Motor Carrier Quarterly and
carrier may seek reconsideration of the Annual Report, Form MP–1. Such quar-
modification. terly reports shall be filed in duplicate
in the FMCSA Office of Information
[64 FR 13922, Mar. 23, 1999. Redesignated at 71
FR 45742, Aug. 10, 2006, and amended at 71 FR Management at the address in § 369.6,
45743, Aug. 10, 2006] within 30 days after the close of the pe-
riod to which it relates.
§ 369.10 Public release of motor car- [43 FR 46975, Oct. 12, 1978. Redesignated at 63
rier of property data. FR 52193, Sept. 30, 1998, as amended at 68 FR
(a) In general. Unless otherwise pro- 4719, Jan. 30, 2003. Redesignated at 71 FR
vided in this section, the data con- 45742, Aug. 10, 2006, and amended at 71 FR
45743, Aug. 10, 2006]
tained in a report filed under § 369.1
shall be made publicly available, but
no sooner than the due date for the re- PART 370—PRINCIPLES AND PRAC-
port. TICES FOR THE INVESTIGATION
(b) Exceptions relating to exemptions AND VOLUNTARY DISPOSITION
from public release. (1) If a request for OF LOSS AND DAMAGE CLAIMS
an exemption from public release is AND PROCESSING SALVAGE
pending under § 369.9, FMCSA will not
publicly release the reports covered by Sec.
the request until at least the time that 370.1 Applicability of regulations.
a decision to grant or deny the request 370.3 Filing of claims.
370.5 Acknowledgment of claims.
is made.
370.7 Investigation of claims.
(2) If a carrier is granted an exemp- 370.9 Disposition of claims.
tion from public release under § 369.9, 370.11 Processing of salvage.
FMCSA will not publicly release the AUTHORITY: 49 U.S.C. 13301 and 14706; and 49
reports covered by the granted exemp- CFR 1.73.
tion for a period of three years from
SOURCE: 62 FR 32042, June 12, 1997, unless
the report’s due date.
otherwise noted.
(c) Other exceptions. Notwithstanding
any other provision of this part, infor- EDITORIAL NOTE: Nomenclature changes to
part 370 appear at 66 FR 49870, Oct. 1, 2001.
mation may be released:
(1) If the data are included in aggre- § 370.1 Applicability of regulations.
gate industry statistics that do not
identify the individual carrier; The regulations set forth in this part
shall govern the processing of claims
(2) To other components of the De-
for loss, damage, injury, or delay to
partment of Transportation for their
property transported or accepted for
internal use only; transportation, in interstate or foreign
(3) If required by law; commerce, by each motor carrier,
(4) With the consent of the carrier fil- water carrier, and freight forwarder
ing the report; or (hereinafter called carrier), subject to
(5) To contractors, if necessary for 49 U.S.C. subtitle IV, part B.
the performance of a contract with
FMCSA. § 370.3 Filing of claims.
[64 FR 13923, Mar. 23, 1999, as amended at 68 (a) Compliance with regulations. A
FR 4719, Jan. 30, 2003. Redesignated at 71 FR claim for loss or damage to baggage or
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45742, Aug. 10, 2006, and amended at 71 FR for loss, damage, injury, or delay to
45743, Aug. 10, 2006] cargo, shall not be voluntarily paid by

66

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Federal Motor Carrier Safety Administration, DOT § 370.5

a carrier unless filed, as provided in possible the extent, if any, of the loss
paragraph (b) of this section, with the or damage for which it may be respon-
receiving or delivering carrier, or car- sible. It shall not, however, voluntarily
rier issuing the bill of lading, receipt, pay a claim under such circumstances
ticket, or baggage check, or carrier on unless and until a formal claim in writ-
whose line the alleged loss, damage, in- ing for a specified or determinable
jury, or delay occurred, within the amount of money shall have been filed
specified time limits applicable thereto in accordance with the provisions of
and as otherwise may be required by paragraph (b) of this section.
law, the terms of the bill of lading or (e) Other claims. If investigation of a
other contract of carriage, and all tar- claim develops that one or more other
iff provisions applicable thereto. carriers has been presented with a
(b) Minimum filing requirements. A similar claim on the same shipment,
written or electronic communication the carrier investigating such claim
(when agreed to by the carrier and shall communicate with each such
shipper or receiver involved) from a other carrier and, prior to any agree-
claimant, filed with a proper carrier ment entered into between or among
within the time limits specified in the them as to the proper disposition of
bill of lading or contract of carriage or such claim or claims, shall notify all
transportation and: claimants of the receipt of conflicting
(1) Containing facts sufficient to or overlapping claims and shall require
identify the baggage or shipment (or further substantiation, on the part of
shipments) of property, each claimant of his/her title to the
(2) Asserting liability for alleged property involved or his/her right with
loss, damage, injury, or delay, and respect to such claim.
(3) Making claim for the payment of
a specified or determinable amount of § 370.5 Acknowledgment of claims.
money, shall be considered as suffi-
cient compliance with the provisions (a) Each carrier shall, upon receipt in
for filing claims embraced in the bill of writing or by electronic transmission
lading or other contract of carriage; of a proper claim in the manner and
Provided, however, That where claims form described in the regulations in
are electronically handled, procedures the past, acknowledge the receipt of
are established to ensure reasonable such claim in writing or electronically
carrier access to supporting docu- to the claimant within 30 days after
ments. the date of its receipt by the carrier
(c) Documents not constituting claims. unless the carrier shall have paid or de-
Bad order reports, appraisal reports of clined such claim in writing or elec-
damage, notations of shortage or dam- tronically within 30 days of the receipt
age, or both, on freight bills, delivery thereof. The carrier shall indicate in
receipts, or other documents, or inspec- its acknowledgment to the claimant
tion reports issued by carriers or their what, if any, additional documentary
inspection agencies, whether the ex- evidence or other pertinent informa-
tent of loss or damage is indicated in tion may be required by it further to
dollars and cents or otherwise, shall, process the claim as its preliminary ex-
standing alone, not be considered by amination of the claim, as filed, may
carriers as sufficient to comply with have revealed.
the minimum claim filing require- (b) The carrier shall at the time each
ments specified in paragraph (b) of this claim is received create a separate file
section. and assign thereto a successive claim
(d) Claims filed for uncertain amounts. file number and note that number on
Whenever a claim is presented against all documents filed in support of the
a proper carrier for an uncertain claim and all records and correspond-
amount, such as ‘‘$100 more or less,’’ ence with respect to the claim, includ-
the carrier against whom such claim is ing the acknowledgment of receipt. At
filed shall determine the condition of the time such claim is received the car-
the baggage or shipment involved at rier shall cause the date of receipt to
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the time of delivery by it, if it was de- be recorded on the face of the claim
livered, and shall ascertain as nearly as document, and the date of receipt shall

67

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§ 370.7 49 CFR Ch. III (10–1–07 Edition)

also appear in the carrier’s acknowl- claim, require the claimant to estab-
edgment of receipt to the claimant. lish the destination value in the quan-
The carrier shall also cause the claim tity, shipped, transported, or involved;
file number to be noted on the shipping Provided, further, That when supporting
order, if in its possession, and the de- documents are determined to be a nec-
livery receipt, if any, covering such essary part of an investigation, the
shipment, unless the carrier has estab- supporting documents are retained by
lished an orderly and consistent inter- the carriers for possible FMCSA in-
nal procedure for assuring: spection.
(1) That all information contained in (c) Verification of loss. When an as-
shipping orders, delivery receipts, tally serted claim for loss of an entire pack-
sheets, and all other pertinent records age or an entire shipment cannot be
made with respect to the transpor- otherwise authenticated upon inves-
tation of the shipment on which claim tigation, the carrier shall obtain from
is made, is available for examination the consignee of the shipment involved
upon receipt of a claim; a certified statement in writing that
(2) That all such records and docu- the property for which the claim is
ments (or true and complete reproduc- filed has not been received from any
tions thereof) are in fact examined in other source.
the course of the investigation of the
claim (and an appropriate record is § 370.9 Disposition of claims.
made that such examination has in (a) Each carrier subject to 49 U.S.C.
fact taken place); and subtitle IV, part B which receives a
(3) That such procedures prevent the written or electronically transmitted
duplicate or otherwise unlawful pay- claim for loss or damage to baggage or
ment of claims. for loss, damage, injury, or delay to
property transported shall pay, decline,
§ 370.7 Investigation of claims. or make a firm compromise settlement
(a) Prompt investigation required. Each offer in writing or electronically to the
claim filed against a carrier in the claimant within 120 days after receipt
manner prescribed in this part shall be of the claim by the carrier; Provided,
promptly and thoroughly investigated however, That, if the claim cannot be
if investigation has not already been processed and disposed of within 120
made prior to receipt of the claim. days after the receipt thereof, the car-
(b) Supporting documents. When a nec- rier shall at that time and at the expi-
essary part of an investigation, each ration of each succeeding 60-day period
claim shall be supported by the origi- while the claim remains pending, ad-
nal bill of lading, evidence of the vise the claimant in writing or elec-
freight charges, if any, and either the tronically of the status of the claim
original invoice, a photographic copy and the reason for the delay in making
of the original invoice, or an exact final disposition thereof and it shall re-
copy thereof or any extract made tain a copy of such advice to the claim-
therefrom, certified by the claimant to ant in its claim file thereon.
be true and correct with respect to the (b) When settling a claim for loss or
property and value involved in the damage, a common carrier by motor
claim; or certification of prices or val- vehicle of household goods as defined
ues, with trade or other discounts, al- in § 375.1(b)(1) of this chapter shall use
lowance, or deductions, of any nature the replacement costs of the lost or
whatsoever and the terms thereof, or damaged item as a base to apply a de-
depreciation reflected thereon; Pro- preciation factor to arrive at the cur-
vided, however, That where property in- rent actual value of the lost or dam-
volved in a claim has not been invoiced aged item: Provided, That where an
to the consignee shown on the bill of item cannot be replaced or no suitable
lading or where an invoice does not replacement is obtainable, the proper
show price or value, or where the prop- measure of damages shall be the origi-
erty involved has been sold, or where nal costs, augmented by a factor de-
the property has been transferred at rived from a consumer price index, and
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bookkeeping values only, the carrier adjusted downward by a factor depre-


shall, before voluntarily paying a ciation over average useful life.

68

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Federal Motor Carrier Safety Administration, DOT § 371.3

§ 370.11 Processing of salvage. 371.2 Definitions.


371.3 Records to be kept by brokers.
(a) Whenever baggage or material, 371.7 Misrepresentation.
goods, or other property transported by 371.9 Rebating and compensation.
a carrier subject to the provisions in 371.10 Duties and obligations of brokers.
this part is damaged or alleged to be 371.13 Accounting.
damaged and is, as a consequence AUTHORITY: 49 U.S.C. 13301, 13501, and 14122;
thereof, not delivered or is rejected or and 49 CFR 1.73.
refused upon tender thereof to the SOURCE: 45 FR 68942, Oct. 17, 1980, unless
owner, consignee, or person entitled to otherwise noted. Redesignated at 61 FR 54707,
receive such property, the carrier, after Oct. 21, 1996.
giving due notice, whenever prac-
ticable to do so, to the owner and other § 371.1 Applicability.
parties that may have an interest This part applies, to the extent pro-
therein, and unless advised to the con- vided therein, to all brokers of trans-
trary after giving such notice, shall un- portation by motor vehicle as defined
dertake to sell or dispose of such prop- in § 371.2.
erty directly or by the employment of
a competent salvage agent. The carrier [32 FR 20034, Dec. 20, 1967, as amended at 62
shall only dispose of the property in a FR 15421, Apr. 1, 1997]
manner that will fairly and equally § 371.2 Definitions.
protect the best interests of all persons
having an interest therein. The carrier (a) Broker means a person who, for
shall make an itemized record suffi- compensation, arranges, or offers to ar-
cient to identify the property involved range, the transportation of property
so as to be able to correlate it to the by an authorized motor carrier. Motor
shipment or transportation involved, carriers, or persons who are employees
and claim, if any, filed thereon. The or bona fide agents of carriers, are not
carrier also shall assign to each lot of brokers within the meaning of this sec-
such property a successive lot number tion when they arrange or offer to ar-
and note that lot number on its record range the transportation of shipments
of shipment and claim, if any claim is which they are authorized to transport
filed thereon. and which they have accepted and le-
(b) Whenever disposition of salvage gally bound themselves to transport.
material or goods shall be made di- (b) Bona fide agents are persons who
rectly to an agent or employee of a car- are part of the normal organization of
rier or through a salvage agent or com- a motor carrier and perform duties
pany in which the carrier or one or under the carrier’s directions pursuant
more of its directors, officers, or man- to a preexisting agreement which pro-
agers has any interest, financial or vides for a continuing relationship,
otherwise, that carrier’s salvage precluding the exercise of discretion on
records shall fully reflect the particu- the part of the agent in allocating traf-
lars of each such transaction or rela- fic between the carrier and others.
tionship, or both, as the case may be. (c) Brokerage or brokerage service is
(c) Upon receipt of a claim on a ship- the arranging of transportation or the
ment on which salvage has been proc- physical movement of a motor vehicle
essed in the manner prescribed in this or of property. It can be performed on
section, the carrier shall record in its behalf of a motor carrier, consignor, or
claim file thereon the lot number as- consignee.
signed, the amount of money recov- (d) Non-brokerage service is all other
ered, if any, from the disposition of service performed by a broker on behalf
such property, and the date of trans- of a motor carrier, consignor, or con-
mittal of such money to the person or signee.
persons lawfully entitled to receive the
same. § 371.3 Records to be kept by brokers.
(a) A broker shall keep a record of
PART 371—BROKERS OF PROPERTY each transaction. For purposes of this
section, brokers may keep master lists
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Sec. of consignors and the address and reg-


371.1 Applicability. istration number of the carrier, rather

69

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§ 371.7 49 CFR Ch. III (10–1–07 Edition)

than repeating this information for owns the broker, or there is common
each transaction. The record shall ownership of the two.
show: (b) A broker shall not give or offer to
(1) The name and address of the con- give anything of value to any shipper,
signor; consignor or consignee (or their offi-
(2) The name, address, and registra- cers or employees) except inexpensive
tion number of the originating motor advertising items given for pro-
carrier; motional purposes.
(3) The bill of lading or freight bill
number; § 371.10 Duties and obligations of bro-
(4) The amount of compensation re- kers.
ceived by the broker for the brokerage Where the broker acts on behalf of a
service performed and the name of the person bound by law or the FMCSA
payer; regulation as to the transmittal of bills
(5) A description of any non-broker- or payments, the broker must also
age service performed in connection abide by the law or regulations which
with each shipment or other activity, apply to that person.
the amount of compensation received
for the service, and the name of the [45 FR 68943, Oct. 17, 1980, as amended at 62
payer; and FR 15421, Apr. 1, 1997]
(6) The amount of any freight charges
collected by the broker and the date of § 371.13 Accounting.
payment to the carrier. Each broker who engages in any
(b) Brokers shall keep the records re- other business shall maintain accounts
quired by this section for a period of so that the revenues and expenses re-
three years. lating to the brokerage portion of its
(c) Each party to a brokered trans- business are segregated from its other
action has the right to review the activities. Expenses that are common
record of the transaction required to be shall be allocated on an equitable
kept by these rules. basis; however, the broker must be pre-
[45 FR 68942, Oct. 17, 1980. Redesignated at 61 pared to explain the basis for the allo-
FR 54707, Oct. 21, 1996, as amended at 62 FR cation.
15421, Apr. 1, 1997]
[45 FR 68943, Oct. 17, 1980]
§ 371.7 Misrepresentation.
(a) A broker shall not perform or PART 372—EXEMPTIONS, COM-
offer to perform any brokerage service MERCIAL ZONES, AND TERMINAL
(including advertising), in any name AREAS
other than that in which its registra-
tion is issued. Subpart A—Exemptions
(b) A broker shall not, directly or in-
Sec.
directly, represent its operations to be
372.101 Casual, occasional, or reciprocal
that of a carrier. Any advertising shall
transportation of passengers for com-
show the broker status of the oper- pensation when such transportation is
ation. sold or arranged by anyone for com-
[45 FR 68942, Oct. 17, 1980. Redesignated at 61 pensation.
FR 54707, Oct. 21, 1996, as amended at 62 FR 372.103 Motor vehicles employed solely in
15421, Apr. 1, 1997] transporting school children and teach-
ers to or from school.
§ 371.9 Rebating and compensation. 372.107 Definitions.
372.109 Computation of tonnage allowable in
(a) A broker shall not charge or re- nonfarm-non-member transportation.
ceive compensation from a motor car- 372.111 Nonmember transportation limita-
rier for brokerage service where: tion and record keeping.
(1) The broker owns or has a material 372.113 [Reserved]
beneficial interest in the shipment or 372.115 Commodities that are not exempt
(2) The broker is able to exercise con- under 49 U.S.C. 13506(a)(6).
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trol over the shipment because the 372.117 Motor transportation of passengers
broker owns the shipper, the shipper incidental to transportation by aircraft.

70

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Federal Motor Carrier Safety Administration, DOT § 372.107

Subpart B—Commercial Zones IV, part B to such transportation when


sold or offered for sale, or provided or
372.201 Albany, NY.
372.203 Beaumont, TX.
procured or furnished or arranged for,
372.205 Charleston, SC. by any person who sells, offers for sale,
372.207 Charleston, WV. provides, furnishes, contracts, or ar-
372.209 Lake Charles, LA. ranges for such transportation for com-
372.211 Pittsburgh, PA. pensation or as a regular occupation or
372.213 Pueblo, CO. business.
372.215 Ravenswood, WV.
372.217 Seattle, WA. [32 FR 20036, Dec. 20, 1967. Redesignated at 61
372.219 Washington, DC. FR 54708, Oct. 21, 1996, as amended at 62 FR
372.221 Twin Cities. 15421, Apr. 1, 1997]
372.223 Consolidated governments.
372.225 Lexington-Fayette Urban County, § 372.103 Motor vehicles employed
KY. solely in transporting school chil-
372.227 Syracuse, NY. dren and teachers to or from
372.229 Spokane, WA. school.
372.231 Tacoma, WA.
372.233 Chicago, IL. The exemption set forth in 49 U.S.C.
372.235 New York, NY. 13506(a)(1) shall not be construed as
372.237 Cameron, Hidalgo, Starr, and being inapplicable to motor vehicles
Willacy Counties, TX. being used at the time of operation in
372.239 Definitions. the transportation of schoolchildren
372.241 Commercial zones determined gen-
erally, with exceptions. and teachers to or from school, even
372.243 Controlling distances and population though such motor vehicles are em-
data. ployed at other times in transportation
beyond the scope of the exemption.
Subpart C—Terminal Areas
[36 FR 9022, May 18, 1971, as amended at 62
372.300 Distances and population data. FR 15421, Apr. 1, 1997]
372.301 Terminal areas of motor carriers and
freight forwarders at municipalities § 372.107 Definitions.
served.
372.303 Terminal areas of motor carriers and As used in the regulations in this
freight forwarders at unincorporated part, the following terms shall have
communities served. the meaning shown:
AUTHORITY: 49 U.S.C. 13504 and 13506; and 49 (a) Cooperative association. The term
CFR 1.73. ‘‘cooperative association’’ means an as-
sociation which conforms to the fol-
EDITORIAL NOTE: Nomenclature changes to
lowing definition in the Agricultural
part 372 appear at 66 FR 49870, Oct. 1, 2001.
Marketing Act, approved June 15, 1929,
as amended (12 U.S.C. 1141j):
Subpart A—Exemptions
As used in this Act, the term cooperative
association means any association in which
SOURCE: 32 FR 20036, Dec. 20, 1967, unless
farmers act together in processing, preparing
otherwise noted. Redesignated at 61 FR 54708,
for market, handling, and/or marketing the
Oct. 21, 1996.
farm products of persons so engaged, and
also means any association in which farmers
§ 372.101 Casual, occasional, or recip- act together in purchasing, testing, grading,
rocal transportation of passengers processing, distributing, and/or furnishing
for compensation when such trans- farm supplies and/or farm business services.
portation is sold or arranged by Provided, however, That such associations
anyone for compensation. are operated for the mutual benefit of the
The partial exemption from regula- members thereof as such producers or pur-
tion under the provisions of 49 U.S.C. chasers and conform to one or both of the
subtitle IV, part B of the casual, occa- following requirements:
sional, and reciprocal transportation of First. That no member of the association
is allowed more than one vote because of the
passengers by motor vehicle in inter-
amount of stock or membership capital he
state or foreign commerce for com- may own therein; and
pensation as provided in 49 U.S.C. Second. That the association does not pay
13506(b) be, and it is hereby, removed to dividends on stock or membership capital in
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the extent necessary to make applica- excess of 8 per centum per annum.
ble all provisions of 49 U.S.C. subtitle And in any case to the following:

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§ 372.109 49 CFR Ch. III (10–1–07 Edition)
Third. That the association shall not deal cooperative association or federation
in farm products, farm supplies and farm of cooperative associations other than
business services with or for nonmembers in member transportation as defined in
an amount greater in value than the total
amount of such business transacted by it
paragraph (f) of this section.
with or for members. All business transacted (h) Fiscal year. The term ‘‘fiscal
by any cooperative association for or on be- year’’ means the annual accounting pe-
half of the United States or any agency or riod adopted by the cooperative asso-
instrumentality thereof shall be disregarded ciation or federation of cooperative as-
in determining the volume of member and sociations for Federal income tax re-
nonmember business transacted by such as- porting purposes.
sociation.
[43 FR 2397, Jan. 17, 1978, as amended at 45
Associations which do not conform to FR 45524, July 3, 1980; 47 FR 13353, Mar. 30,
such definition are not eligible to oper- 1982; 47 FR 15142, Apr. 8, 1982]
ate under the partial exemption of 49
U.S.C. 13506(a)(5). § 372.109 Computation of tonnage al-
(b) Federation of cooperative associa- lowable in nonfarm-non-member
tions. The term ‘‘federation of coopera- transportation.
tive associations’’ means a federation Interstate transportation performed
composed of either two or more cooper- by a cooperative association or federa-
ative associations, or one or more tion of cooperative associations for
farmers, which federation possesses no nonmembers who are not farmers, co-
greater powers or purposes than a co- operative associations, or federations
operative association as defined in of associations or the United States
paragraph (a) of this section. Federa- Government for compensation, (except
tions of cooperative associations which transportation otherwise exempt under
do not conform to such definition are subtitle IV, part B, chapter 135 of title
not eligible to operate under the par- 49 of the United States Code) shall be
tial exemption of 49 U.S.C. 13506(a)(5). limited to that which is incidental to
(c) Member. The term ‘‘member’’ its primary transportation operation
means any farmer or cooperative asso- and necessary for its effective perform-
ciation which has consented to be, has ance. It shall in no event exceed 25 per-
been accepted as, and is a member in cent of its total interstate transpor-
good standing in accordance with the tation services in any fiscal year,
constitution, bylaws, or rules of the co- measured in terms of tonnage. A coop-
operative association or federation of erative association or federation of co-
cooperative associations. operative associations may transport
(d) Farmer. The term ‘‘farmer’’ means its own property, its members’ prop-
any individual, partnership, corpora- erty, property of other farmers and the
tion, or other business entity to the ex- property of other cooperatives or fed-
tent engaged in farming operations ei- erations in accordance with existing
ther as a producer of agricultural com- law, except where the provisions of
modities or as a farm owner. § 372.111 may be applicable to the limit
(e) Interstate transportation. The term on member/nonmember transportation.
‘‘interstate transportation’’ means (a) The phrase ‘‘incidental to its pri-
transportation by motor vehicle in mary transportation operation and
interstate or foreign commerce subject necessary for its effective perform-
to the FMCSA’s jurisdiction as set ance’’ means that the interstate trans-
forth in 49 U.S.C. 13501. portation of the cooperative associa-
(f) Member transportation. The term tion or federation of cooperation asso-
‘‘member transportation’’ means trans- ciation for nonmembers as described
portation performed by a cooperative above is performed with the same
association or federation of coopera- trucks or tractors employed in a prior
tive associations for itself or for its or subsequent trip in the primary
members, but does not include trans- transportation operation of the cooper-
portation performed in furtherance of ative association or federation, that it
the nonfarm business of such members. is not economically feasible to operate
(g) Nonmember transportation. The the trucks or tractors empty on return
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term ‘‘nonmember transportation’’ trips (outbound trips in cases where


means transportation performed by a the primary transportation operation

72

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Federal Motor Carrier Safety Administration, DOT § 372.115

is inbound to the association or federa- (6) A description of the equipment


tion), and that the additional income used either by unit number or license
obtained from such transportation is number and, in the event this equip-
necessary to make the primary trans- ment is nonowned, the name and ad-
portation operation financially prac- dress of its owners and drivers,
ticable. Transportation for nonmem- (7) The total charges collected,
bers as described above performed by a (8) A copy of all leases executed by
cooperative or federation through the the cooperative association or federa-
use of trucks or tractors trip-leased for tion of cooperative associations to ob-
one-way movements with the coopera- tain equipment to perform transpor-
tive association or federation acting as tation under 49 U.S.C. 13506(a)(5),
leasee, is not incidental and necessary; (9) Whether the transportation per-
(b) The base tonnage to which the 25- formed is:
percent limitation is applied is all ton- (i) Member transportation,
nage of all kinds transported by the co- (ii) Nonmember transportation for
operative association or federation of nonmembers who are farmers, coopera-
cooperative associations in interstate tive associations, or federations there-
or foreign commerce, whether for of,
itself, its members or nonmembers, for (iii) Other nonmember transpor-
or on behalf of the United States or tation, and if of class (iii), how the
any agency or instrumentality thereof, transportation was incidental and nec-
and that performed within the exemp- essary as defined in § 372.109(a).
tion provided by 49 U.S.C. 13506(a)(5). [43 FR 2397, Jan. 17, 1978, as amended at 45
[43 FR 2397, Jan. 17, 1978, as amended at 43 FR 45524, July 3, 1980; 62 FR 38036, July 16,
FR 21894, May 22, 1978; 45 FR 45524, July 3, 1997; 62 FR 49940, Sept. 24, 1997]
1980; 62 FR 49940, Sept. 24, 1997]
§ 372.113 [Reserved]
§ 372.111 Nonmember transportation
limitation and record keeping. § 372.115 Commodities that are not ex-
empt under 49 U.S.C. 13506(a)(6).
(a) Overall limitation of nonmember
transportation. No cooperative associa- 49 U.S.C. 13506(a)(6) provides an ex-
tion or federation of cooperative asso- emption from regulation for motor ve-
ciations may engage in nonmember hicles used in carrying ordinary live-
interstate transportation for com- stock, fish, and unmanufactured agri-
pensation in any fiscal year which, cultural commodities. Certain specific
measured in terms of tonnage, exceeds commodities have been statutorily de-
its total interstate member transpor- termined to be non-exempt. Adminis-
tation in such fiscal year. trative Ruling No. 133, which is repro-
duced below, is a list of those commod-
(b) Records of interstate transportation
ities that are non-exempt by statute.
when nonmember transportation is per-
formed. Any cooperative association or ADMINISTRATIVE RULING NO. 133
federation of cooperative associations
LIST OF COMMODITIES THAT ARE NOT EXEMPT
performing interstate transportation
BY STATUTE UNDER 49 U.S.C. 13506(A)(6)
for nonmembers shall prepare and re-
tain for a period of at least two years Animal fats
written records of all interstate trans- Butter
portation performed for members and Canned fruits and vegetables
Carnauba wax as imported in slabs or chunks
nonmembers. These records shall con- Cattle, slaughtered
tain: Charcoal
(1) The date of the shipment, Cheese
(2) The names and addresses of the Coal
consignor and consignee, Cocoa beans
Coffee, beans, roasted, or instant
(3) The origin and destination of the
Copra meal
shipment, Cotton yarn
(4) A description of the articles in the Cottonseed cake or meal
shipment, Diatomaceous earth
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(5) The weight or volume of the ship- Dinners, frozen


ment, Feeds:

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§ 372.115 49 CFR Ch. III (10–1–07 Edition)
Alfalfa meal Meal:
Alfalfa pellets
Alfalfa
Beet pulp
Copra
Bran shorts
Cottonseed
Copra meal
Fish
Corn gluten
Flaxseed
Distilled corn grain residues, with or with- Linseed
out solubles added Peanut
Fish meal Soybean
Hominy feed
Middlings Meat and meat products, fresh, frozen or
Pelletized ground refuse screenings canned
Wheat bran Milk and Cream:
Wheat shorts Chocolate
Fertilizer, commercial Condensed
Fish: Sterilized in hermetically sealed cans
Canned or salted as a treatment for pre- Molasses
serving Nuts (including peanuts):
Cooked or partially cooked fish or shrimp,
Peanut meal
frozen or unfrozen
Roasted or boiled
Hermetically sealed in containers as a
treatment for preserving Oil, mint
Oil from fishes Oil, extracted from vegetables, grain, seed, fish
Preserved, or treated for preserving, such or other commodity
as smoked, salted, pickled, spiced, corned Pelts
or kippered Pies, frozen
Pigeons, racing
Flagstone Pulp, beet
Flaxseed meal Pulp, sugar cane
Flour Rock (except natural crushed, vesicular rock to
Forest products: be used for decorative purposes)
Resin products, such as turpentine Rubber, crude, in bales
Rubber, latex, natural, liquid, from which water
Fruits and Berries: has been extracted and to which ammonia
Bananas, fresh, dried, dehydrated, or fro- has been added
zen Sand
Canned Seeds:
Frozen
Hulls of oranges after juice extractions Oil extracted from seeds
Juice, fruit, plain or concentrated Skins, animal
Pies, frozen Soil, potting
Preserved, such as jam Soil, top
Purees, strawberry and other, frozen Soup, frozen
Sugar
Grains:
Sugar cane pulp
Oils extracted from grain Sugar raw
Popcorn, popped Syrup, cane
Rice, precooked Syrup, maple
Wheat germ Tea
Gravel Tobacco:
Hair, hog or other animal, product of slaughter Cigars and cigarettes
of animal Homogenized
Hay, sweetened with 3 percent molasses by Smoking
weight
Hemp fiber Top Soil
Hides, green and salted Trees:
Insecticides Sawed into lumber
Limestone, agricultural
Vegetables:
Livestock:
Candied sweet potatoes, frozen
Monkeys Canned
Race horses Cooked
Show horses French fried potatoes
Zoo animals
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Oil, extracted from vegetables


Lumber, rough sawed or planed Soup, frozen
Maple syrup Soybean meal

74

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Federal Motor Carrier Safety Administration, DOT § 372.117
Wool imported from a foreign country proceeding, determine whether the
Wool tops and noils area within which the transportation
Wool waste (carded, spun, woven, or knitted) by motor vehicle of passengers having
Wool yarn
an immediately prior or subsequent
Note 1: Under 49 U.S.C. 13506(a)(6)(D), any movement by air must be performed, in
listed fish or shellfish product that is not in- order to come within the provisions of
tended for human consumption is exempt.
paragraph (a) of this section, should be
Note 2: Under 49 U.S.C. 13506(a)(6)(E), any
listed livestock feed, poultry feed, agricul- individually determined with respect
tural seeds, or plants that are transported to to any particular airport or city served
a site of agricultural production or to a busi- by an airport, and whether there
ness enterprise engaged in the sale to agri- should be established therefor appro-
cultural producers of goods used in agricul- priate boundaries differing in extent
tural production is exempt from this defined in paragraph (a)(2) of
[53 FR 17707, May 18, 1988, as amended at 62 this section.
FR 15421, Apr. 1, 1997] (d) Exempt zones and operations—(1)
Dulles and Baltimore-Washington Inter-
§ 372.117 Motor transportation of pas- national Airports. The transportation by
sengers incidental to transportation motor vehicle, in interstate or foreign
by aircraft.
commerce, of passengers, having an
(a) Passengers having an immediately immediately prior or subsequent move-
prior or subsequent movement by air. The ment by air, between Dulles Inter-
transportation of passengers by motor national Airport, near Chantilly, Va.,
vehicle is transportation incidental to and Baltimore-Washington Inter-
transportation by aircraft provided (1) national Airport, near Baltimore, Md.,
that it is confined to the transpor- is partially exempt from regulation
tation of passengers who have had or under 49 U.S.C. 13506(a)(8)(A).
will have an immediately prior or im- (2) Savannah, Ga., Airport. The trans-
mediately subsequent movement by air portation by motor vehicle, in inter-
and (2) that the zone within which state or foreign commerce, of pas-
motor transportation is incidental to sengers, having an immediately prior
transportation by aircraft, except as it or subsequent movement by air, be-
may be individually determined as pro- tween Savannah, Ga., Airport and all
vided in section (c) herein, shall not ex- points on Hilton Head Island, SC, is
ceed in size the area encompassed by a partially exempt from regulation under
25-mile radius of the boundary of the 49 U.S.C. 13506(a)(8)(A).
airport at which the passengers arrive (3) Chicago O’Hare International Air-
or depart and by the boundaries of the port (Chicago, Ill.). The transportation
commercial zones (as defined by the by motor vehicle, in interstate or for-
Secretary) of any municipalities any eign commerce, of passengers, having
part of whose commercial zones falls an immediately prior or subsequent
within the 25-mile radius of the perti- movement by air, between O’Hare
nent airport. International Airport, at Chicago, Ill.,
(b) Substituted motor-for-air transpor- on the one hand, and, on the other,
tation due to emergency conditions. points in Indiana on and north of U.S.
Transportation of passengers by motor Highway 30 and on and west of Indiana
vehicle is transportation incidental to Highway 49, is partially exempt from
transportation by aircraft if it con- regulation under 49 U.S.C.
stitutes substituted motor-for-air serv- 13506(a)(8)(A).
ice performed at the expense of the air
carrier in emergency situations arising [32 FR 20036, Dec. 20, 1967, as amended at 37
from the inability of the air carrier to FR 5252, Mar. 11, 1972; 42 FR 10003, Feb. 18,
perform air transportation due to ad- 1977; 42 FR 15705; Mar. 23, 1977; 62 FR 15421,
Apr. 1, 1997]
verse weather conditions, equipment
failure, or other causes beyond the con-
trol of the air carrier. Subpart B—Commercial Zones
(c) Individual determination of exempt
zones. Upon its own motion or upon pe- SOURCE: 41 FR 56653, Dec. 29, 1976, unless
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tition filed by any interested person, otherwise noted. Redesignated at 61 FR 54708,


the Secretary may in an appropriate Oct. 21, 1996.

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§ 372.201 49 CFR Ch. III (10–1–07 Edition)

§ 372.201 Albany, NY. (a) The municipality of Beaumont,


Tex., itself;
The zone adjacent to, and commer-
(b) All points within a line drawn 8
cially a part of Albany, N.Y., within
miles beyond the municipal limits of
which transportation by motor vehicle,
Beaumont;
in interstate or foreign commerce, not
(c) All points in Jefferson County and
under common control, management, Orange County, Tex.;
or arrangement for a continuous car- (d) All of any municipality any part
riage or shipment to or from a point of which is within the limits of the
beyond such zone, is partially exempt combined areas defined in paragraphs
from regulations under 49 U.S.C. (b) and (c) of this section, and
13506(b)(1) includes and is comprised of (e) All of any municipality wholly
all points as follows: surrounded, or so surrounded except for
(a) The municipality of Albany, N.Y., a water boundary, by the municipality
itself. of Beaumont or by any other munici-
(b) All points within a line drawn pality included under the terms of
eight miles beyond the municipal lim- paragraph (d) of this section.
its of Albany.
(c) All points in that area more than [41 FR 56653, Dec. 29, 1976, as amended at 62
FR 15422, Apr. 1, 1997]
eight miles beyond the municipal lim-
its of Albany bounded by a line as fol- § 372.205 Charleston, S.C.
lows: Beginning at that point on the
western boundary of Cohoes, N.Y., The zone adjacent to, and commer-
where it crosses the line described in cially a part of Charleston, S.C., within
paragraph (b) of this section, thence which transportation by motor vehicle
along the western and northern bound- in interstate or foreign commerce, not
ary of Cohoes to the Mohawk River under common control, management,
thence along such river to the northern or arrangement for a continuous car-
boundary of the Town of Waterford riage or shipment to or from a point
thence along the northern and eastern beyond such zone, is partially exempt
from regulation under 49 U.S.C.
boundaries of the Town of Waterford to
13506(b)(1) includes and is comprised of
the northern boundary of the City of
all points as follows:
Troy (all of which city is included
(a) The municipality of Charleston,
under the next provision).
S.C., itself;
(d) All of any municipality any part
(b) All points within a line drawn 6
of which is within the limits of the
miles beyond the municipal limits of
combined areas defined in paragraphs Charleston;
(b) and (c) of this section, and (c) Those points in Charleston Coun-
(e) All of any municipality wholly ty, S.C., which are not within the areas
surrounded, or so surrounded except for described in paragraph (b) of this sec-
a water boundary, by the municipality tion; and those points in Berkley Coun-
of Albany or any other municipality ty, S.C., which are not within the areas
included under the terms of paragraph described in paragraph (b) of this sec-
(d) of this section. tion, and which are west of South Caro-
[41 FR 56653, Dec. 29, 1976, as amended at 62 lina Highway 41; and all points in Dor-
FR 15422, Apr. 1, 1997] chester County, SC.
(d) All of any municipality any part
§ 372.203 Beaumont, TX. of which is within the limits of the
The zone adjacent to, and commer- combined areas defined in paragraphs
cially a part of Beaumont, Tex., within (b) and (c) of this section, and
which transportation by motor vehicle (e) All of any municipality wholly
in interstate or foreign commerce, not surrounded, or so surrounded except for
under common control, management, a water boundary, by the municipality
or arrangement for a continuous car- of Charleston or by any other munici-
riage or shipment to or from a point pality included under the terms of
beyond such zone, is partially exempt paragraph (d) of this section.
from regulation under 49 U.S.C. [41 FR 56653, Dec. 29, 1976, as amended at 46
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13506(b)(1) includes and is comprised of FR 28658, May 28, 1981; 62 FR 15422, Apr. 1,
all points as follows: 1997]

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Federal Motor Carrier Safety Administration, DOT § 372.213

§ 372.207 Charleston, WV. (d) All of any municipality any part


of which is within the limits of the
The zone adjacent to, and commer-
cially a part of Charleston, W. Va., combined areas defined in paragraphs
within which transportation by motor (b) and (c) of this section, and
vehicle in interstate or foreign com- (e) All of any municipality wholly
merce, not under common control, surrounded, or so surrounded except for
management, or arrangement for a a water boundary, by the municipality
continuous carriage or shipment to or of Lake Charles or by any other mu-
from a point beyond such zone, is par- nicipality included under the terms of
tially exempt from regulation under 49 paragraph (d) of this section.
U.S.C. 13506(b)(1) includes and is com- [41 FR 56653, Dec. 29, 1976, as amended at 62
prised of all points as follows: FR 15422, Apr. 1, 1997]
(a) The municipality of Charleston,
W. Va., itself; § 372.211 Pittsburgh, PA.
(b) All points within a line drawn 6 The zone adjacent to, and commer-
miles beyond the municipal limits of cially a part of Pittsburgh within
Charleston; which transportation by motor vehicle
(c) Those points in Kanawha County, in interstate or foreign commerce, not
W. Va., which are not within the area under common control, management,
described in paragraph (b) of this sec- or arrangement for a continuous car-
tion; and those points in Putnam Coun- riage or shipment to or from a point
ty, W. Va., south of West Virginia beyond such zone, is partially exempt
Highway 34; from regulation under 49 U.S.C.
(d) All of any municipality any part 13506(b)(1) includes and is comprised of
of which is within the limits of the all points as follows:
combined areas defined in paragraphs (a) The municipality of Pittsburgh,
(b) and (c) of this section, and Pa., itself;
(e) All of any municipality wholly
(b) All points within a line drawn 15
surrounded, or so surrounded except for
miles beyond the municipal limits of
a water boundary, by the municipality
Pittsburgh;
of Charleston or by any other munici-
pality included under the terms of (c) Those points in Allegheny Coun-
paragraph (d) of this section. ty, Pa., which are not within the area
described in paragraph (b) of this sec-
[41 FR 56653, Dec. 29, 1976, as amended at 62 tion;
FR 15422, Apr. 1, 1997] (d) All of any municipality any part
§ 372.209 Lake Charles, LA. of which is within the limits of the
combined areas defined in paragraphs
The zone adjacent to, and commer- (b) and (c) of this section, and
cially a part of Lake Charles, La., (e) All of any municipality wholly
within which transportation by motor surrounded, or so surrounded except for
vehicle in interstate or foreign com- a water boundary, by the municipality
merce, not under common control, of Pittsburgh by any other munici-
management, or arrangement for a pality included under the terms of
continuous carriage or shipment to or paragraph (d) of this section.
from a point beyond such zone, is par-
tially exempt from regulation under 49 [41 FR 56654, Dec. 29, 1976, as amended at 62
U.S.C. 13506(b)(1) includes and is com- FR 15422, Apr. 1, 1997]
prised of all points as follows:
(a) The municipality of Lake Charles, § 372.213 Pueblo, CO.
La., itself; The zone adjacent to, and commer-
(b) All points within a line drawn 6 cially a part of Pueblo, Colo., within
miles beyond the municipal limits of which transportation by motor vehicle
Lake Charles; in interstate or foreign commerce, not
(c) Those points in Calcasieu Parish, under common control, management,
La., which are not within the area de- or arrangement for a continuous car-
scribed in paragraph (b) of this section; riage or shipment to or from a point
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and which are east of Louisiana High- beyond such zone, is partially exempt
way 27 (western section); from regulations under 49 U.S.C.

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§ 372.215 49 CFR Ch. III (10–1–07 Edition)

13506(b)(1) includes and is comprised of § 372.217 Seattle, WA.


all points as follows: The zone adjacent to, and commer-
(a) The municipality of Pueblo, Colo., cially a part of Seattle, Wash., within
itself; which transportation by motor vehicle
(b) All points within a line drawn 6 in interstate or foreign commerce, not
miles beyond the municipal limits of under common control, management,
Pueblo; or arrangement for a continuous car-
(c) Those points in Pueblo County, riage or shipment to or from a point
Colo., which are not within the area de- beyond such zone, is partially exempt
scribed in paragraph (b) of this section; from regulation under 49 U.S.C.
(d) All of any municipality any part 13506(b)(1) includes and is comprised of
of which is within the limits of the all points as follows:
combined areas defined in paragraphs (a) The municipality of Seattle,
(b) and (c) of this section, and Wash., itself;
(b) All points within a line drawn 15
(e) All of any municipality wholly
miles beyond the municipal limits of
surrounded, or so surrounded except for
Seattle;
a water boundary, by the municipality (c) Those points in King County,
included under the terms of paragraph Wash., which are not within the area
(d) of this section. described in paragraph (b) of this sec-
[41 FR 56654, Dec. 29, 1976, as amended at 62 tion, and which are west of a line be-
FR 15422, Apr. 1, 1997] ginning at the intersection of the line
described in paragraph (b) of this sec-
§ 372.215 Ravenswood, WV. tion and Washington Highway 18,
The zone adjacent to, and commer- thence northerly along Washington
Highway 18 to junction of Interstate
cially a part of Ravenswood, W. Va.,
Highway 90, thence westerly along
within which transportation by motor
Interstate Highway 90 to junction
vehicle in interstate or foreign com-
Washington Highway 203, thence north-
merce, not under common control, erly along Washington Highway 203 to
management, or arrangement for a the King County line; and those points
continuous carriage or shipment to or in Snohomish County, Wash., which
from a point beyond such zone, is par- are not within the area described in
tially exempt from regulation under 49 paragraph (b) of this section and which
U.S.C. 13506(b)(1) includes and is com- are west of Washington Highway 9; and
prised of all points as follows: those points in Kitsap County, Wash.,
(a) The municipality of Ravenswood, which are not within the area described
W. Va., itself; in paragraph (b) of this section lying
(b) All points within a line drawn 4 within the area bounded by a line be-
miles beyond the municipal limits of ginning at the intersection of the line
Ravenswood; described in paragraph (b) of this sec-
(c) Those points in Jackson County, tion and Washington Highway 3 to the
W. Va., which are not within the area boundary of Olympic View Industrial
described in paragraph (b) of this sec- Park/Bremerton-Kitsap County Air-
tion, and which are north of U.S. High- port, thence westerly, southerly, eas-
way 33; terly, and northerly along the bound-
(d) All of any municipality any part ary of Olympic View Industrial Park/
of which is within the limits of the Bremerton-Kitsap County Airport to
combined areas defined in paragraphs its juncture with Washington Highway
(b) and (c) of this section, and 3 to its intersection with the line de-
(e) All of any municipality wholly scribed in paragraph (b) of this section.
surrounded, or so surrounded except for (d) All of any municipality any part
of which is within the limits of the
a water boundary, by the municipality
combined areas defined in paragraphs
of Ravenswood or by any other munici-
(b) and (c) of this section, and
pality included under the terms of
(e) All of any municipality wholly
paragraph (d) of this section.
surrounded, or so surrounded except for
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[41 FR 56654, Dec. 29, 1976, as amended at 62 a water boundary, by the municipality
FR 15422, Apr. 1, 1997] of Seattle or by any other municipality

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Federal Motor Carrier Safety Administration, DOT § 372.225

included under the terms of paragraph (4) Delmar, Del-Md.


(d) of this section. (5) Harrison, Ohio-West Harrison,
Ind.
[41 FR 56654, Dec. 29, 1976, as amended at 46
FR 25314, May 6, 1981; 62 FR 15422, Apr. 1, (6) Junction City, Ark.-La.
1997] (7) Kansas City, Mo.-Kansas City,
Kans.
§ 372.219 Washington, DC (8) Minneapolis-St. Paul, Minn.
The zone adjacent to, and commer- (9) St. Louis, Mo.-East St. Louis, Ill.
cially a part of Washington, D.C., with- (10) Texarkana, Ark.-Tex.
in which transportation by motor vehi- (11) Texhoma, Tex.-Okla.
cle in interstate or foreign commerce, (12) Union City, Ind.-Ohio.
not under common control, manage- [41 FR 56654, Dec. 29, 1976, as amended at 62
ment, or arrangement for a continuous FR 15422, Apr. 1, 1997]
carriage or shipment to or from a point
beyond such zone, is partially exempt § 372.223 Consolidated governments.
from regulation under 49 U.S.C. The zone adjacent to, and commer-
13506(b)(1) includes and is comprised of cially a part of a consolidated govern-
all points as follows: ment within which transportation by
(a) The municipality of Washington, motor vehicle, in interstate or foreign
D.C., itself; commerce, not under common control,
(b) All points within a line drawn 15 management, or arrangement for a
miles beyond the municipal limits of continuous carriage or shipment to or
Washington, DC from a point beyond the zone, is par-
(c) All points in Fairfax and Loudoun tially exempt from regulation under 49
Counties, VA, and all points in Prince U.S.C. 13506(b)(1) includes and is com-
William County, VA, including the prised of all points as follows:
City of Manassas, VA, and the City of (a) All points within the boundaries
Manassas Park, VA. of the consolidated government.
(d) All of any municipality any part (b) All points beyond the boundaries
of which is within the limits of the of the consolidated government which
combined areas defined in paragraphs were at any time within the commer-
(b) and (c) of this section, and cial zone of the formerly independent
(e) All of any municipality wholly core municipality.
surrounded, or so surrounded except for (c) When the present population of
a water boundary, by the municipality the formerly independent core munici-
of Washington, D.C., or by any other pality is identifiable, all points beyond
municipality included under the terms the boundaries of the consolidated gov-
of paragraph (d) of this section. ernment which are within the territory
[41 FR 56654, Dec. 29, 1976, as amended at 46 determined by the most recent popu-
FR 56424, Nov. 17, 1981; 62 FR 15422, Apr. 1, lation-mileage formula measured from
1997] the limits of the formerly independent
core municipality.
§ 372.221 Twin Cities. (d) All of any municipality wholly
For the purpose of determining com- surrounded, or so surrounded except for
mercial zones, utilizing the general a water boundary, by the consolidated
population-mileage formula as set government or by any other munici-
forth in § 372.241, each of the following pality included under the terms of
combinations of cities shall be consid- paragraphs (a), (b), or (c) of this sec-
ered as a single municipality: tion.
(a) Having a population equal to the [41 FR 56654, Dec. 29, 1976, as amended at 62
sum of their combined populations, and FR 15422, Apr. 1, 1997]
(b) Having boundaries comprised of
their combined corporate limits, with § 372.225 Lexington-Fayette Urban
the common portion thereof dis- County, KY.
regarded: The zone adjacent to and commer-
(1) Bluefield, Va.-W. Va. cially a part of Lexington-Fayette
(2) Bristol, Va.-Tenn. Urban County, Ky., within which trans-
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(3) Davenport, Iowa, and Rock Island portation by motor vehicle, in inter-
and Moline, Ill. state or foreign commerce, not under a

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§ 372.227 49 CFR Ch. III (10–1–07 Edition)

common control, management, or ar- tion New York Highway 213A, thence
rangement for a continuous carriage or easterly along New York Highway 213A
shipment to or from a point beyond the to junction New York Highway 37,
zone, is partially exempt from regula- thence southerly along New York High-
tion under 49 U.S.C. 13506(b)(1) includes way 37 to its intersection with the line
and is comprised of all points as fol- in (b) above;
lows: (d) All of any municipality any part
(a) Lexington-Fayette Urban County, of which is within the limits of the
Ky., itself.
combined area defined in (b) and (c) of
(b) All other municipalities and unin-
this section, and
corporated areas within 5 miles of the
intersection of U.S. Highway 27 (e) All of any municipality wholly
(Nicholasville Road) with the corporate surrounded, or so surrounded except for
boundary line between Jessamine a water boundary, by the municipality
County, Ky., and Lexington-Fayette of Syracuse or any other municipality
Urban County, Ky. included under the terms of (d) of this
section.
[39 FR 18769, May 30, 1974. Redesignated at 41
FR 56655, Dec. 29, 1976. Further redesignated [42 FR 44816, Sept. 7, 1977. Redesignated at 55
at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR 42198, Oct. 18, 1990, as amended at 62 FR
FR 15422, Apr. 1, 1997] 15422, Apr. 1, 1997]

§ 372.227 Syracuse, NY. § 372.229 Spokane, WA.


The zone adjacent to, and commer- The zone adjacent to, and commer-
cially a part of Syracuse, N.Y., within cially a part of Spokane, WA, within
which transportation by motor vehicle,
which transportation by motor vehicle,
in interstate or foreign commerce, not
in interstate or foreign commerce, not
under common control, management,
or arrangement for shipment to or under control, management, or ar-
from points beyond such zone, is par- rangement for shipment to or from
tially exempt from regulation under 49 points beyond such zone, is partially
U.S.C. 13506(b)(1) includes and is com- exempt from regulation under 49 U.S.C.
prised of all points as follows: 13506(b)(1) includes and is comprised of
(a) The municipality of Syracuse, all points as follows:
N.Y., itself; (a) The municipality of Spokane,
(b) All points within a line drawn 10 WA, itself,
miles beyond the municipal limits of (b) All points within a line drawn 8
Syracuse; miles beyond the municipal limits of
(c) Those points in the towns of Van Spokane;
Buren and Lysander, Onondaga County, (c) All points within that area more
N.Y., which are not within the area de- than 8 miles beyond the municipal lim-
scribed in paragraph (b) of this section, its of Spokane bounded by a line as fol-
but which are within an area bounded lows: From the intersection of the line
by a line beginning at the intersection described in (b) of this section and U.S.
of new New York Highway 48 with the Highway 2, thence westerly along U.S.
line described in (b) of this sectio,
Highway 2 to junction Brooks Road,
thence northwesterly along new New
thence southerly along Brooks Road to
York Highway 48 to junction New York
junction Hallett Road, thence easterly
Highway 370, thence westerly along
New York Highway 370 to junction along Hallett Road to its intersection
Emerick Road, thence northerly along with the line described in (b) of this
Emerick Road to junction Dunham section;
Road, thence northerly along Dunham (d) All of any municipality any part
road to junction New York Highway of which is within the limits of the
192, thence easterly along New York combined areas in (b) and (c) of this
Highway 192 to junction new New York section; and
Highway 48, thence northerly along (e) All of any municipality wholly
new New York Highway 48 to junction surrounded, or so surrounded except for
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New York Highway 213, thence easterly a water boundary, by the municipality
along New York Highway 213 to junc- of Spokane or any other municipality

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Federal Motor Carrier Safety Administration, DOT § 372.237

included under the terms of (d) of this (b) All points within a line drawn 20
section. miles beyond the municipal limits of
Chicago;
[45 FR 62085, Sept. 18, 1980. Redesignated and
amended at 55 FR 42198, Oct. 18, 1990; 62 FR
(c) All points in Lake County, IL.
15422, Apr. 1, 1997] (d) All of any municipality any part
of which is within the limits of the
§ 372.231 Tacoma, WA. combined area defined in paragraphs
(b) and (c) of this section, and
The zone adjacent to, and commer- (e) All of any municipality wholly
cially a part of Tacoma, WA, within surrounded, or so surrounded except for
which transportation by motor vehicle, a water boundary, by the municipality
in interstate or foreign commerce, not included under the terms of paragraph
under common control, management, (d) of this section.
or arrangement for shipment to or
from points beyond such zone, is par- [46 FR 11286, Feb. 6, 1981. Redesignated at 55
tially exempt from regulation under 49 FR 42198, Oct. 18, 1990, as amended at 62 FR
15422, Apr. 1, 1997]
U.S.C. 13506(b)(1), includes and is com-
prised of all points as follows: § 372.235 New York, NY.
(a) The municipality of Tacoma, WA,
itself; The zone adjacent to, and commer-
(b) All points within a line drawn 8 cially a part of, New York, NY, within
which transportation by motor vehicle,
miles beyond the municipal limits of
in interstate or foreign commerce, not
Tacoma;
under common control, management,
(c) Those points in Pierce County,
or arrangement for shipment to or
WA, which are not within the area de-
from points beyond such zone is par-
scribed in paragraph (b) of this section,
tially exempt from regulation under 49
but which are on Washington Highway
U.S.C. 13506(b)(1), includes and is com-
162 beginning at its intersection with prised of all points as follows:
the line described in paragraph (b) of (a) The municipality of New York,
this section, extending to and includ- NY, itself;
ing Orting, WA, and all points within (b) All points within a line drawn 20
the Orting commercial zone. miles beyond the municipal limits of
(d) All of any municipality any part New York, NY;
of which is within the limits of the (c) All points in Morris County, NJ;
combined area defined in (b) and (c) of (d) All of any municipality any part
this section, and of which is within the limits of the
(e) All of any municipality wholly combined areas defined in paragraphs
surrounded, or so surrounded except for (b) and (c); and
a water boundary, by the municipality (e) All of any municipality wholly
of Tacoma or any other municipality surrounded, or so surrounded except by
included under the terms of (d) of this a water boundary, by the municipality
section. of New York or by any other munici-
[45 FR 66460, Oct. 7, 1980. Redesignated at 55 pality included under the terms of
FR 42198, Oct. 18, 1990, as amended at 62 FR paragraph (d) of this section.
15422, Apr. 1, 1997]
[50 FR 34478, Aug. 26, 1985. Redesignated at 55
FR 42198, Oct. 18, 1990, as amended at 62 FR
§ 372.233 Chicago, IL. 15422, Apr. 1, 1997]
The zone adjacent to, and commer-
cially a part of Chicago, IL, within § 372.237 Cameron, Hidalgo, Starr, and
which transportation by motor vehicle, Willacy Counties, TX.
in interstate or foreign commerce, not (a) Transportation within a zone
under common control, management, comprised of Cameron, Hidalgo, Starr,
or arrangement for a shipment to or and Willacy Counties, TX, by motor
from such zone, is partially exempt carriers of property, in interstate or
from regulation under 49 U.S.C. foreign commerce, not under common
13506(b)(1), includes and is comprised of control, management, or arrangement
all points as follows: for shipment to or from points beyond
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(a) The municipality of Chicago, IL, such zone, is partially exempt from
itself; regulation under 49 U.S.C. 13506(b)(1).

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§ 372.239 49 CFR Ch. III (10–1–07 Edition)

(b) To the extent that commercial (c) All other municipalities and all
zones of municipalities within the four unincorporated areas within the United
counties (as determined under § 372.241) States which are adjacent to the base
extend beyond the boundaries of this municipality as follows:
four-county zone, the areas of such (1) When the base municipality has a
commercial zones shall be considered population less than 2,500 all unincor-
to be part of the zone and partially ex- porated areas within 3 miles of its cor-
empt from regulation under 49 U.S.C. porate limits and all of any other mu-
13506(b)(1). nicipality any part of which is within 3
miles of the corporate limits of the
[51 FR 1815, Jan. 15, 1986. Redesignated at 55
FR 42198, Oct. 18, 1990, as amended at 62 FR base municipality,
15422, Apr. 1, 1997] (2) When the base municipality has a
population of 2,500 but less than 25,000
§ 372.239 Definitions. all unincorporated areas within 4 miles
For the purposes of this part, the fol- of its corporate limits and all of any
lowing terms are defined: other municipality any part of which is
(a) Municipality means any city, within 4 miles of the corporate limits
town, village, or borough which has of the base municipality.
been created by special legislative act (3) When the base municipality has a
or which has been, otherwise, individ- population of 25,000 but less than
ually incorporated or chartered pursu- 100,000 all unincorporated areas within
ant to general State laws, or which is 6 miles of its corporate limits and all of
recognized as such, under the Constitu- any other municipality any part of
tion or by the laws of the State in which is within 6 miles of the corporate
which located, and which has a local limits of the base municipality, and
government. It does not include a town (4) When the base municipality has a
of the township or New England type. population of 100,000 but less than
200,000 all unincorporated areas within
(b) Contiguous municipalities means
8 miles of its corporate limits and all
municipalities, as defined in paragraph
of any other municipality any part of
(a) of this section, which have at some
which is within 8 miles of the corporate
point a common municipal or cor-
limits of the base municipality.
porate boundary.
(5) When the base municipality has a
(c) Unincorporated area means any
population of 200,000 but less than
area not within the corporate or mu-
500,000 all unincorporated areas within
nicipal boundaries of any municipality
10 miles of its corporate limits and all
as defined in paragraph (a) of this sec-
of any other municipality any part of
tion.
which is within 10 miles of the cor-
[32 FR 20048, Dec. 20, 1967] porate limits of the base municipality.
(6) When the base municipality has a
§ 372.241 Commercial zones deter- population of 500,000 but less than 1
mined generally, with exceptions. million, all unincorporated areas with-
The commercial zone of each munici- in 15 miles of its corporate limits and
pality in the United States, with the all of any other municipality any part
exceptions indicated in the note at the of which is within 15 miles of the cor-
end of this section, within which the porate limits of the base municipality.
transportation of passengers or prop- (7) When the base municipality has a
erty, in interstate or foreign com- population of 1 million or more, all un-
merce, when not under a common con- incorporated areas within 20 miles of
trol, management, or arrangement for its corporate limits and all of any
a continuous carriage or shipment to other municipality any part of which is
or from a point without such zone, is within 20 miles of the corporate limits
exempt from all provisions of 49 U.S.C. of the base municipality, and
subtitle IV, part B shall be deemed to (d) All municipalities wholly sur-
consist of: rounded, or so surrounded except for a
(a) The municipality itself, herein- water boundary, by the base munici-
after called the base municipality; pality, by any municipality contiguous
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(b) All municipalities which are con- thereto, or by any municipality adja-
tiguous to the base municipality; cent thereto which is included in the

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Federal Motor Carrier Safety Administration, DOT § 372.303

commercial zone of such base munici- ices may be performed by, or for, such
pality under the provisions of para- motor carrier of property or freight
graph (c) of this section. forwarder without compliance with the
NOTE: Except: Municipalities the commer- provisions of 49 U.S.C. subtitle IV, part
cial zones of which have been or are here- B consists of and includes all points or
after individually or specially determined. places which are:
[32 FR 20048, Dec. 20, 1967, as amended at 34 (a) Within the commercial zone, as
FR 9870, June 26, 1969; 34 FR 15482, Oct. 4, defined by the Secretary, of that mu-
1969; 41 FR 56655, Dec. 29, 1976; 62 FR 15422, nicipality, and
Apr. 1, 1997] (b) Not beyond the limits of the oper-
ating authority of such motor carrier
§ 372.243 Controlling distances and of property or freight forwarder.
population data.
In the application of § 372.241: [62 FR 15422, Apr. 1, 1997]
(a) Air-line distances or mileages
§ 372.303 Terminal areas of motor car-
about corporate limits of municipali-
riers and freight forwarders at un-
ties shall be used. incorporated communities served.
(b) The population of any munici-
pality shall be deemed to be the high- The terminal areas within the mean-
est figure shown for that municipality ing of 49 U.S.C. 13503 of any motor car-
in any decennial census since (and in- rier of property or freight forwarder
cluding) the 1940 decennial census. subject to 49 U.S.C. subtitle IV, part B,
(c) Contraction of municipal bound- at any unincorporated community hav-
aries will not alter the size of commer- ing a post office of the same name
cial zones. which is authorized to be served by
such motor carrier of property or
[32 FR 20040, Dec. 20, 1967, as amended at 37
FR 15701, Aug. 4, 1972; 50 FR 10233, Mar. 14,
motor carrier of passengers in the
1985; 62 FR 15422, Apr. 1, 1997] transportation of express or freight for-
warder, within which transportation by
motor vehicle in the performance of
Subpart C—Terminal Areas transfer, collection, or delivery serv-
ices may be performed by, or for, such
SOURCE: 32 FR 20049, Dec. 20, 1967, unless motor carrier of property or freight
otherwise noted. Redesignated at 61 FR 54708,
forwarder without compliance with the
Oct. 21, 1996.
provisions of 49 U.S.C. subtitle IV, part
§ 372.300 Distances and population B, consists of:
data. (a) All points in the United States
In the application of this subpart, which are located within the limits of
distances and population data shall be the operating authority of the motor
determined in the same manner as pro- carrier of property or freight forwarder
vided in 49 CFR 372.243. See also defini- involved, and within 3 miles of the post
tions in 49 CFR 372.239. office at such authorized unincor-
porated point if it has a population less
[62 FR 15422, Apr. 1, 1997] than 2,500, within 4 miles if it has a
population of 2,500 but less than 25,000,
§ 372.301 Terminal areas of motor car-
riers and freight forwarders at mu- or within 6 miles if it has a population
nicipalities served. of 25,000 or more;
(b) All of any municipality any part
The terminal area within the mean-
of which is included under paragraph
ing of 49 U.S.C. 13503 of any motor car-
(a) of this section; and
rier of property or freight forwarder
subject to 49 U.S.C. subtitle IV, part B (c) Any municipality wholly sur-
at any municipality authorized to be rounded by any municipality included
served by such motor carrier of prop- under paragaph (b) of this section, or
erty or motor carrier of passengers in so wholly surrounded except for a
the transportation of express or freight water boundary.
forwarder, within which transportation [32 FR 20049, Dec. 20, 1967, as amended at 41
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by motor carrier in the performance of FR 56655, Dec. 29, 1976; 51 FR 44297, Dec. 9,
transfer, collection, or delivery serv- 1986; 62 FR 15423, Apr. 1, 1997]

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Pt. 373 49 CFR Ch. III (10–1–07 Edition)

PART 373—RECEIPTS AND BILLS (5) Description of freight.


(6) Weight, volume, or measurement
Subpart A—Motor Carrier Receipts and Bills of freight (if applicable to the rating of
the freight).
Sec. (7) Exact rate(s) assessed.
373.101 Motor Carrier bills of lading. (8) Total charges due, including the
373.103 Expense bills. nature and amount of any charges for
373.105 Low value packages.
special service and the points at which
Subpart B—Freight Forwarders; Bills of such service was rendered.
Lading (9) Route of movement and name of
each carrier participating in the trans-
373.201 Bills of lading for freight forwarders. portation.
AUTHORITY: 49 U.S.C. 13301 and 14706; and 49 (10) Transfer point(s) through which
CFR 1.73. shipment moved.
(11) Address where remittance must
be made or address of bill issuer’s prin-
Subpart A—Motor Carrier Receipts cipal place of business.
and Bills
The shipper or receiver owing the
charges shall be given the original
SOURCE: 55 FR 11198, Mar. 27, 1990, unless
freight or expense bill and the carrier
otherwise noted. Redesignated at 61 FR 54708,
Oct. 21, 1996. shall keep a copy as prescribed at 49
CFR part 379. If the bill is electroni-
§ 373.101 Motor Carrier bills of lading. cally transmitted (when agreed to by
the carrier and payor), a receipted copy
Every motor common carrier shall
shall be given to the payor upon pay-
issue a receipt or bill of lading for
ment.
property tendered for transportation in
(b) Charter service. Every motor pas-
interstate or foreign commerce con-
senger common carrier providing char-
taining the following information:
ter service shall issue an expense bill
(a) Names of consignor and con-
containing the following information:
signee.
(1) Serial number, consisting of one
(b) Origin and destination points.
of a series of consecutive numbers as-
(c) Number of packages.
signed in advance and imprinted on the
(d) Description of freight.
bill.
(e) Weight, volume, or measurement
(2) Name of carrier.
of freight (if applicable to the rating of (3) Names of payor and organization,
the freight). if any, for which transportation is per-
The carrier shall keep a record of this formed.
information as prescribed in 49 CFR (4) Date(s) transportation was per-
part 379. formed.
[55 FR 11198, Mar. 27, 1990, as amended at 56 (5) Origin, destination, and general
FR 30874, July 8, 1991; 62 FR 15423, Apr. 1, routing of trip.
1997] (6) Identification and seating capac-
ity of each vehicle used.
§ 373.103 Expense bills. (7) Number of persons transported.
(a) Property. Every motor common (8) Mileage upon which charges are
carrier shall issue a freight or expense based, including any deadhead mileage,
bill for each shipment transported con- separately noted.
taining the following information: (9) Applicable rates per mile, hour,
(1) Names of consignor and consignee day, or other unit.
(except on a reconsigned shipment, not (10) Itemized charges for transpor-
the name of the original consignor). tation, including special services and
(2) Date of shipment. fees.
(3) Origin and destination points (ex- (11) Total charges assessed and col-
cept on a reconsigned shipment, not lected.
the original shipping point unless the The carrier shall keep a copy of all ex-
final consignee pays the charges from pense bills issued for the period pre-
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that point). scribed at 49 CFR part 379. If any ex-


(4) Number of packages. pense bill is spoiled, voided, or unused

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Federal Motor Carrier Safety Administration, DOT Pt. 374

for any reason, a copy or written PART 374—PASSENGER CARRIER


record of its disposition shall be re- REGULATIONS
tained for a like period.
[55 FR 11198, Mar. 27, 1990, as amended at 59 Subpart A—Discrimination in Operations of
FR 2303, Jan. 14, 1994; 61 FR 19860, May 3, Interstate Motor Common Carriers of
1996; 62 FR 15423, Apr. 1, 1997] Passengers

§ 373.105 Low value packages. Sec.


374.101 Discrimination prohibited.
The carrier and shipper may elect to 374.103 Notice to be printed on tickets.
waive the above provisions and use a 374.105 Discrimination in terminal facili-
more streamlined recordkeeping or ties.
documentation system for distribution 374.107 Notice to be posted at terminal fa-
of ‘‘low value’’ packages. This includes cilities.
the option of shipping such packages 374.109 Carriers not relieved of existing obli-
under the provisions of 49 U.S.C. gations.
14706(c). The shipper is responsible ulti- 374.111 Reports of interference with regula-
mately for determining which pack- tions.
ages should be designated as low value. 374.113 Definitions.
A useful guideline for this determina- Subpart B—Limitation of Smoking on
tion is an invoice value less than or Interstate Passenger Carrier Vehicles
equal to the costs of preparing a loss or
damage claim. 374.201 Prohibition against smoking on
interstate passenger-carrying motor ve-
[55 FR 11198, Mar. 27, 1990. Redesignated at 61 hicles.
FR 54708, Oct. 21, 1996, as amended at 62 FR
15423, Apr. 1, 1997] Subpart C—Adequacy of Intercity Motor
Common Carrier Passenger Service
Subpart B—Freight Forwarders;
374.301 Applicability.
Bills of Lading 374.303 Definitions.
374.305 Ticketing and information.
§ 373.201 Bills of lading for freight for-
374.307 Baggage service.
warders.
374.309 Terminal facilities.
Every household goods freight for- 374.311 Service responsibility.
warder (HHGFF) shall issue the shipper 374.313 Equipment.
through bills of lading, covering trans- 374.315 Transportation of passengers with
portation from origin to ultimate des- disabilities.
tination, on each shipment for which it 374.317 Identification—bus and driver.
arranges transportation in interstate 374.319 Relief from provisions.
commerce. Where a motor common
Subpart D—Notice of and Procedures for
carrier receives freight at the origin
Baggage Excess Value Declaration
and issues a receipt therefor on its
form with a notation showing the 374.401 Minimum permissible limitations
HHGFF’s name, the HHGFF, upon re- for baggage liability.
ceiving the shipment at the ‘‘on line’’ 374.403 Notice of passenger’s ability to de-
or consolidating station, shall issue a clare excess value on baggage.
through bill of lading on its form as of 374.405 Baggage excess value declaration
the date the carrier receives the ship- procedures.
ment.
Subpart E—Incidental Charter Rights
[55 FR 11201, Mar. 27, 1990. Redesignated at 61
FR 54708, Oct. 21, 1996.] 374.501 Applicability.
374.503 Authority.
374.505 Exceptions.
AUTHORITY: 49 U.S.C. 13301 and 14101; and 49
CFR 1.73.
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EDITORIAL NOTE: Nomenclature changes to


part 374 appear at 66 FR 49871, Oct. 1, 2001.

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§ 374.101 49 CFR Ch. III (10–1–07 Edition)

Subpart A—Discrimination in Op- provide, maintain arrangements for,


erations of Interstate Motor utilize, make available, adhere to any
understanding for the availability of,
Common Carriers of Pas- or follow any practice which includes
sengers the availability of, any terminal facili-
ties which are so operated, arranged, or
SOURCE: 36 FR 1338, Jan. 28, 1971, unless maintained as to involve any separa-
otherwise noted. Redesignated at 61 FR 54709, tion of any portion thereof, or in the
Oct. 21, 1996.
use thereof on the basis of race, color,
§ 374.101 Discrimination prohibited. creed, or national origin.
No motor common carrier of pas- [36 FR 1338, Jan. 28, 1971. Redesignated at 61
sengers subject to 49 U.S.C. subtitle IV, FR 54709, Oct. 21, 1996, as amended at 62 FR
15423, Apr. 1, 1997]
part B shall operate a motor vehicle in
interstate or foreign commerce on § 374.107 Notice to be posted at ter-
which the seating of passengers is minal facilities.
based upon race, color, creed, or na-
tional origin. No motor common carrier of pas-
sengers subject to 49 U.S.C. subtitle IV,
[36 FR 1338, Jan. 28, 1971. Redesignated at 61 part B shall in the operation of vehi-
FR 54709, Oct. 21, 1996, as amended at 62 FR cles in interstate or foreign commerce
15423, Apr. 1, 1997]
utilize any terminal facility in which
§ 374.103 Notice to be printed on tick- there is not conspicuously displayed
ets. and maintained so as to be readily visi-
ble to the public a plainly legible sign
Every motor common carrier of pas- or placard containing the full text of
sengers subject to 49 U.S.C. subtitle IV, these regulations. Such sign or placard
part B shall cause to be printed on shall be captioned: ‘‘Public Notice:
every ticket sold by it for transpor- Regulations Applicable to Vehicles and
tation on any vehicle operated in inter- Terminal Facilities of Interstate Motor
state or foreign commerce a plainly Common Carriers of Passengers, by
legible notice as follows: ‘‘Seating order of the Secretary, U.S. Depart-
aboard vehicles operated in interstate ment of Transportation.’’
or foreign commerce is without regard
to race, color, creed, or national ori- [36 FR 1338, Jan. 28, 1971. Redesignated at 61
gin.’’ FR 54709, Oct. 21, 1996, as amended at 62 FR
15423, Apr. 1, 1997]
NOTE: The following interpretation of the
provisions of § 374.103 (formerly § 1055.2) ap- § 374.109 Carriers not relieved of exist-
pears at 27 FR 230, Jan. 9, 1962: ing obligations.
The words, ‘‘Seating aboard vehicles oper-
ated in interstate or foreign commerce is Nothing in this regulation shall be
without regard to race, color, creed, or na- construed to relieve any interstate
tional origin’’, should appear on the face of motor common carrier of passengers
every ticket coming within the purview of subject to 49 U.S.C. subtitle IV, part B
the section. If the ticket is in parts or con- of any of its obligations under 49 U.S.C.
sists of additional elements, such as coupons, subtitle IV, part B or its certificate(s)
identification stubs, or checks, it shall be of public convenience and necessity.
sufficient for the purposes of § 374.103 that
the notice appear only once on the ticket [36 FR 1338, Jan. 28, 1971. Redesignated at 61
and be placed on the face of that portion of FR 54709, Oct. 21, 1996, as amended at 62 FR
the ticket which is held by the passenger. 15423, Apr. 1, 1997]
[36 FR 1338, Jan. 28, 1971. Redesignated at 61
FR 54709, Oct. 21, 1996, as amended at 62 FR § 374.111 Reports of interference with
15423, Apr. 1, 1997] regulations.
Every motor common carrier of pas-
§ 374.105 Discrimination in terminal sengers subject to 49 U.S.C. subtitle IV,
facilities. part B operating vehicles in interstate
No motor common carrier of pas- or foreign commerce shall report to the
sengers subject to 49 U.S.C. subtitle IV, Secretary, within fifteen (15) days of
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part B shall in the operation of vehi- its occurrence, any interference by any
cles in interstate or foreign commerce person, municipality, county, parish,

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Federal Motor Carrier Safety Administration, DOT § 374.303

State, or body politic with its observ- international no-smoking symbol, and
ance of the requirements of these regu- the posting of signs in all vehicles
lations in this part. Such report shall transporting passengers in letters in
include a statement of the action that sharp color contrast to the back-
such carrier may have taken to elimi- ground, and of such size, shape, and
nate any such interference. color as to be readily legible. Such
signs and symbols shall be kept and
[36 FR 1338, Jan. 28, 1971. Redesignated at 61
FR 54709, Oct. 21, 1996, as amended at 62 FR maintained in such a manner as to re-
15423, Apr. 1, 1997] main legible and shall indicate that
smoking is prohibited by Federal regu-
§ 374.113 Definitions. lation.
For the purpose of these regulations (c) The provisions of paragraph (a) of
the following terms and phrases are de- this section shall not apply to charter
fined: operations as defined in § 374.503 of this
(a) Terminal facilities. As used in these part.
regulations the term ‘‘terminal facili- [56 FR 1745, Jan. 17, 1991. Redesignated at 61
ties’’ means all facilities, including FR 54709, Oct. 21, 1996, as amended at 62 FR
waiting room, rest room, eating, drink- 15423, Apr. 1, 1997]
ing, and ticket sales facilities which a
motor common carrier makes available Subpart C—Adequacy of Intercity
to passengers of a motor vehicle oper- Motor Common Carrier Pas-
ated in interstate or foreign commerce senger Service
as a regular part of their transpor-
tation.
SOURCE: 55 FR 11199, Mar. 27, 1990, unless
(b) Separation. As used in § 374.105, the otherwise noted. Redesignated at 61 FR 54709,
term ‘‘separation’’ includes, among Oct. 21, 1996.
other things, the display of any sign in-
dicating that any portion of the ter- § 374.301 Applicability.
minal facilities are separated, allo-
These rules govern only motor pas-
cated, restricted, provided, available,
senger common carriers conducting
used, or otherwise distinguished on the
regular-route operations.
basis of race, color, creed, or national
origin. § 374.303 Definitions.
[36 FR 1338, Jan. 28, 1971. Redesignated at 61 (a) Carrier means a motor passenger
FR 54709, Oct. 21, 1996, as amended at 62 FR common carrier.
15423, Apr. 1, 1997] (b) Bus means a passenger-carrying
vehicle, regardless of design or seating
Subpart B—Limitation of Smoking capacity, used in a carrier’s authorized
on Interstate Passenger Car- operations.
rier Vehicles (c) Facility means any structure pro-
vided by or for a carrier at or near
§ 374.201 Prohibition against smoking which buses pick up or discharge pas-
on interstate passenger-carrying sengers.
motor vehicles. (d) Terminal means a facility operated
(a) All motor common carriers of pas- or used by a carrier chiefly to furnish
sengers subject to 49 U.S.C. subtitle IV, passengers transportation services and
part B, shall prohibit smoking (includ- accommodations.
ing the carrying of lit cigars, ciga- (e) Station means a facility, other
rettes, and pipes) on vehicles trans- than a terminal, operated by or for a
porting passengers in scheduled or spe- carrier to accommodate passengers.
cial service in interstate commerce. (f) Service means passenger transpor-
(b) Each carrier shall take such ac- tation by bus between authorized
tion as is necessary to ensure that points or over authorized routes.
smoking by passengers, drivers, and (g) Commuter service, means passenger
other employees is not permitted in transportation wholly between points
violation of this section. This shall in- not more than 100 airline miles apart
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clude making appropriate announce- and not involving through-bus, con-


ments to passengers, the posting of the necting, or interline services to or from

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§ 374.305 49 CFR Ch. III (10–1–07 Edition)

points beyond 100 airline miles. The § 374.307 Baggage service.


usual characteristics of commuter (a) Checking procedures. (1) Carriers
service include reduced fare, multiple- shall issue receipts, which may be in
ride, and commutation tickets, and the form of preprinted tickets, for all
peak morning and evening operations. checked services baggage.
(h) Baggage means property a pas- (2)(i) If baggage checking service is
senger takes with him for his personal not provided at the side of the bus, all
use or convenience. baggage checked at a baggage checking
(i) Restroom means a room in a bus or counter at least 30 minutes but not
terminal equipped with a toilet, wash- more than 1 hour before departure
bowl, soap or a reasonable alternative, shall be transported on the same sched-
mirror, wastebasket, and toilet paper. ule as the ticketed passenger.
(ii) If baggage checking service is
[55 FR 11199, Mar. 27, 1990, as amended at 68 provided at the side of the bus, pas-
FR 56198, Sept. 30, 2003]
sengers checking baggage at the bag-
§ 374.305 Ticketing and information. gage checking counter less than 30
minutes before the scheduled departure
(a) Information service. (1) During shall be notified that their baggage
business hours at each terminal or sta- may not travel on the same schedule.
tion, information shall be provided as Such baggage must then be placed on
to schedules, tickets, fares, baggage, the next available bus to its destina-
and other carrier services. tion. All baggage checked at the side of
(2) Carrier agents and personnel who the bus during boarding, or at alter-
sell or offer to sell tickets, or who pro- native locations provided for such pur-
vide information concerning tickets pose, shall be transported on the same
and carrier services, shall be com- schedule as the ticketed passenger.
petent and adequately informed. (b) Baggage security. All checked bag-
(b) Telephone information service. gage shall be placed in a secure or at-
Every facility where tickets are sold tended area prohibited to the public.
shall provide telephonic information to Baggage being readied for loading shall
the traveling public, including current not be left unattended.
bus schedules and fare information, (c) Baggage liability. (1) No carrier
when open for ticket sales. may totally exempt its liability for ar-
ticles offered as checked baggage, un-
(c) Schedules. Printed, regular-route
less those articles have been exempted
schedules shall be provided to the trav-
by the Secretary. (Other liability is
eling public at all facilities where tick-
subject to subpart D of this part). A no-
ets for such services are sold. Each
tice listing exempted articles shall be
schedule shall show the points along
prominently posted at every location
the carrier’s route(s) where facilities
where baggage is accepted for check-
are located or where the bus trips
ing.
originate or terminate, and each sched- (2) Carriers may refuse to accept as
ule shall indicate the arrival or depar- checked baggage and, if unknowingly
ture time for each such point. accepted, may disclaim liability for
(d) Ticket refunds. Each carrier shall loss or damage to the following arti-
refund unused tickets upon request, cles:
consistent with its governing tariff, at (i) Articles whose transportation as
each place where tickets are sold, with- checked baggage is prohibited by law
in 30 days after the request. or regulation;
(e) Announcements. No scheduled bus (ii) Fragile or perishable articles, ar-
(except in commuter service) shall de- ticles whose dimensions exceed the size
part from a terminal or station until a limitations in the carrier’s tariff, re-
public announcement of the departure ceptacles with articles attached or pro-
and boarding point has been given. The truding, guns, and materials that have
announcement shall be given at least 5 a disagreeable odor;
minutes before the initial departure (iii) Money; and
and before departures from points (iv) Those other articles that the
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where the bus is scheduled to stop for Secretary exempts upon petition by
more than 5 minutes. the carrier.

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Federal Motor Carrier Safety Administration, DOT § 374.311

(3) Carriers need not offer excess which a claim must be resolved by a
value coverage on articles of extraor- firm offer of settlement or by a written
dinary value (including, but not lim- explanation of denial of the claim.
ited to, negotiable instruments, papers,
[55 FR 11199, Mar. 27, 1990. Redesignated at 61
manuscripts, irreplaceable publica- FR 54709, Oct. 21, 1996, as amended at 62 FR
tions, documents, jewelry, and watch- 15423, Apr. 1, 1997]
es).
(d) Express shipments. Passengers and § 374.309 Terminal facilities.
their baggage always take precedence
(a) Passenger security. All terminals
over express shipments.
and stations must provide adequate se-
(e) Baggage at destination. All checked
curity for passengers and their attend-
baggage shall be made available to the
ants and be regularly patrolled.
passenger within a reasonable time,
(b) Outside facilities. At terminals and
not to exceed 30 minutes, after arrival
stations that are closed when buses are
at the passenger’s destination. If not,
scheduled to arrive or depart, there
the carrier shall deliver the baggage to
shall be available, to the extent pos-
the passenger’s local address at the
sible, a public telephone, outside light-
carrier’s expense.
ing, posted schedule information, over-
(f) Lost or delayed baggage. (1)
head shelter, information on local ac-
Checked baggage that cannot be lo-
commodations, and telephone numbers
cated within 1 hour after the arrival of
for local taxi service and police.
the bus upon which it was supposed to
be transported shall be designated as (c) Maintenance. Terminals shall be
lost. The carrier shall notify the pas- clean.
senger at that time and furnish him § 374.311 Service responsibility.
with an appropriate tracing form.
(2) Every carrier shall make avail- (a) Schedules. Carriers shall establish
able at each ticket window and bag- schedules that can be reasonably met,
gage counter a single form suitable including connections at junction
both for tracing and for filing claims points, to serve adequately all author-
for lost or misplaced baggage. The ized points.
form shall be prepared in duplicate and (b) Continuity of service. No carrier
signed by the passenger and carrier shall change an existing regular-route
representative. The carrier or its agent schedule without first filing a written
shall receive the signed original, with notice with the FMCSA’s Division Of-
any necessary documentation and addi- fice(s). The carrier shall display con-
tional information, and the claim spicuously a copy of such notice in
check, for which a receipt shall be each facility and on each bus affected.
given. The passenger shall retain the Such notice shall be displayed for a
duplicate copy. reasonable time before it becomes ef-
(3) The carrier shall make immediate fective and shall contain the carrier’s
and diligent efforts to recover lost bag- name, a description of the proposed
gage. schedule change, the effective date
(4) A passenger may fill out a tracing thereof, the reasons for the change, the
form for lost unchecked baggage. The availability of alternate service, and
carrier shall forward recovered un- the name and address of the carrier
checked baggage to the terminal or representative passengers may contact.
station nearest the address shown on (c) Trip interruptions. A carrier shall
the tracing form and shall notify the mitigate, to the extent possible, any
passenger that the baggage will be held passenger inconvenience it causes by
on a will-call basis. disrupting travel plans.
(g) Settlement of claims. Notwith- (d) Seating and reservations. A carrier
standing 49 CFR 370.9, if lost checked shall provide sufficient buses to meet
baggage cannot be located within 15 passengers’ normal travel demands, in-
days, the carrier shall immediately cluding ordinary weekend and usual
process the matter as a claim. The date seasonal or holiday demand. Pas-
on which the carrier or its agent re- sengers (except commuters) shall be
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ceived the tracing form shall be consid- guaranteed, to the extent possible, pas-
ered the first day of a 60-day period in sage and seating.

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§ 374.313 49 CFR Ch. III (10–1–07 Edition)

(e) Inspection of rest stops. Each car- 30 days, in each facility and on each
rier shall inspect periodically all rest bus affected, a notice of the filing of
stops it uses to ensure that they are any petition. The notice shall contain
clean. the carrier’s name and address, a con-
[55 FR 11199, Mar. 27, 1990. Redesignated at 61 cise description of and reasons for the
FR 54709, Oct. 21, 1996, as amended at 62 FR relief sought, and a statement that any
15423, Apr. 1, 1997] interested person may file written
comments with the Federal Motor Car-
§ 374.313 Equipment. rier Safety Administration (with one
(a) Temperature control. A carrier copy mailed to the carrier) on or before
shall maintain a reasonable tempera- a specific date that is at least 30 days
ture on each bus (except in commuter later than the date the notice is post-
service). ed.
(b) Restrooms. Each bus (except in [55 FR 11199, Mar. 27, 1990. Redesignated at 61
commuter service) seating more than FR 54709, Oct. 21, 1996, as amended at 62 FR
14 passengers (not including the driver) 15423, Apr. 1, 1997]
shall have a clean, regularly main-
tained restroom, free of offensive odor.
A bus may be operated without a rest-
Subpart D—Notice of and Proce-
room if it makes reasonable rest stops. dures for Baggage Excess
(c) Bus servicing. Each bus shall be Value Declaration
kept clean, with all required items in
good working order. SOURCE: 40 FR 1249, Jan. 7, 1975, unless oth-
erwise noted. Redesignated at 61 FR 54709,
§ 374.315 Transportation of passengers Oct. 21, 1996.
with disabilities.
Service provided by a carrier to pas- § 374.401 Minimum permissible limita-
sengers with disabilities is governed by tions for baggage liability.
the provisions of 42 U.S.C. 12101 et seq., (a) Motor common carriers of pas-
and regulations promulgated there- sengers and baggage subject to 49
under by the Secretary of Transpor- U.S.C. 13501 may not publish tariff pro-
tation (49 CFR parts 27, 37, and 38) and visions limiting their liability for loss
the Attorney General (28 CFR part 36), or damage to baggage checked by a
incorporating the guidelines estab- passenger transported in regular route
lished by the Architectural and Trans- or special operations unless:
portation Barriers Compliance Board (1) The amount for which liability is
(36 CFR part 1191). limited is $250 or greater per adult fare,
[57 FR 35764, Aug. 11, 1992] and
(2) The provisions permit the pas-
§ 374.317 Identification—bus and driv- senger, for an additional charge, to de-
er. clare a value in excess of the limited
Each bus and driver providing service amount, and allow the passenger to re-
shall be identified in a manner visible cover the increased amount (but not
to passengers. The driver may be iden- higher than the actual value) in event
tified by name or company number. of loss or damage. The carriers may
publish a maximum value for which
§ 374.319 Relief from provisions. they will be liable, but that maximum
(a) Petitions. Where compliance with value may not be less than $1,000. Ap-
any rule would impose an undue burden propriate identification must be at-
on a carrier, it may petition the Fed- tached securely by the passenger to
eral Motor Carrier Safety Administra- each item of baggage checked, indi-
tion either to treat it as though it were cating in a clear and legible manner
conducting a commuter service or to the name and address to which the bag-
waive the rule. The request for relief gage should be forwarded if lost and
must be justified by appropriate subsequently recovered. Identification
verified statements. tags shall be made immediately avail-
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(b) Notice to the public. The carrier able by the carriers to passengers upon
shall display conspicuously, for at least request.

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Federal Motor Carrier Safety Administration, DOT § 374.503

(3) Carriers need not offer excess provisions, and (4) placed in a position
value coverage on articles listed in at each boarding point or waiting area
§ 374.307(c)(3). used by the carrier at facilities main-
(49 U.S.C. 10321, 5 U.S.C. 553)
tained by the carrier or its agents, suf-
ficiently conspicuous to apprise each
[46 FR 22899, Apr. 22, 1981, as amended at 47 boarding passenger of the provisions of
FR 21840, May 20, 1982; 62 FR 15423, Apr. 1, the said notice.
1997]
[40 FR 1249, Jan. 7, 1975, as amended at 62 FR
§ 374.403 Notice of passenger’s ability 15423, Apr. 1, 1997]
to declare excess value on baggage.
(a) All motor common carriers of pas- § 374.405 Baggage excess value dec-
laration procedures.
sengers and baggage subject to 49
U.S.C. subtitle IV, part B, which pro- All motor common carriers of pas-
vide in their tariffs for the declaration sengers and baggage subject to 49
of baggage in excess of a free baggage U.S.C. subtitle IV, part B, which pro-
allowance limitation, shall provide vide in their tariffs for the declaration
clear and adequate notice to the public of baggage value in excess of a free
of the opportunity to declare such ex- baggage allowance limitation, shall
cess value on baggage. provide for the declaration of excess
(b) The notice referred to in para- value on baggage at any time or place
graph (a) of this section shall be in where provision is made for baggage
large and clear print, and shall state as checking, including (a) at a baggage
follows: checking counter until 15 minutes be-
fore scheduled boarding time, and (b)
NOTICE—BAGGAGE LIABILITY at the side of the bus or at a baggage
This motor carrier is not liable for loss or checking counter in reasonable prox-
damage to properly identified baggage in an imity to the boarding area during
amount exceeding $ll. If a passenger de- boarding at a terminal or any author-
sires additional coverage for the value of his ized service point.
baggage he may, upon checking his baggage,
declare that his baggage has a value in ex- [40 FR 1249, Jan. 7, 1975, as amended at 62 FR
cess of the above limitation and pay a charge 15423, Apr. 1, 1997]
as follows:
IDENTIFY YOUR BAGGAGE Subpart E—Incidental Charter
Under FMCSA regulations, all baggage
Rights
must be properly identified. Luggage tags
should indicate clearly the name and address AUTHORITY: 5 U.S.C. 553 and 559 and 49
to which lost baggage should be forwarded. U.S.C. 10321, 10922, and 10932.
Free luggage tags are available at all ticket SOURCE: 54 FR 46619, Nov. 6, 1989, unless
windows and baggage counters. otherwise noted. Redesignated at 61 FR 54709,
The statement of charges for excess Oct. 21, 1996.
value declaration shall be clear, and § 374.501 Applicability.
any other pertinent provisions may be
added at the bottom in clear and read- The regulations in this part apply to
able print. incidental charter rights authorized
(c) The notice referred to in para- under 49 U.S.C. 13506 [49 U.S.C.
graphs (a) and (b) of this section shall 10932(c)]. These regulations do not
be (1) placed in a position near the apply to interpreting authority con-
ticket seller, sufficiently conspicuous tained in a certificate to transport pas-
to apprise the public of its provisions, sengers in special and/or charter oper-
(2) placed on a form to be attached to ations.
each ticket issued (and the ticket sell- [54 FR 46619, Nov. 6, 1989. Redesignated at 61
er shall, where possible, provide oral FR 54709, Oct. 21, 1996, as amended at 62 FR
notice to each ticket purchaser to read 15423, Apr. 1, 1997]
the form attached to the ticket), (3)
placed in a position at or near any lo- § 374.503 Authority.
cation where baggage may be checked, Motor carriers transporting pas-
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sufficiently conspicuous to apprise sengers, in interstate or foreign com-


each passenger checking baggage of its merce, over regular routes authorized

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§ 374.505 49 CFR Ch. III (10–1–07 Edition)

in a certificate issued as a result of an PART 375—TRANSPORTATION OF


application filed before January 2, 1967, HOUSEHOLD GOODS IN INTER-
may transport special or chartered par- STATE COMMERCE; CONSUMER
ties, in interstate or foreign commerce, PROTECTION REGULATIONS
between any points and places in the
United States (including Alaska and Subpart A—General Requirements
Hawaii). The term ‘‘special or char-
tered party’’ means a group of pas- Sec.
sengers who, with a common purpose 375.101 Who must follow these regulations
and under a single contract, and at a in this part?
fixed charge for the vehicle in accord- 375.103 What are the definitions of terms
used in this part?
ance with the carrier’s tariff, have ac-
375.105 What are the information collection
quired the exclusive use of a passenger- requirements of this part?
carrying motor vehicle to travel to-
gether as a group to a specified des- Subpart B—Before Offering Services to My
tination or for a particular itinerary. Customers

§ 374.505 Exceptions. LIABILITY CONSIDERATIONS

(a) Incidental charter rights do not 375.201 What is my normal liability for loss
authorize the transportation of pas- and damage when I accept goods from an
individual shipper?
sengers to whom the carrier has sold
375.203 What actions of an individual ship-
individual tickets or with whom the per may limit or reduce my normal li-
carrier has made separate and indi- ability?
vidual transportation arrangements.
(b) Service provided under incidental GENERAL RESPONSIBILITIES
charter rights may not be operated be- 375.205 May I have agents?
tween the same points or over the same 375.207 What items must be in my advertise-
route so frequently as to constitute a ments?
regular-route service. 375.209 How must I handle complaints and
(c) Passenger transportation within inquiries?
375.211 Must I have an arbitration program?
the Washington Metropolitan Area
375.213 What information must I provide to
Transit District (as defined in the a prospective individual shipper?
Washington Metropolitan Area Trans-
portation Regulation Compact, Pub. L. COLLECTING TRANSPORTATION CHARGES
No. 86–794, 74 Stat. 1031 (1960), as 375.215 How must I collect charges?
amended by Pub. L. No. 87–767, 76 Stat. 375.217 May I collect charges upon delivery?
(1962) is not authorized by these regula- 375.219 May I extend credit to shippers?
tions, but is subject to the jurisdiction 375.221 May I use a charge or credit card
and regulations of the Washington plan for payments?
Metropolitan Area Transportation
Commission. Subpart C—Service Options Provided
(d) A private or public recipient of 375.301 What service options may I provide?
governmental assistance (within the 375.303 If I sell liability insurance coverage,
meaning of 49 U.S.C. 13902(b)(8)) may what must I do?
provide service under incidental char-
ter rights only for special or chartered Subpart D—Estimating Charges
parties originating in the area in which
375.401 Must I estimate charges?
the private or public recipient provides 375.403 How must I provide a binding esti-
regularly scheduled mass transpor- mate?
tation services under the specific quali- 375.405 How must I provide a non-binding
fying certificate that confers its inci- estimate?
dental charter rights. 375.407 Under what circumstances must I re-
linquish possession of a collect-on-deliv-
[54 FR 46619, Nov. 6, 1989. Redesignated at 61 ery shipment transported under a non-
FR 54709, Oct. 21, 1996, as amended at 62 FR binding estimate?
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15423, Apr. 1, 1997] 375.409 May household goods brokers pro-


vide estimates?

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Federal Motor Carrier Safety Administration, DOT § 375.103

Subpart E—Pick Up of Shipments of of ALL charges, how do I collect the bal-


Household Goods ance?
375.807 What actions may I take to collect
BEFORE LOADING the charges upon my freight bill?
375.501 Must I write up an order for service?
375.503 Must I write up an inventory? Subpart I—Penalties
375.505 Must I write up a bill of lading?
375.901 What penalties do we impose for vio-
WEIGHING THE SHIPMENT lations of this part?
375.507 Must I determine the weight of a APPENDIX A TO PART 375—YOUR RIGHTS AND
shipment? RESPONSIBILITIES WHEN YOU MOVE
375.509 How must I determine the weight of AUTHORITY: 5 U.S.C. 553; 49 U.S.C. 13102,
a shipment? 13301, 13704, 13707, 14104, 14706, 14708; and 49
375.511 May I use an alternative method for CFR 1.73.
shipments weighing 3,000 pounds or less?
375.513 Must I give the individual shipper an SOURCE: 68 FR 35091, June 11, 2003 unless
opportunity to observe the weighing? otherwise noted.
375.515 May an individual shipper waive his/
her right to observe each weighing?
375.517 May an individual shipper demand
Subpart A—General Requirements
re-weighing?
375.519 Must I obtain weight tickets? § 375.101 Who must follow the regula-
375.521 What must I do if an individual ship- tions in this part?
per wants to know the actual weight or You, a household goods motor carrier
charges for a shipment before I tender engaged in the interstate transpor-
delivery?
tation of household goods, must follow
Subpart F—Transportation of Shipments the regulations in this part when offer-
ing your services to individual ship-
375.601 Must I transport the shipment in a pers. You are subject to this part only
timely manner?
when you transport household goods
375.603 When must I tender a shipment for
delivery? for individual shippers by motor vehi-
375.605 How must I notify an individual cle in interstate commerce. Interstate
shipper of any service delays? commerce is defined in § 390.5 of this
375.607 What must I do if I am able to tender subchapter.
a shipment for final delivery more than
24 hours before a specified date? [72 FR 36771, July 5, 2007]
375.609 What must I do for shippers who
store household goods in transit? § 375.103 What are the definitions of
terms used in this part?
Subpart G—Delivery of Shipments
Terms used in this part are defined as
375.701 May I provide for a release of liabil- follows. You may find other terms used
ity on my delivery receipt? in these regulations defined in 49
375.703 What is the maximum collect-on-de- U.S.C. 13102. The definitions contained
livery amount I may demand at the time in this statute control. If terms are
of delivery?
used in this part and the terms are nei-
375.705 If a shipment is transported on more
than one vehicle, what charges may I ther defined here nor in 49 U.S.C. 13102,
collect at delivery? the terms will have the ordinary prac-
375.707 If a shipment is partially lost or de- tical meaning of such terms.
stroyed, what charges may I collect at Advertisement means any communica-
delivery? tion to the public in connection with
375.709 If a shipment is totally lost or de-
an offer or sale of any interstate house-
stroyed, what charges may I collect at
delivery? hold goods transportation service. This
includes written or electronic database
Subpart H—Collection of Charges listings of your name, address, and
telephone number in an on-line data-
375.801 What types of charges apply to sub- base. This excludes listings of your
part H?
375.803 How must I present my freight or ex- name, address, and telephone number
pense bill? in a telephone directory or similar pub-
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375.805 If I am forced to relinquish a collect- lication. However, Yellow Pages adver-


on-delivery shipment before the payment tising is included in the definition.

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§ 375.103 49 CFR Ch. III (10–1–07 Edition)

Cashier’s check means a check that vidual on behalf of the shipper. House-
has all four of the following character- hold goods includes property moving
istics: from a factory or store if purchased
(1) Drawn on a bank as defined in 12 with the intent to use in a dwelling and
CFR 229.2. transported at the request of the
(2) Signed by an officer or employee householder, who also pays the trans-
of the bank on behalf of the bank as portation charges.
drawer. Household goods motor carrier means—
(3) A direct obligation of the bank. (1) In general, a motor carrier that,
(4) Provided to a customer of the in the ordinary course of its business of
bank or acquired from the bank for re- providing transportation of household
mittance purposes. goods, offers some or all of the fol-
Certified scale means any scale in- lowing additional services:
spected and certified by an authorized (i) Binding and nonbinding estimates;
scale inspection and licensing author- (ii) Inventorying;
ity, and designed for weighing motor (iii) Protective packing and unpack-
vehicles, including trailers or semi- ing of individual items at personal resi-
trailers not attached to a tractor, or dences;
designed as a platform or warehouse (iv) Loading and unloading at per-
type scale. sonal residences.
Commercial shipper means any person (2) The term includes any person con-
who is named as the consignor or con- sidered to be a household goods motor
signee in a bill of lading contract who carrier under regulations, determina-
is not the owner of the goods being tions, and decisions of the Federal
transported but who assumes the re- Motor Carrier Safety Administration
sponsibility for payment of the trans- in effect on the date of enactment of
portation and other tariff charges for the Household Goods Mover Oversight
the account of the beneficial owner of Enforcement and Reform Act of 2005
the goods. The beneficial owner of the (August 10, 2005).
goods is normally an employee of the (3) The term does not include any
consignor and/or consignee. A freight motor carrier providing transportation
forwarder tendering a shipment to a of household goods in containers or
carrier in furtherance of freight for- trailers that are entirely loaded and
warder operations is also a commercial unloaded by an individual other than
shipper. The Federal government is a an employee or agent of the motor car-
government bill of lading shipper, not a rier.
commercial shipper. Individual shipper means any person
Force majeure means a defense pro- who—
tecting the parties in the event that a (1) Is the shipper, consignor, or con-
part of the contract cannot be per- signee of a household goods shipment;
formed due to causes which are outside (2) Is identified as the shipper, con-
the control of the parties and could not signor, or consignee on the face of the
be avoided by exercise of due care. bill of lading;
Government bill of lading shipper (3) Owns the goods being transported;
means any person whose property is and
transported under the terms and condi- (4) Pays his or her own tariff trans-
tions of a government bill of lading portation charges
issued by any department or agency of May means an option. You may do
the Federal government to the carrier something, but it is not a requirement.
responsible for the transportation of Must means a legal obligation. You
the shipment. must do something.
Household goods, as used in connec- Order for service means a document
tion with transportation, means the authorizing you to transport an indi-
personal effects or property used, or to vidual shipper’s household goods.
be used, in a dwelling, when part of the Reasonable dispatch means the per-
equipment or supplies of the dwelling. formance of transportation on the
Transportation of the household goods dates, or during the period, agreed
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must be arranged and paid for by the upon by you and the individual shipper
individual shipper or by another indi- and shown on the Order For Service/

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Federal Motor Carrier Safety Administration, DOT § 375.201

Bill of Lading. For example, if you de- (b) The information collection re-
liberately withhold any shipment from quirements are found in the following
delivery after an individual shipper of- sections: Section 375.205, Section
fers to pay the binding estimate or 110 375.207, Section 375.209, Section 375.211,
percent of a non-binding estimate, you Section 375.213, Section 375.215, Section
have not transported the goods with 375.217, Section 375.303, Section 375.401,
reasonable dispatch. The term ‘‘rea- Section 375.403, Section 375.405, Section
sonable dispatch’’ excludes transpor- 375.409, Section 375.501, Section 375.503,
tation provided under your tariff provi- Section 375.505, Section 375.507, Section
sions requiring guaranteed service 375.515, Section 375.519, Section 375.521,
dates. You will have the defenses of Section 375.605, Section 375.607, Section
force majeure, i.e., superior or irresist- 375.609, Section 375.803, Section 375.805,
ible force, as construed by the courts. and Section 375.807.
Should means a recommendation. We [69 FR 10575, Mar. 5, 2004]
recommend you do something, but it is
not a requirement. Subpart B—Before Offering
Surface Transportation Board means Services to My Customers
an agency within the Department of
Transportation. The Surface Transpor- LIABILITY CONSIDERATIONS
tation Board regulates household goods
carrier tariffs among other responsibil- § 375.201 What is my normal liability
ities. for loss and damage when I accept
Tariff means an issuance (in whole or goods from an individual shipper?
in part) containing rates, rules, regula- (a) In general, you are legally liable
tions, classifications or other provi- for loss or damage if it happens during
sions related to a motor carrier’s performance of any transportation of
transportation services. The Surface household goods and all related serv-
Transportation Board requires a tariff ices identified on your lawful bill of
contain specific items under § 1312.3(a) lading.
of this title. These specific items in- (b) Full Value Protection Obliga-
clude an accurate description of the tion—In general, your liability is for
services offered to the public and the the household goods that are lost, dam-
specific applicable rates (or the basis aged, destroyed, or otherwise not deliv-
for calculating the specific applicable ered to the final destination in an
rates) and service terms. A tariff must amount equal to the replacement value
be arranged in a way that allows for of the household goods. The maximum
the determination of the exact rate(s) amount is the declared value of the
and service terms applicable to any shipment. The declared value is subject
given shipment. to rules issued by the Surface Trans-
We, us, and our means the Federal portation Board (STB) and applicable
Motor Carrier Safety Administration tariffs.
(FMCSA). (c) If the shipper waives, in writing,
You and your means a household your liability for the full value of the
goods motor carrier engaged in the household goods, then you are liable
interstate transportation of household for loss of, or damage to, any house-
goods and its household goods agents. hold goods to the extent provided in
the STB released rates order. Contact
[68 FR 35091, June 11, 2003, as amended at 72 the STB for a current copy of the Re-
FR 36771, July 5, 2007] leased Rates of Motor Carrier Ship-
ments of Household Goods. The rate
§ 375.105 What are the information col- may be increased annually by the
lection requirements of this part? motor carrier based on the U.S. De-
(a) The information collection re- partment of Commerce’s Cost of Living
quirements of this part have been re- Adjustment.
viewed by the Office of Management (d) As required by § 375.303(g), you
and Budget pursuant to the Paperwork may have additional liability if you
Reduction Act of 1995 (44 U.S.C. 3501 et sell liability insurance and fail to issue
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seq.) and have been assigned OMB con- a copy of the insurance policy or other
trol number 2126–0025. appropriate evidence of insurance.

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§ 375.203 49 CFR Ch. III (10–1–07 Edition)

(e) You must, in a clear and concise (2) An emergency or temporary agent
manner, disclose to the individual ship- provides origin or destination services
per the limits of your liability. on your behalf, excluding the selling of,
[68 FR 35091, June 11, 2003, as amended at 72 or arranging for, a transportation serv-
FR 36771, July 5, 2007] ice. You permit or require the agent to
provide such services under the terms
§ 375.203 What actions of an individual of an agreement or arrangement with
shipper may limit or reduce my you. The agent performs such services
normal liability?
only on an emergency or temporary
(a) If an individual shipper includes basis.
perishable, dangerous, or hazardous ar- (b) If you have agents, you must have
ticles in the shipment without your written agreements between you and
knowledge, you need not assume liabil- your prime agents. You and your re-
ity for those articles or for the loss or tained prime agent must sign the
damage caused by their inclusion in
agreements.
the shipment. If the shipper requests
that you accept such articles for trans- (c) Copies of all your prime agent
portation, you may elect to limit your agreements must be in your files for a
liability for any loss or damage by ap- period of at least 24 months following
propriately published tariff provisions. the date of termination of each agree-
(b) If an individual shipper agrees to ment.
ship household goods released at a
value greater than 60 cents per pound § 375.207 What items must be in my ad-
($1.32 per kilogram) per article, your li- vertisements?
ability for loss and damage may be (a) You and your agents must publish
limited to $100 per pound ($220 per kilo- and use only truthful, straightforward,
gram) per article if the individual ship- and honest advertisements.
per fails to notify you in writing of ar- (b) You must include, and you must
ticles valued at more than $100 per require each of your agents to include,
pound ($220 per kilogram). in all advertisements for all services
(c) If an individual shipper notifies (including any accessorial services in-
you in writing that an article valued at cidental to or part of interstate house-
greater than $100 per pound ($220 per hold goods transportation), the fol-
kilogram) will be included in the ship- lowing two elements:
ment, the shipper will be entitled to
(1) Your name or trade name, as it
full recovery up to the declared value
of the article or articles, not to exceed appears on our document assigning you
the declared value of the entire ship- a U.S. DOT number, or the name or
ment. trade name of the motor carrier under
whose operating authority the adver-
GENERAL RESPONSIBILITIES tised service will originate.
(2) Your U.S. DOT number, assigned
§ 375.205 May I have agents? by us authorizing you to operate as a
(a) You may have agents provided for-hire motor carrier transporting
you comply with paragraphs (b) and (c) household goods.
of this section. A household goods (c) Your FMCSA-assigned U.S. DOT
agent is defined as either one of the fol- number must be displayed only in the
lowing two types of agents: following form in every advertisement:
(1) A prime agent provides a transpor- U.S. DOT No. (assigned number).
tation service for you or on your be-
half, including the selling of, or arrang- § 375.209 How must I handle com-
ing for, a transportation service. You plaints and inquiries?
permit or require the agent to provide
services under the terms of an agree- (a) You must establish and maintain
ment or arrangement with you. A a procedure for responding to com-
prime agent does not provide services plaints and inquiries from your indi-
on an emergency or temporary basis. A vidual shippers.
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prime agent does not include a house- (b) Your procedure must include all
hold goods broker or freight forwarder. four of the following items:

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Federal Motor Carrier Safety Administration, DOT § 375.213

(1) A communications system allow- fair and expeditious decisionmaking


ing individual shippers to commu- process.
nicate with your principal place of (5) You must not charge the indi-
business by telephone. vidual shipper more than one-half of
(2) A telephone number. the total cost for instituting the arbi-
(3) A clear and concise statement tration proceeding against you. In the
about who must pay for complaint and arbitrator’s decision, the arbitrator
inquiry telephone calls. may determine which party must pay
(4) A written or electronic record sys- the cost or a portion of the cost of the
tem for recording all inquiries and arbitration proceeding, including the
complaints received from an individual cost of instituting the proceeding.
shipper by any means of communica- (6) You must refrain from requiring
tion. the individual shipper to agree to use
(c) You must produce a clear and con- arbitration before a dispute arises.
cise written description of your proce- (7) Arbitration must be binding for
dure for distribution to individual ship- claims of $10,000 or less, if the indi-
pers. vidual shipper requests arbitration.
(8) Arbitration must be binding for
§ 375.211 Must I have an arbitration claims of more than $10,000, if the indi-
program? vidual shipper requests arbitration and
(a) You must have an arbitration pro- the carrier agrees to it.
gram for individual shippers to resolve (9) If all parties agree, the arbitrator
disputes about property loss and dam- may provide for an oral presentation of
age and disputes about whether carrier a dispute by a party or representative
charges in addition to those collected of a party.
at delivery must be paid. You must es- (10) The arbitrator must render a de-
tablish and maintain an arbitration cision within 60 days of receipt of writ-
program with the following 11 min- ten notification of the dispute, and a
imum elements: decision by an arbitrator may include
(1) You must design your arbitration any remedies appropriate under the
program to prevent you from having circumstances.
any special advantage in any case (11) The arbitrator may extend the
where the claimant resides or does 60-day period for a reasonable period if
business at a place distant from your you or the individual shipper fail to
principal or other place of business. provide, in a timely manner, any infor-
(2) Before execution of the order for mation the arbitrator reasonably re-
service, you must provide notice to the quires to resolve the dispute.
individual shipper of the availability of (b) You must produce and distribute
neutral arbitration, including all three a concise, easy-to-read, accurate sum-
of the following items: mary of your arbitration program, in-
(i) A summary of the arbitration pro- cluding the items in this section.
cedure. [68 FR 35091, June 11, 2003, as amended at 69
(ii) Any applicable costs. FR 10575, Mar. 5, 2004; 72 FR 36772, July 5,
(iii) A disclosure of the legal effects 2007]
of election to use arbitration.
(3) Upon the individual shipper’s re- § 375.213 What information must I pro-
quest, you must provide information vide to a prospective individual
and forms you consider necessary for shipper?
initiating an action to resolve a dis- (a) When you provide the written es-
pute under arbitration. timate to a prospective individual ship-
(4) You must require each person you per, you must also provide the indi-
authorize to arbitrate to be inde- vidual shipper with a copy of Depart-
pendent of the parties to the dispute ment of Transportation publication
and capable of resolving such disputes, FMCSA–ESA–03–005 (or its successor
and you must ensure the arbitrator is publication) entitled ‘‘Ready to
authorized and able to obtain from you Move?’’.
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or the individual shipper any material (b) Before you execute an order for
or relevant information to carry out a service for a shipment of household

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§ 375.215 49 CFR Ch. III (10–1–07 Edition)

goods, you must furnish to your pro- When You Move. Furnished by Your
spective individual shipper all five of Mover, as Required by Federal Law.’’
the following documents: You may substitute your name or
(1) The contents of appendix A of this trade name in place of ‘‘Your Mover’’ if
part, entitled ‘‘Your Rights and Re- you wish (for example, Furnished by
sponsibilities When You Move’’ (De- XYZ Van Lines, as Required by Federal
partment of Transportation publica- Law).
tion FMCSA–ESA–03–006, or its suc- (d) Paragraphs (c)(2) and (c)(3) of this
cessor publication). section do not apply to exact copies of
(2) A concise, easy-to-read, accurate appendix A published in the FEDERAL
estimate of your charges. REGISTER or the Code of Federal Regu-
(3) A notice of the availability of the lations.
applicable sections of your tariff for
[72 FR 36772, July 5, 2007]
the estimate of charges, including an
explanation that individual shippers COLLECTING TRANSPORTATION CHARGES
may examine these tariff sections or
have copies sent to them upon request. § 375.215 How must I collect charges?
(4) A concise, easy-to-read, accurate
summary of your arbitration program. You must issue an honest, truthful
(5) A concise, easy-to-read, accurate freight or expense bill in accordance
summary of your customer complaint with subpart A of part 373 of this chap-
and inquiry handling procedures. In- ter. All rates and charges for the trans-
cluded in this description must be both portation and related services must be
of the following two items: in accordance with your appropriately
(i) The main telephone number the published tariff provisions in effect, in-
individual shipper may use to commu- cluding the method of payment.
nicate with you. § 375.217 How must I collect charges
(ii) A clear and concise statement upon delivery?
concerning who must pay for telephone
calls. (a) You must specify the form of pay-
(c) To comply with paragraph (b)(1) ment when you prepare the estimate.
of this section, you must ensure that You and your agents must honor the
the text and general order of the docu- form of payment at delivery, except
ment you produce and distribute to when a shipper agrees to a change in
prospective individual shippers are writing.
consistent with the text and general (b) You must specify the same form
order of appendix A to this part. The of payment provided in paragraph (a) of
following three items also apply: this section when you prepare the
(1) If we, the Federal Motor Carrier order for service and the bill of lading.
Safety Administration, choose to mod- (c) Charge or credit card payments:
ify the text or general order of appen- (1) If you agree to accept payment by
dix A, we will provide the public appro- charge or credit card, you must ar-
priate notice in the FEDERAL REGISTER range with the individual shipper for
and an opportunity for comment as re- the delivery only at a time when you
quired by part 389 of this chapter be- can obtain authorization for the ship-
fore making you change anything. per’s credit card transaction.
(2) If you publish the document, you (2) Paragraph (c)(1) of this section
may choose the dimensions of the pub- does not apply to you when you have
lication as long as the type font size is equipped your motor vehicle(s) to proc-
10 points or larger and the size of the ess card transactions.
booklet is at least as large as 36 square (d) You may maintain a tariff setting
inches (232 square centimeters). forth nondiscriminatory rules gov-
(3) If you publish the document, you erning collect-on-delivery service and
may choose the color and design of the the collection of collect-on-delivery
front and back covers of the publica- funds.
tion. The following words must appear (e) If an individual shipper pays you
prominently on the front cover in 12- at least 110 percent of the approximate
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point or larger bold or full-faced type: costs of a non-binding estimate on a


‘‘Your Rights and Responsibilities collect-on-delivery shipment, you must

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Federal Motor Carrier Safety Administration, DOT § 375.303

relinquish possession of the shipment shippers with a wide range of special-


at the time of delivery. ized service and pricing features. Many
[68 FR 35091, June 11, 2003, as amended at 69
carriers provide at least the following
FR 10575, Mar. 5, 2004] five service options:
(1) Space reservation.
§ 375.219 May I extend credit to ship- (2) Expedited service.
pers? (3) Exclusive use of a vehicle.
You may extend credit to shippers, (4) Guaranteed service on or between
but, if you do, it must be in accordance agreed dates.
with § 375.807. (5) Liability insurance.
(b) If you sell liability insurance, you
§ 375.221 May I use a charge or credit must follow the requirements in
card plan for payments? § 375.303.
(a) You may provide in your tariff for
the acceptance of charge or credit § 375.303 If I sell liability insurance
coverage, what must I do?
cards for the payment of freight
charges. Accepting charge or credit (a) You, your employee, or an agent
card payments is different than extend- may sell, offer to sell, or procure liabil-
ing credit to shippers in §§ 375.219 and ity insurance coverage for loss or dam-
375.807. Once you provide an estimate age to shipments of any individual
you are bound by the provisions in shipper only when the individual ship-
your tariff regarding payment as of the per releases the shipment for transpor-
estimate date, until completion of any tation at a value not exceeding 60 cents
transaction that results from that esti- per pound ($1.32 per kilogram) per arti-
mate, unless otherwise agreed with a cle.
shipper under § 375.217(a). (b) You may offer, sell, or procure
(b) You may accept charge or credit any type of insurance policy on behalf
cards whenever shipments are trans- of the individual shipper covering loss
ported under agreements and tariffs re- or damage in excess of the specified
quiring payment by cash, certified carrier liability.
check, money order, or a cashier’s (c) If you sell, offer to sell, or procure
check. liability insurance coverage for loss or
(c) If you allow an individual shipper damage to shipments:
to pay for a freight or expense bill by (1) You must issue to the individual
charge or credit card, you are deeming shipper a policy or other appropriate
such payment to be the same as pay- evidence of the insurance that the indi-
ment by cash, certified check, money vidual shipper purchased.
order, or a cashier’s check. (2) You must provide a copy of the
(d) The charge or credit card plans policy or other appropriate evidence to
you participate in must be identified in the individual shipper at the time you
your tariff rules as items permitting sell or procure the insurance.
the acceptance of the charge or credit (3) You must issue policies written in
cards. plain English.
(e) If an individual shipper causes a (4) You must clearly specify the na-
charge or credit card issuer to reverse ture and extent of coverage under the
a charge transaction, you may consider policy.
the individual shipper’s action tanta- (5) Your failure to issue a policy, or
mount to forcing you to provide an in- other appropriate evidence of insur-
voluntary extension of your credit. In ance purchased, to an individual ship-
such instances, the rules in § 375.807 per will subject you to full liability for
apply. any claims to recover loss or damage
attributed to you.
Subpart C—Service Options (6) You must provide in your tariff
Provided for the provision of selling, offering to
sell, or procuring liability insurance
§ 375.301 What service options may I coverage. The tariff must also provide
provide? for the base transportation charge, in-
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(a) You may design your household cluding your assumption of full liabil-
goods service to provide individual ity for the value of the shipment. This

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§ 375.401 49 CFR Ch. III (10–1–07 Edition)

would be in the event you fail to issue (2) A non-binding estimate is what you
a policy or other appropriate evidence believe the total cost will be for the
of insurance to the individual shipper move, based upon both the estimated
at the time of purchase. weight or volume of the shipment and
the accessorial services requested and
[69 FR 10575, Mar. 5, 2004]
the physical survey of the household
goods, if required. A non-binding esti-
Subpart D—Estimating Charges mate is not binding on you. You will
base the final charges upon the actual
§ 375.401 Must I estimate charges?
weight of the individual shipper’s ship-
(a) You must conduct a physical sur- ment and the tariff provisions in effect.
vey of the household goods to be trans- You may not impose a charge for pro-
ported and provide the prospective in- viding a non-binding estimate.
dividual shipper with a written esti- (c) You must specify the form of pay-
mate, based on the physical survey, of ment you and your agent will honor at
the charges for the transportation and delivery. Payment forms may include,
all related services. There are two ex- but are not limited to, cash, a certified
ceptions to the requirement to conduct check, a money order, a cashier s
a physical survey: check, a specific charge card such as
(1) If the household goods are located American ExpressTM, a specific credit
beyond a 50-mile radius of the location card such as VisaTM, or your credit as
of the household goods motor carrier’s allowed by § 375.807.
agent preparing the estimate, the re- (d) For non-binding estimates, you
quirement to base the estimate on a must provide your reasonably accurate
physical survey does not apply. estimate of the approximate costs the
(2) An individual shipper may elect to individual shipper should expect to pay
waive the physical survey. The waiver for the transportation and services of
agreement is subject to the following such shipments. If you provide an inac-
requirements: curately low estimate, you may be lim-
(i) It must be in writing; iting the amount you will collect at
(ii) It must be signed by the shipper the time of delivery as provided in
before the shipment is loaded; and § 375.407.
(iii) The household goods motor car- (e) If you provide a shipper with an
rier must retain a copy of the waiver estimate based on volume that will
agreement as an addendum to the bill later be converted to a weight-based
of lading with the understanding that rate, you must provide the shipper an
the waiver agreement will be subject to explanation in writing of the formula
the same record retention require- used to calculate the conversion to
ments that apply to bills of lading, as weight. You must specify the final
provided in § 375.505(d). charges will be based on actual weight
(b) Before you execute an order for and services subject to the 110 percent
service for a shipment of household rule at delivery.
goods for an individual shipper, you (f) You must determine charges for
must provide a written estimate of the any accessorial services such as ele-
total charges and indicate whether it is a vators, long carries, etc., before pre-
binding or a non-binding estimate, as fol- paring the order for service and the bill
lows: of lading for binding or non-binding es-
(1) A binding estimate is an agreement timates. If you fail to ask the shipper
made in advance with your individual about such charges and fail to deter-
shipper. It guarantees the total cost of mine such charges before preparing the
the move based upon the quantities order for service and the bill of lading,
and services shown on your estimate, you must deliver the goods and bill the
which shall be based on the physical shipper after 30 days for the additional
survey of the household goods, if re- charges.
quired. You may impose a charge for (g) You and the individual shipper
providing a written binding estimate. must sign the estimate of charges. You
The binding estimate must indicate must provide a dated copy of the esti-
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that you and the shipper are bound by mate of charges to the individual ship-
the charges. per at the time you sign the estimate.

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Federal Motor Carrier Safety Administration, DOT § 375.403

(h) Before loading a household goods (iii) Agree with the individual ship-
shipment, and upon mutual agreement per, in writing, that both of you will
of both you and the individual shipper, consider the original binding estimate
you may amend an estimate of charges. as a non-binding estimate subject to
You may not amend the estimate after § 375.405.
loading the shipment. (7) Once you load a shipment, failure
[68 FR 35091, June 11, 2003, as amended at 72 to execute a new binding estimate or a
FR 36772, July 5, 2007] non-binding estimate signifies you
have reaffirmed the original binding
§ 375.403 How must I provide a bind- estimate. You may not collect more
ing estimate? than the amount of the original bind-
(a) You may provide a guaranteed ing estimate, except as provided in
binding estimate of the total shipment paragraphs (a)(8) and (9) of this section.
charges to the individual shipper, so (8) If you believe additional services
long as it is provided for in your tariff. are necessary to properly service a
The individual shipper must pay the shipment after the bill of lading has
amount for the services included in been issued, you must inform the indi-
your estimate. You must comply with vidual shipper what the additional
the following 11 requirements: services are before performing those
(1) You must base the binding esti- services. You must allow the shipper at
mate on the physical survey unless one least one hour to determine whether he
of the exceptions provided in or she wants the additional services
§ 375.401(a)(1) and (2) applies. performed. If the individual shipper
(2) You must provide the binding es- agrees to pay for the additional serv-
timate in writing to the individual ices, you must execute a written at-
shipper or other person responsible for tachment to be made an integral part
payment of the freight charges.
of the bill of lading contract and have
(3) You must retain a copy of each
the individual shipper sign the written
binding estimate as an attachment to
attachment. This may be done through
be made an integral part of the bill of
fax transmissions; e-mail; overnight
lading contract.
courier; or certified mail, return re-
(4) You must clearly indicate upon
ceipt requested. You must bill the indi-
each binding estimate’s face that the
vidual shipper for the additional serv-
estimate is binding upon you and the
individual shipper. Each binding esti- ices after 30 days from delivery. If the
mate must also clearly indicate on its individual shipper does not agree to
face that the charges shown apply only pay the additional services, the carrier
to those services specifically identified should perform only those additional
in the estimate. services as are required to complete
(5) You must clearly describe bind- the delivery, and bill the individual
ing-estimate shipments and all services shipper for the additional services after
you are providing. 30 days from delivery, except that you
(6) If it appears an individual shipper may collect at delivery charges for im-
has tendered additional household practicable operations that do not ex-
goods or requires additional services ceed 15 percent of all other charges due
not identified in the binding estimate, at delivery.
you are not required to honor the esti- (9) If the individual shipper requests
mate. If an agreement cannot be additional services after the bill of lad-
reached as to the price or service re- ing has been issued, you must inform
quirements for the additional goods or the individual shipper of the additional
services, you are not required to serv- charges involved. You may require full
ice the shipment. However, if you do payment at destination for these addi-
service the shipment, before loading tional services and for 100 percent of
the shipment you must do one of the the original binding estimate. If appli-
following three things: cable, you also may require payment at
(i) Reaffirm your binding estimate. delivery of charges for impracticable
(ii) Negotiate a revised written bind- operations (as defined in your carrier
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ing estimate listing the additional tariff) not to exceed 15 percent of all
household goods or services. other charges due at delivery. You

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§ 375.405 49 CFR Ch. III (10–1–07 Edition)

must bill and collect from the indi- (b) If you provide a non-binding esti-
vidual shipper any applicable charges mate to an individual shipper, you
not collected at delivery in accordance must provide your reasonably accurate
with subpart H of this part. estimate of the approximate costs the
(10) Failure to relinquish possession individual shipper should expect to pay
of a shipment upon the individual ship- for the transportation and services of
per’s offer to pay the binding estimate the shipment. You must comply with
amount (or, in the case of a partial de- the following ten requirements:
livery, a prorated percentage of the (1) You must provide reasonably ac-
binding estimate as set forth in para- curate non-binding estimates based
graph (a)(11) of this section) plus upon both the estimated weight or vol-
charges for any additional services re- ume of the shipment and services re-
quested by the shipper after the bill of quired and the physical survey of the
lading has been issued and charges, if household goods, if required. If you
applicable, for impracticable oper- provide a shipper with an estimate
ations (subject to a maximum amount based on volume that will later be con-
as set forth in paragraph 9 of this sec- verted to a weight-based rate, you
tion), constitutes a failure to transport must provide the shipper an expla-
a shipment with ‘‘reasonable dispatch’’ nation in writing of the formula used
and subjects you to cargo delay claims to calculate the conversion to weight.
pursuant to part 370 of this chapter.
(2) You must explain to the indi-
(11) If you make only a partial deliv-
vidual shipper that final charges cal-
ery of the shipment, you may not de-
culated for shipments moved on non-
mand upon delivery full payment of the
binding estimates will be those appear-
binding estimate. You may demand
ing in your tariffs applicable to the
only a prorated percentage of the bind-
transportation. You must explain that
ing estimate. The prorated percentage
these final charges may exceed the ap-
must be the percentage of the weight of
that portion of the shipment delivered proximate costs appearing in your esti-
relative to the total weight of the ship- mate.
ment. For example, if you deliver only (3) You must furnish non-binding es-
2,500 pounds of a shipment weighing timates without charge and in writing
5,000 pounds, you may demand payment to the individual shipper or other per-
at destination for only 50 percent of son responsible for payment of the
the binding estimate. freight charges.
(b) In accordance with § 375.401(a), (4) You must retain a copy of each
you may impose a charge for providing non-binding estimate as an attachment
a written binding estimate. If you do to be made an integral part of the bill
not provide a binding estimate to an of lading contract.
individual shipper, you must provide a (5) You must clearly indicate on the
non-binding estimate in accordance face of a non-binding estimate that the
with § 375.405. estimate is not binding upon you and
(c) You must retain a copy of the the charges shown are the approximate
binding estimate for each move you charges to be assessed for the service
perform for at least one year from the identified in the estimate. The esti-
date you made the estimate and keep it mate must clearly state that the ship-
as an attachment to be made an inte- per will not be required to pay more
gral part of the bill of lading contract. than 110 percent of the non-binding es-
[68 FR 35091, June 11, 2003, as amended at 69
timate at the time of delivery.
FR 10575, Mar. 5, 2004; 69 FR 17317, May 5, (6) You must clearly describe on the
2004; 72 FR 36773, July 5, 2007] face of a non-binding estimate the en-
tire shipment and all services you are
§ 375.405 How must I provide a non- providing.
binding estimate? (7) If it appears an individual shipper
(a) If you do not provide a binding es- has tendered additional household
timate to an individual shipper in ac- goods or requires additional services
cordance with § 375.403, you must pro- not identified in the non-binding esti-
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vide a non-binding written estimate to mate, you are not required to honor
the individual shipper. the estimate. If an agreement cannot

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Federal Motor Carrier Safety Administration, DOT § 375.407

be reached as to the price or service re- tional services and (unless you make
quirements for the additional goods or only a partial delivery, in which case
services, you are not required to serv- you must collect a prorated percentage
ice the shipment. However, if you do of the original non-binding estimate as
service the shipment, before loading set forth in § 375.407(c) of this part) for
the shipment, you must do one of the up to 110 percent of the original non-
following two things: binding estimate. If applicable, you
(i) Reaffirm your non-binding esti- also may require payment at delivery
mate. of charges for impracticable operations
(ii) Negotiate a revised written non- (as defined in your carrier tariff) not to
binding estimate listing the additional exceed 15 percent of all other charges
household goods or services. due at delivery. You must bill and col-
(8) Once you load a shipment, failure lect from the individual shipper any
to execute a new non-binding estimate applicable charges not collected at de-
signifies you have reaffirmed the origi- livery in accordance with subpart H of
nal non-binding estimate. You may not this part.
collect more than 110 percent of the (c) If you furnish a non-binding esti-
amount of the original non-binding es- mate, you must enter the estimated
timate at destination, except as pro- charges upon the order for service and
vided in paragraphs (b)(9) and (10) of upon the bill of lading.
this section. (d) You must retain a copy of the
(9) If you believe additional services non-binding estimate for each move
are necessary to properly service a you perform for at least one year from
shipment after the bill of lading has the date you made the estimate and
been issued, you must inform the indi- keep it as an attachment to be made an
vidual shipper what the additional integral part of the bill of lading con-
services are before performing those tract.
services. You must allow the shipper at
[68 FR 35091, June 11, 2003, as amended at 69
least one hour to determine whether he FR 10576, Mar. 5, 2004; 72 FR 36773, July 5,
or she wants the additional services 2007]
performed. If the individual shipper
agrees to pay for the additional serv- § 375.407 Under what circumstances
ices, you must execute a written at- must I relinquish possession of a
tachment to be made an integral part collect-on-delivery shipment trans-
of the bill of lading contract and have ported under a non-binding esti-
the individual shipper sign the written mate?
attachment. This may be done through (a) If an individual shipper pays you
fax transmissions; e-mail; overnight up to 110 percent of the non-binding es-
courier; or certified mail, return re- timate on a collect-on-delivery ship-
ceipt requested. You must bill the indi- ment (or, in the case of a partial deliv-
vidual shipper for the additional serv- ery, a prorated percentage of the non-
ices after 30 days from delivery. If the binding estimate as set forth in para-
individual shipper does not agree to graph (c) of this section), you must re-
pay the additional services, the carrier linquish possession of the shipment at
should perform only those additional the time of delivery. If there are either
services as are required to complete charges for any additional services re-
the delivery, and bill the individual quested by the shipper after the bill of
shipper for the additional services after lading has been issued and/or charges,
30 days from delivery, except that you if applicable, for impracticable oper-
may collect at delivery charges for im- ations (subject to a maximum amount
practicable operations that do not ex- as set forth in paragraph (d) of this sec-
ceed 15 percent of all other charges due tion), and the shipper also pays you for
at delivery. such charges, you must relinquish pos-
(10) If the individual shipper requests session of the shipment at the time of
additional services after the bill of lad- delivery. You must accept the form of
ing has been issued, you must inform payment agreed to at the time of esti-
the individual shipper of the additional mate, unless the shipper agrees in writ-
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charges involved. You may require full ing to a change in the form of pay-
payment at destination for these addi- ment.

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§ 375.409 49 CFR Ch. III (10–1–07 Edition)

(b) Failure to relinquish possession of Subpart E—Pick Up of Shipments


a shipment after the individual shipper of Household Goods
offers to pay you up to 110 percent of
the approximate costs of a non-binding BEFORE LOADING
estimate plus any additional charges
described in paragraph (a) of this sec- § 375.501 Must I write up an order for
service?
tion constitutes a failure to transport
a shipment with ‘‘reasonable dispatch’’ (a) Before you receive a shipment of
and subjects you to cargo delay claims household goods you will move for an
pursuant to part 370 of this chapter. individual shipper, you must prepare
(c) If you make only a partial deliv- an order for service. The order for serv-
ice must contain the information de-
ery of the shipment, you may not de-
scribed in the following 15 items:
mand full payment of the non-binding
(1) Your name and address and the
estimate. You may demand at delivery FMCSA U.S. DOT number assigned to
only a prorated percentage of the non- the mover who is responsible for per-
binding estimate (or a prorated per- forming the service.
centage of an amount up to 110 percent (2) The individual shipper’s name, ad-
of the non-binding estimate). The pro- dress, and, if available, telephone num-
rated percentage must be the percent- ber(s).
age of the weight of that portion of the (3) The name, address, and telephone
shipment delivered relative to the number of the delivering mover’s office
total weight of the shipment. For ex- or agent located at or nearest to the
ample, if you deliver only 2,500 pounds destination of the shipment.
of a shipment weighing 5,000 pounds, (4) A telephone number where the in-
you may demand payment of 50 percent dividual shipper/consignee may contact
of not more than 110 percent of the you or your designated agent.
non-binding estimate. (5) One of the following three entries
(d) You may not demand payment of must be on the order for service:
charges for impracticable operations, (i) The agreed pickup date and agreed
as defined in your tariff, of more than delivery date of the move.
15 percent of all other charges due at (ii) The agreed period(s) of the entire
move.
delivery. You must bill and collect
(iii) If you are transporting the ship-
from the individual shipper charges for
ment on a guaranteed service basis, the
impracticable operations not collected guaranteed dates or periods for pickup,
at delivery in accordance with subpart transportation, and delivery. You must
H of this part. enter any penalty or per diem require-
[72 FR 36774, July 5, 2007] ments upon the agreement under this
item.
§ 375.409 May household goods brokers (6) The names and addresses of any
provide estimates? other motor carriers, when known, who
A household goods broker must not will participate in interline transpor-
provide an individual shipper with an tation of the shipment.
(7) The form of payment you and
estimate of charges for the transpor-
your agents will honor at delivery. The
tation of household goods unless there
payment information must be the same
is a written agreement between the that was entered on the estimate.
broker and you, the carrier, adopting (8) The terms and conditions for pay-
the broker’s estimate as your own esti- ment of the total charges, including
mate. If you make such an agreement notice of any minimum charges.
with a broker, you must ensure compli- (9) The maximum amount you will
ance with all requirements of this part demand at the time of delivery to ob-
pertaining to estimates, including the tain possession of the shipment, when
requirement that you must relinquish you transport on a collect-on-delivery
possession of the shipment if the ship- basis.
per pays you 110 percent of a non-bind- (10) A statement of the declared
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ing estimate at the time of delivery. value of the shipment, which is the
maximum amount of your liability to

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Federal Motor Carrier Safety Administration, DOT § 375.501

the individual shipper under your Full certified mail, return receipt re-
Value Protection for the replacement quested.
value of any household goods that are (b) You, your agent, or your driver
lost, damaged, destroyed, or otherwise must inform the individual shipper if
not delivered to the final destination. you reasonably expect a special or ac-
If the individual shipper waives, in cessorial service is necessary to safely
writing, your Full Value Protection li- transport a shipment. You must refuse
ability, you must include a copy of the to accept the shipment when you rea-
waiver; the Surface Transportation sonably expect a special or accessorial
Board’s required released rates valu- service is necessary to safely transport
ation statement; and the charges, if a shipment and the individual shipper
any, for optional valuation coverage refuses to purchase the special or ac-
(other than Full Value Protection). cessorial service. You must make a
The released rates may be increased written note if the shipper refuses any
annually by the motor carrier based on special or accessorial services that you
the U.S. Department of Commerce’s reasonably expect to be necessary.
Cost of Living Adjustment.
(c) You and the individual shipper
(11) A complete description of any must sign the order for service. You
special or accessorial services ordered must provide a dated copy of the order
and minimum weight or volume
for service to the individual shipper at
charges applicable to the shipment,
the time you sign the order.
subject to the following two condi-
(d)(1) You may provide the individual
tions:
shipper with blank or incomplete esti-
(i) If you provide service for indi-
mates, orders for service, bills of lad-
vidual shippers on rates based upon the
ing, or any other blank or incomplete
transportation of a minimum weight or
documents pertaining to the move.
volume, you must indicate on the order
for service the minimum weight- or (2) You may require the individual
volume-based rates, and the minimum shipper to sign an incomplete docu-
charges applicable to the shipment. ment at origin provided it contains all
(ii) If you do not indicate the min- relevant shipping information except
imum rates and charges, your tariff the actual shipment weight and any
must provide you will compute the other information necessary to deter-
final charges relating to such a ship- mine the final charges for all services
ment based upon the actual weight or performed.
volume of the shipment. (e) You must provide the individual
(12) Any identification or registra- shipper the opportunity to rescind the
tion number you assign to the ship- order for service without any penalty
ment. for a three-day period after the shipper
(13) For non-binding estimates, your signs the order for service, if the ship-
reasonably accurate estimate of the per scheduled the shipment to be load-
amount of the charges, the method of ed more than three days after signing
payment of total charges, and the max- the order.
imum amount (no more than 110 per- (f) Before loading the shipment, and
cent of the non-binding estimate) you upon mutual agreement of both you
will demand at the time of delivery to and the individual shipper, you may
relinquish possession of the shipment. amend an order for service.
(14) For binding estimates, the amount (g) You must retain a copy of the
of charges you will demand based upon order for service for each move you
the binding estimate and the terms of perform for at least one year from the
payment under this estimate. date you made the order for service and
(15) Whether the individual shipper keep it as an attachment to be made an
requests notification of the charges be- integral part of the bill of lading con-
fore delivery. The individual shipper tract.
must provide you with the fax num- (h) You have the option of placing
ber(s) or address(es) where you will the valuation statement on either the
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transmit the notifications by fax trans- order for service or the bill of lading,
mission; e-mail; overnight courier; or provided the order for service or bill of

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§ 375.503 49 CFR Ch. III (10–1–07 Edition)

lading states the appropriate valuation § 375.505 Must I write up a bill of lad-
selected by the shipper. ing?
[68 FR 35091, June 11, 2003, as amended at 69 (a) You must issue a bill of lading.
FR 10576, Mar. 5, 2004; 72 FR 36774, July 5, The bill of lading must contain the
2007] terms and conditions of the contract. A
bill of lading may be combined with an
§ 375.503 Must I write up an inven- order for service to include all the
tory? items required by § 375.501 of this sub-
(a) You must prepare a written, part. You must furnish a partially
complete copy of the bill of lading to
itemized inventory for each shipment
the individual shipper before the vehi-
of household goods you transport for
cle leaves the residence at origin. The
an individual shipper. The inventory partially complete bill of lading must
must identify every carton and every contain all relevant shipment informa-
uncartoned item that is included in the tion, except the actual shipment
shipment. When you prepare the inven- weight and any other information nec-
tory, an identification number that essary to determine the final charges
corresponds to the inventory must be for all services performed.
placed on each article that is included (b) On a bill of lading, you must in-
in the shipment. clude the following 14 items:
(b) You must prepare the inventory (1) Your name and address, or the
before or at the time of loading in the name and address of the motor carrier
vehicle for transportation in a manner issuing the bill of lading.
that provides the individual shipper (2) The names and addresses of any
with the opportunity to observe and other motor carriers, when known, who
verify the accuracy of the inventory if will participate in transportation of
he or she so requests. the shipment.
(3) The name, address, and telephone
(c) You must furnish a complete copy
number of your office (or the office of
of the inventory to the individual ship-
your agent) where the individual ship-
per before or at the time of loading the per can contact you in relation to the
shipment. A copy of the inventory, transportation of the shipment.
signed by both you and the individual (4) The form of payment you and
shipper, must be provided to the ship- your agents will honor at delivery. The
per, together with a copy of the bill of payment information must be the same
lading, before or at the time you load that was entered on the estimate and
the shipment. order for service.
(d) Upon delivery, you must provide (5) When you transport on a collect-
the individual shipper with the oppor- on-delivery basis, the name, address,
tunity to observe and verify that the and if furnished, the telephone number,
same articles are being delivered and facsimile number, or e-mail address of
the condition of those articles. You a person to notify about the charges.
must also provide the individual ship- The notification may also be made by
per the opportunity to note in writing overnight courier or certified mail, re-
any missing articles and the condition turn receipt requested.
of any damaged or destroyed articles. (6) For non-guaranteed service, the
In addition, you must also provide the agreed date or period of time for pick-
shipper with a copy of all such nota- up of the shipment and the agreed date
or period of time for the delivery of the
tions.
shipment. The agreed dates or periods
(e) You must retain inventories for
for pickup and delivery entered upon
each move you perform for at least one the bill of lading must conform to the
year from the date you made the inven- agreed dates or periods of time for
tory and keep it as an attachment to pickup and delivery entered upon the
be made an integral part of the bill of order for service or a proper amend-
lading contract. ment to the order for service.
(7) For guaranteed service, subject to
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[68 FR 35091, June 11, 2003, as amended at 69


FR 10576, Mar. 5, 2004] tariff provisions, the dates for pickup
and delivery, and any penalty or per

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Federal Motor Carrier Safety Administration, DOT § 375.509

diem entitlements due the individual (d) You must retain bills of lading for
shipper under the agreement. each move you perform for at least one
(8) The actual date of pickup. year from the date you created the bill
(9) The company or carrier identifica- of lading.
tion number of the vehicle(s) upon (e) You have the option of placing the
which you load the individual shipper’s valuation statement on either the
shipment. order for service or the bill of lading,
(10) The terms and conditions for provided the order for service or bill of
payment of the total charges, including lading states the appropriate valuation
notice of any minimum charges. selected by the shipper.
(11) The maximum amount you will [68 FR 35091, June 11, 2003, as amended at 69
demand at the time of delivery to ob- FR 10576, Mar. 5, 2004; 72 FR 36774, July 5,
tain possession of the shipment, when 2007]
you transport under a collect-on-deliv-
ery basis. WEIGHING THE SHIPMENT
(12) A statement of the declared
value of the shipment, which is the § 375.507 Must I determine the weight
maximum amount of your liability to of a shipment?
the individual shipper under your Full (a) When you transport household
Value Protection for the replacement goods on a non-binding estimate de-
value of any household goods that are pendent upon the shipment weight, you
lost, damaged, destroyed, or otherwise must determine the weight of each
not delivered to the final destination. shipment transported before the assess-
If the individual shipper waives, in ment of any charges.
writing, your Full Value Protection li- (b) You must weigh the shipment
ability for the declared value of the upon a certified scale.
household goods, you must include a (c) You must provide a written expla-
copy of the waiver; the Surface Trans- nation of volume to weight conver-
portation Board’s required released sions, when you provide an estimate by
rates valuation statement; and the volume and convert the volume to
charges, if any, for optional valuation weight.
coverage (other than Full Value Pro-
tection). The released rates may be in- § 375.509 How must I determine the
creased annually by the motor carrier weight of a shipment?
based on the U.S. Department of Com- (a) You must weigh the shipment by
merce’s Cost of Living Adjustment. using one of the following two meth-
(13) Evidence of any insurance cov- ods:
erage sold to or procured for the indi- (1) First method—origin weigh. You de-
vidual shipper from an independent in- termine the difference between the
surer, including the amount of the pre- tare weight of the vehicle before load-
mium for such insurance. ing at the origin of the shipment and
(14) Each attachment to the bill of the gross weight of the same vehicle
lading. Each attachment is an integral after loading the shipment.
part of the bill of lading contract. If (2) Second method—back weigh. You
not provided elsewhere to the shipper, determine the difference between the
the following three items must be gross weight of the vehicle with the
added as an attachment to the bill of shipment loaded and the tare weight of
lading. the same vehicle after you unload the
(i) The binding or non-binding esti- shipment.
mate. (b) The following three conditions
(ii) The order for service. must exist for both the tare and gross
(iii) The inventory. weighings:
(c) A copy of the bill of lading must (1) The vehicle must have installed or
accompany a shipment at all times loaded all pads, dollies, hand trucks,
while in your (or your agent’s) posses- ramps, and other equipment required
sion. Before the vehicle leaves the resi- in the transportation of the shipment.
dence of origin, the bill of lading must (2) The driver and other persons must
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be in the possession of the driver re- be off the vehicle at the time of either
sponsible for the shipment. weighing.

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§ 375.511 49 CFR Ch. III (10–1–07 Edition)

(3) The fuel tanks on the vehicle individual shipper may send the waiver
must be full at the time of each weigh- notification via fax transmission; e-
ing, or, in the alternative, when you mail; overnight courier; or certified
use the first method—origin weigh, in mail, return receipt requested.
paragraph (a)(1) of this section, where (c) Waiver of the right to observe a
the tare weighing is the first weighing weighing or re-weighing does not affect
performed, you must refrain from add- any other rights of the individual ship-
ing fuel between the two weighings. per under this part or otherwise.
(c) You may detach the trailer of a
tractor-trailer vehicle combination [68 FR 35091, June 11, 2003, as amended at 69
FR 10576, Mar. 5, 2004]
from the tractor and have the trailer
weighed separately at each weighing § 375.517 May an individual shipper
provided the length of the scale plat- demand re-weighing?
form is adequate to accommodate and
support the entire trailer at one time. After you inform the individual ship-
(d) You must use the net weight of per of the billing weight and total
shipments transported in containers. charges and before actually beginning
You must calculate the difference be- to unload a shipment weighed at origin
tween the tare weight of the container (first method under § 375.509(a)(1)), the
(including all pads, blocking and brac- individual shipper may demand a re-
ing used in the transportation of the weigh. You must base your freight bill
shipment) and the gross weight of the charges upon the re-weigh weight.
container with the shipment loaded in
the container. § 375.519 Must I obtain weight tickets?
(a) You must obtain weight tickets
§ 375.511 May I use an alternative whenever we require you to weigh the
method for shipments weighing shipment in accordance with this sub-
3,000 pounds or less?
part. You must obtain a separate
For shipments weighing 3,000 pounds weight ticket for each weighing. The
or less (1,362 kilograms or less), you weigh master must sign each weight
may weigh the shipment upon a plat- ticket. Each weight ticket must con-
form or warehouse certified scale be- tain the following six items:
fore loading for transportation or after (1) The complete name and location
unloading. of the scale.
(2) The date of each weighing.
§ 375.513 Must I give the individual
shipper an opportunity to observe (3) The identification of the weight
the weighing? entries as being the tare, gross, or net
weights.
You must give the individual shipper
(4) The company or carrier identifica-
or any other person responsible for the
tion of the vehicle.
payment of the freight charges the
right to observe all weighings of the (5) The last name of the individual
shipment. You must advise the indi- shipper as it appears on the bill of lad-
vidual shipper, or any other person en- ing.
titled to observe the weighings, where (6) The carrier’s shipment registra-
and when each weighing will occur. tion or bill of lading number.
You must give the person who will ob- (b) When both weighings are per-
serve the weighings a reasonable oppor- formed on the same scale, one weight
tunity to be present to observe the ticket may be used to record both
weighings. weighings.
(c) As part of the file on the ship-
§ 375.515 May an individual shipper ment, you must retain the original
waive his/her right to observe each weight ticket or tickets relating to the
weighing? determination of the weight of a ship-
(a) If an individual shipper elects not ment.
to observe a weighing, the shipper is (d) All freight bills you present to an
presumed to have waived that right. individual shipper must include true
(b) If an individual shipper elects not copies of all weight tickets obtained in
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to observe a reweighing, the shipper the determination of the shipment


must waive that right in writing. The weight in order to collect any shipment

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Federal Motor Carrier Safety Administration, DOT § 375.607

charges dependent upon the weight § 375.603 When must I tender a ship-
transported. ment for delivery?
You must tender a shipment for de-
§ 375.521 What must I do if an indi-
vidual shipper wants to know the livery for an individual shipper on the
actual weight or charges for a ship- agreed delivery date or within the pe-
ment before I tender delivery? riod specified on the bill of lading.
Upon the request or concurrence of the
(a) If an individual shipper of a ship- individual shipper, you may waive this
ment being transported on a collect-on- requirement.
delivery basis specifically requests no-
tification of the actual weight or vol- § 375.605 How must I notify an indi-
ume and charges on the shipment, you vidual shipper of any service
must comply with this request. This delays?
requirement is conditioned upon the (a) When you are unable to perform
individual shipper’s supplying you with either the pickup or delivery of a ship-
an address or telephone number where ment on the dates or during the periods
the individual shipper will receive the specified in the order for service and as
communication. You must make your soon as the delay becomes apparent to
notification by telephone; in person; you, you must notify the individual
fax transmissions; e-mail; overnight shipper of the delay, at your expense,
courier; or certified mail, return re- in one of the following six ways:
ceipt requested. (1) By telephone.
(b) The individual shipper must re- (2) In person.
ceive your notification at least one full (3) Fax transmissions.
24-hour day before any tender of the (4) E-mail.
shipment for delivery, excluding Satur- (5) Overnight courier.
days, Sundays and Federal holidays. (6) Certified mail, return receipt re-
(c) You may disregard the 24-hour no- quested.
tification requirement on shipments in (b) You must advise the individual
any one of the following three cir- shipper of the dates or periods you ex-
cumstances: pect to be able to pick up and/or deliver
(1) The shipment will be back the shipment. You must consider the
weighed (i.e., weighed at destination). needs of the individual shipper in your
(2) Pickup and delivery encompass advisement. You also must do the fol-
two consecutive weekdays, if the indi- lowing four things:
vidual shipper agrees. (1) You must prepare a written record
(3) The shipment is moving under a of the date, time, and manner of notifi-
non-binding estimate and the max- cation.
imum payment required at time of de- (2) You must prepare a written record
livery is 110 percent of the estimated of your amended date or period for
charges, but only if the individual ship- pick-up or delivery.
per agrees to waive the 24-hour notifi- (3) You must retain these records as
cation requirement. a part of your file on the shipment. The
retention period is one year from the
[68 FR 35091, June 11, 2003, as amended at 69 date of notification.
FR 10576, Mar. 5, 2004] (4) You must furnish a copy of the
notice to the individual shipper by first
Subpart F—Transportation of class mail or in person if the individual
Shipments shipper requests a copy of the notice.

§ 375.601 Must I transport the ship- [68 FR 35091, June 11, 2003, as amended at 69
ment in a timely manner? FR 10576, Mar. 5, 2004]

Yes. Transportation in a timely man- § 375.607 What must I do if I am able


ner is also known as ‘‘reasonable dis- to tender a shipment for final deliv-
patch service.’’ You must provide rea- ery more than 24 hours before a
sonable dispatch service to all indi- specified date?
vidual shippers, except for transpor- (a) You may ask the individual ship-
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tation on the basis of guaranteed pick- per to accept an early delivery date. If
up and delivery dates. the individual shipper does not concur

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§ 375.609 49 CFR Ch. III (10–1–07 Edition)

with your request or the individual (2) The maximum period of time pro-
shipper does not request an early deliv- vided in your tariff for storage-in-tran-
ery date, you may, at your discretion, sit.
place a shipment in storage under your (d) You must notify the individual
own account and at your own expense shipper by facsimile transmission; e-
in a warehouse located near the des- mail; overnight courier; or certified
tination of the shipment. If you place mail, return receipt requested.
the shipment in storage, you must (e) If you are holding household
comply with paragraph (b) of this sec- goods in storage-in-transit for a period
tion. You may comply with paragraph of time less than 10 days, you must
(c) of this section, at your discretion. give notification to the individual ship-
(b) You must immediately notify the per of the information specified in
individual shipper of the name and ad- paragraph (b) of this section one day
dress of the warehouse where you place before the expiration date of the speci-
the shipment. You must make and fied time when the goods are to be held
keep a record of your notification as a in such storage.
part of your shipment records. You (f) You must maintain a record of no-
have responsibility for the shipment tifications as part of the records of the
under the terms and conditions of the shipment.
bill of lading. You are responsible for (g) Your failure or refusal to notify
the charges for redelivery, handling, the individual shipper will automati-
and storage until you make final deliv- cally effect a continuance of your car-
ery. rier liability according to the applica-
(c) You may limit your responsibility ble tariff provisions with respect to
under paragraph (b) of this section up storage-in-transit, until the end of the
to the agreed delivery date or the first day following the date when you actu-
day of the period of time of delivery as ally gave notice.
specified in the bill of lading. [68 FR 35091, June 11, 2003, as amended at 69
FR 10577, Mar. 5, 2004]
§ 375.609 What must I do for shippers
who store household goods in tran-
sit? Subpart G—Delivery of Shipments
(a) If you are holding goods for stor- § 375.701 May I provide for a release of
age-in-transit (SIT) and the period of liability on my delivery receipt?
time is about to expire, you must com- (a) Your delivery receipt or shipping
ply with this section. document must not contain any lan-
(b) You must notify the individual guage purporting to release or dis-
shipper, in writing of the following four charge you or your agents from liabil-
items: ity.
(1) The date of conversion to perma- (b) The delivery receipt may include
nent storage. a statement the property was received
(2) The existence of a nine-month pe- in apparent good condition except as
riod after the date of conversion to per- noted on the shipping documents.
manent storage when the individual
shipper may file claims against you for § 375.703 What is the maximum collect-
loss or damage occurring to the goods on-delivery amount I may demand
in transit or during the storage-in- at the time of delivery?
transit period. (a) On a binding estimate, the max-
(3) The fact your liability is ending. imum amount is the exact estimate of
(4) The fact the individual shipper’s the charges, plus charges for any addi-
property will be subject to the rules, tional services requested by the shipper
regulations, and charges of the ware- after the bill of lading has been issued
houseman. and charges, if applicable, for impracti-
(c) You must make this notification cable operations as defined in your car-
at least 10 days before the expiration rier tariff. The maximum amount of
date of either one of the following two charges for impracticable operations
periods: you may collect on delivery is an
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(1) The specified period of time when amount equal to 15 percent of all other
the goods are to be held in storage. charges due at delivery.

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Federal Motor Carrier Safety Administration, DOT § 375.709

(b) On a non-binding estimate, the ered relative to the total weight of the
maximum amount is 110 percent of the shipment. For example, if you deliver
non-binding estimate of the charges, only 2,500 pounds of a shipment weigh-
plus charges for any additional services ing 5,000 pounds, you may demand at
requested by the shipper after the bill destination, as applicable, only 50 per-
of lading has been issued and charges, cent of a binding estimate or 50 percent
if applicable, for impracticable oper- of not more than 110 percent of a non-
ations as defined in your carrier tariff. binding estimate;
The maximum amount of charges for (ii) Charges for any additional serv-
impracticable operations you may col- ices requested by the shipper after the
lect on delivery is an amount equal to bill of lading has been issued; and
15 percent of all other charges due at (iii) Charges for impracticable oper-
delivery. ations, if applicable, except that such
charges must not exceed 15 percent of
[72 FR 36774, July 5, 2007]
all other charges due at delivery.
§ 375.705 If a shipment is transported (iv) Any specific valuation charge
on more than one vehicle, what due.
charges may I collect at delivery? (2) You must bill and collect from the
individual shipper any remaining
(a) At your discretion, you may do
charges not collected at delivery in ac-
one of the following three things:
(1) You may defer the collection of cordance with subpart H of this part.
(b) You must determine, at your own
all charges until you deliver the entire
expense, the proportion of the ship-
shipment.
(2) If you have determined the ment, based on actual or constructive
charges for the entire shipment, you weight, not lost or destroyed in transit.
(c) You may disregard paragraph
may collect charges for the portion of
(a)(1) of this section if loss or destruc-
the shipment tendered for delivery.
tion was due to an act or omission of
You must determine the percentage of
the individual shipper.
the charges for the entire shipment
(d) The individual shipper’s rights are
represented by the portion of the ship-
in addition to, and not in lieu of, any
ment tendered for delivery.
other rights the individual shipper may
(3) If you cannot reasonably calculate
have with respect to a shipment of
the charges for the entire shipment,
household goods you or your agent(s)
you must determine the charges for the
partially lost or destroyed in transit.
portion of the shipment being deliv-
This applies whether or not the indi-
ered. You must collect this amount.
vidual shipper exercises any rights to
The total charges you assess for the
obtain a refund of the portion of your
transportation of the separate portions
published freight charges cor-
of the shipment must not be more than
responding to the portion of the lost or
the charges due for the entire ship-
destroyed shipment (including any
ment.
(b) In the event of the loss or destruc- charges for accessorial or terminal
tion of any part of a shipment trans- services) at the time you dispose of
ported on more than one vehicle, you claims for loss, damage, or injury to
must collect the charges as provided in articles in the shipment under part 370
§ 375.707. of this chapter.
[72 FR 36775, July 5, 2007]
§ 375.707 If a shipment is partially lost
or destroyed, what charges may I § 375.709 If a shipment is totally lost or
collect at delivery? destroyed, what charges may I col-
(a) (1) If a shipment is partially lost lect at delivery?
or destroyed, you may collect at deliv- (a) You are forbidden from collecting,
ery: or requiring an individual shipper to
(i) A prorated percentage of the bind- pay, any freight charges (including any
ing estimate or a prorated percentage charges for accessorial or terminal
of up to 110 percent of the non-binding services) when a household goods ship-
estimate. The prorated percentage is ment is totally lost or destroyed in tran-
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equal to the percentage of the weight sit. The following two conditions also
of that portion of the shipment deliv- apply:

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§ 375.801 49 CFR Ch. III (10–1–07 Edition)

(1) You must collect any specific endar days for any shipper who has not
valuation charge due. paid your freight bill within the 7-day
(2) You may disregard paragraph (a) period. However, for charges for im-
of this section if loss or destruction practicable operations that are not col-
was due to an act or omission of the in- lected at delivery, you may not extend
dividual shipper. the credit period beyond 30 days after
(b) The individual shipper’s rights are you present your freight bill.
in addition to, and not in lieu of, any (2) You will assess a service charge to
other rights the individual shipper may each individual shipper equal to one
have with respect to a shipment of percent of the amount of the freight
household goods you or your agent(s) bill, subject to a $20 minimum charge,
totally lost or destroyed in transit. for the extension of the credit period.
This applies whether or not the indi- You will assess the service charge for
vidual shipper exercises its rights pro- each 30-day extension the charges go
vided in paragraph (a) of this section. unpaid.
(3) You must deny credit to any ship-
Subpart H—Collection of Charges per who fails to pay a duly-presented
freight bill within the 30-day period.
§ 375.801 What types of charges apply You may grant credit to the individual
to subpart H? shipper when the individual shipper
This subpart applies to all shipments satisfies he/she will promptly pay all
of household goods that: future freight bills duly presented.
(a) Entail a balance due freight or ex- (4) You must ensure all payments of
pense bill, or freight bills are strictly in accordance
(b) Are transported on an extension with the rules and regulations of this
of credit basis. part for the settlement of your rates
[69 FR 10577, Mar. 5, 2004] and charges.
[68 FR 35091, June 11, 2003, as amended at 72
§ 375.803 How must I present my FR 36775, July 5, 2007]
freight or expense bill?
You must present your freight or ex- Subpart I—Penalties
pense bill in accordance with § 375.807 of
this subpart. § 375.901 What penalties do we impose
for violations of this part?
[69 FR 10577, Mar. 5, 2004]
The penalty provisions of 49 U.S.C.
§ 375.805 If I am forced to relinquish a Chapter 149, Civil and Criminal Pen-
collect-on-delivery shipment before alties apply to this part. These pen-
the payment of ALL charges, how alties do not overlap. Notwithstanding
do I collect the balance? these civil penalties, nothing in this
On ‘‘collect-on-delivery’’ shipments, section shall deprive any holder of a re-
you must present your freight bill for ceipt or a bill of lading any remedy or
all transportation charges within 15 right of action under existing law.
days as required by § 375.807.
APPENDIX A TO PART 375—YOUR RIGHTS
§ 375.807 What actions may I take to AND RESPONSIBILITIES WHEN YOU MOVE
collect the charges upon my freight
bill? OMB No. 2126–0025
(a) You must present a freight bill FURNISHED BY YOUR MOVER, AS REQUIRED BY
within 15 days (excluding Saturdays, FEDERAL LAW
Sundays, and Federal holidays) of the
date of delivery of a shipment at its AUTHORITY: 49 U.S.C. 13301, 13704, 13707, and
14104; 49 CFR 1.73.
destination.
(b) The credit period must be seven What Is Included in This Pamphlet?
days (including Saturdays, Sundays,
In this pamphlet, you will find a discussion
and Federal holidays). of each of these topics:
(c) You must provide in your tariffs Why Was I Given This Pamphlet?
the following four things: What Are the Most Important Points I
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(1) You must automatically extend Should Remember From This Pamphlet?
the credit period to a total of 30 cal- What If I Have More Questions?

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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
SUBPART A—GENERAL REQUIREMENTS SUBPART F—TRANSPORTATION OF MY
SHIPMENT
Who must follow the regulations?
What definitions are used in this Pamphlet? Must my mover transport the shipment in a
timely manner?
SUBPART B—BEFORE REQUESTING SERVICES What must my mover do if it is able to de-
FROM ANY MOVER liver my shipment more than 24 hours be-
What is my mover’s normal liability for loss fore I am able to accept delivery?
or damage when my mover accepts goods What must my mover do for me when I store
from me? household goods in transit?
What actions by me limit or reduce my mov-
er’s normal liability?
What are dangerous or hazardous materials SUBPART G—DELIVERY OF MY SHIPMENT
that may limit or reduce my mover’s nor-
mal liability? May my mover ask me to sign a delivery re-
May my mover have agents? ceipt releasing it from liability?
What items must be in my mover’s adver- What is the maximum collect-on-delivery
tisements? amount my mover may demand I pay at
How must my mover handle complaints and the time of delivery?
inquiries? If my shipment is transported on more than
Do I have the right to inspect my mover’s one vehicle, what charges may my mover
tariffs (schedules of charges) applicable to collect at delivery?
my move? If my shipment is partially or totally lost or
Must my mover have an arbitration pro- destroyed, what charges may my mover
gram? collect at delivery?
Must my mover inform me about my rights How must my mover calculate the charges
and responsibilities under Federal Law? applicable to the shipment as delivered?
What other information must my mover pro-
SUBPART H—COLLECTION OF CHARGES
vide to me?
How must my mover collect charges? Does this subpart apply to most shipments?
May my mover collect charges upon deliv- How must my mover present its freight or
ery? expense bill to me?
May my mover extend credit to me? If I forced my mover to relinquish a collect-
May my mover accept charge or credit cards on-delivery shipment before the payment
for my payments? of ALL charges, how must my mover col-
lect the balance?
SUBPART C—SERVICE OPTIONS PROVIDED What actions may my mover take to collect
What service options may my mover pro- from me the charges in its freight bill?
vide? Do I have a right to file a claim to recover
If my mover sells liability insurance cov- money for property my mover lost or dam-
erage, what must my mover do? aged?

SUBPART D—ESTIMATING CHARGES SUBPART I—RESOLVING DISPUTES WITH MY


MOVER
Must my mover estimate the transportation
and accessorial charges for my move? What may I do to resolve disputes with my
How must my mover estimate charges under mover?
the regulations?
What payment arrangements must my WHY WAS I GIVEN THIS PAMPHLET?
mover have in place to secure delivery of The Federal Motor Carrier Safety Admin-
my household goods shipment? istration’s (FMCSA) regulations protect con-
sumers on interstate moves and define the
SUBPART E—PICKUP OF MY SHIPMENT OF rights and responsibilities of consumers and
HOUSEHOLD GOODS household goods carriers.
Must my mover write up an order for serv- The household goods carrier (mover) gave
ice? you this booklet to provide information
Must my mover write up an inventory of the about your rights and responsibilities as an
shipment? individual shipper of household goods. Your
Must my mover write up a bill of lading? primary responsibility is to select a rep-
Should I reach an agreement with my mover utable household goods carrier, ensure that
about pickup and delivery times? you understand the terms and conditions of
Must my mover determine the weight of my the contract, and understand and pursue the
shipment? remedies that are available to you in case
How must my mover determine the weight of problems arise. You should talk to your
my shipment? mover if you have further questions. The
What must my mover do if I want to know mover will also furnish you with additional
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the actual weight or charges for my ship- written information describing its procedure
ment before delivery? for handling your questions and complaints.

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Pt. 375, App. A 49 CFR Ch. III (10–1–07 Edition)
The additional written information will in- sessed a fee to obtain this information. See
clude a telephone number you can call to ob- 49 CFR part 7 for the schedule of fees.
tain additional information about your 13. You should seek estimates from at least
move. three different movers. You should not dis-
close any information to the different mov-
WHAT ARE THE MOST IMPORTANT POINTS I ers about their competitors, as it may affect
SHOULD REMEMBER FROM THIS PAMPHLET? the accuracy of their estimates.
1. Movers must give written estimates.
WHAT IF I HAVE MORE QUESTIONS?
2. Movers may give binding estimates.
3. Non-binding estimates are not always If this pamphlet does not answer all of
accurate; actual charges may exceed the es- your questions about your move, do not hesi-
timate. tate to ask for additional information from
4. If your mover provides you (or someone your mover’s representative who handled the
representing you) with any partially com- arrangements for your move, the driver who
plete document for your signature, you transports your shipment, or the mover’s
should verify the document is as complete as main office.
possible before signing it. Make sure the doc-
ument contains all relevant shipping infor- SUBPART A—GENERAL REQUIREMENTS
mation, except the actual shipment weight The primary responsibility for your protec-
and any other information necessary to de- tion lies with you in selecting a reputable
termine the final charges for all services per- household goods carrier, ensuring you under-
formed. stand the terms and conditions of your con-
5. You may request from your mover the tract with your mover, and understanding
availability of guaranteed pickup and deliv- and pursuing the remedies that are available
ery dates. to you in case problems arise.
6. Be sure you understand the mover’s re-
sponsibility for loss or damage, and request WHO MUST FOLLOW THE REGULATIONS?
an explanation of the difference between
The regulations inform motor carriers en-
valuation and actual insurance.
gaged in the interstate transportation of
7. You have the right to be present each
household goods (household goods motor car-
time your shipment is weighed.
riers or movers) what standards they must
8. You may request a reweigh of your ship-
follow when offering services to you. You, an
ment.
9. If you agree to move under a non-binding individual shipper, are not directly subject
estimate, you should confirm with your to the regulations. However, your mover
mover—in writing—the method of payment may be required by the regulations to de-
at delivery as cash, certified check, cashier’s mand that you pay on time. The regulations
check, money order, or credit card. apply only to a mover that both transports
10. Movers must offer a dispute settlement your household goods by motor vehicle in
program as an alternative means of settling interstate commerce—that is, when you are
loss or damage claims. Ask your mover for moving from one State to another—and pro-
details. vides certain types of additional services.
11. You should ask the person you speak to The regulations do not apply when your
whether he or she works for the actual interstate move takes place within a single
mover or a household goods broker. A house- commercial zone. A commercial zone is
hold goods broker must not represent itself roughly equivalent to the local metropolitan
as a mover. The broker is responsible only area of a city or town. For example, a move
for arranging the transportation. It does not between Brooklyn, NY, and Hackensack, NJ,
own the trucks used to transport the ship- would be considered within the New York
ment and is required to find an authorized City commercial zone and would not be sub-
mover to provide the transportation. You ject to these regulations. Commercial zones
should know that a household goods broker are defined in 49 CFR part 372.
generally has no authority to provide you
WHAT DEFINITIONS ARE USED IN THIS
with an estimate for the move, unless the
PAMPHLET?
broker has a written agreement with the
household goods carrier. If a household goods Accessorial (Additional) Services—These are
broker provides you with an estimate with- services such as packing, appliance serv-
out a written agreement with the carrier, icing, unpacking, or piano stair carries that
the estimate may not be binding and you you request be performed (or that are nec-
may instead be required to pay the actual essary because of landlord requirements or
charges assessed by the mover. A household other special circumstances). Charges for
goods broker is not responsible for loss or these services may be in addition to the line-
damage. haul charges.
12. You may request complaint informa- Advanced Charges—These are charges for
tion about movers from the Federal Motor services performed by someone other than
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Carrier Safety Administration under the the mover. A professional, craftsman, or


Freedom of Information Act. You may be as- other third party may perform these services

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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
at your request. The mover pays for these High-Value Article—These are items in-
services and adds the charges to your bill of cluded in a shipment valued at more than
lading charges. $100 per pound ($220 per kilogram).
Advertisement—This is any communication Household Goods, as used in connection
to the public in connection with an offer or with transportation, means the personal ef-
sale of any interstate household goods trans- fects or property used, or to be used, in a
portation service. This will include written dwelling, when part of the equipment or sup-
or electronic database listings of your mov- plies of the dwelling. Transportation of the
er’s name, address, and telephone number in household goods must be arranged and paid
an online database. This excludes listings of for by you or by another individual on your
your mover’s name, address, and telephone behalf. This may include items moving from
number in a telephone directory or similar a factory or store when you purchase them
publication. However, Yellow Pages adver- to use in your dwelling. You must request
tising is included within the definition. that these items be transported, and you (or
another individual on your behalf) must pay
Agent—A local moving company authorized
the transportation charges to the mover.
to act on behalf of a larger, national com- Household Goods Motor Carrier means a
pany. motor carrier that, in the ordinary course of
Appliance Service by Third Party—The prep- its business of providing transportation of
aration of major electrical appliances to household goods, offers some or all of the fol-
make them safe for shipment. Charges for lowing additional services: (1) Binding and
these services may be in addition to the line- non-binding estimates, (2) Inventory, (3) Pro-
haul charges. tective packing and unpacking of individual
Bill of Lading—The receipt for your goods items at personal residences, and (4) Loading
and the contract for their transportation. and unloading at personal residences. The
Carrier—The mover transporting your term does not include a motor carrier when
household goods. the motor carrier provides transportation of
Collect on Delivery (COD)—This means pay- household goods in containers or trailers
ment is required at the time of delivery at that are entirely loaded and unloaded by an
the destination residence (or warehouse). individual other than an employee or agent
Certified Scale—Any scale designed for of the motor carrier.
weighing motor vehicles, including trailers Individual Shipper—Any person who—
or semi-trailers not attached to a tractor, 1. Is the shipper, consignor, or consignee of
and certified by an authorized scale inspec- a household goods shipment;
tion and licensing authority. A certified 2. Is identified as the shipper, consignor, or
scale may also be a platform or warehouse consignee on the face of the bill of lading;
type scale that is properly inspected and cer- 3. Owns the goods being transported; and
tified. 4. Pays his or her own tariff transportation
charges.
Estimate, Binding—This is a written agree-
Impracticable Operations generally refer to
ment made in advance with your mover. It
services required when operating conditions
guarantees the total cost of the move based
make it physically impossible for the motor
upon the quantities and services shown on
carrier to perform pickup or delivery with
the estimate.
its normally assigned road-haul equipment,
Estimate, Non-Binding—This is what your so that the carrier must use smaller equip-
mover believes the cost will be, based upon ment and/or additional labor to complete
the estimated weight of the shipment and pickup or delivery of the shipment. A mover
the accessorial services requested. A non- may require payment of additional charges for
binding estimate is not binding on the impracticable operations even if you do not re-
mover. The final charges will be based upon quest these services. The specific services
the actual weight of your shipment, the serv- considered to be impracticable operations by
ices provided, and the tariff provisions in ef- your mover are defined in your mover’s tar-
fect. iff.
Expedited Service—This is an agreement Inventory—The detailed descriptive list of
with the mover to perform transportation by your household goods showing the number
a set date in exchange for charges based and condition of each item.
upon a higher minimum weight. Line-Haul Charges—The charges for the ve-
Flight Charge—A charge for carrying items hicle transportation portion of your move.
up or down flights of stairs. Charges for These charges, if separately stated, apply in
these services may be in addition to the line- addition to the accessorial service charges.
haul charges. Long Carry—A charge for carrying articles
Guaranteed Pickup and Delivery Service—An excessive distances between the mover’s ve-
additional level of service featuring guaran- hicle and your residence. Charges for these
teed dates of service. Your mover will pro- services may be in addition to the line-haul
vide reimbursement to you for delays. This
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charges.
premium service is often subject to min- May—An option. You or your mover may
imum weight requirements. do something, but it is not a requirement.

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Pt. 375, App. A 49 CFR Ch. III (10–1–07 Edition)
Mover—A household goods motor carrier charges, handling charges, and storage
and its household goods agents. charges.
Must—A legal obligation. You or your Surface Transportation Board—An agency
mover must do something. within the U.S. Department of Transpor-
Order for Service—The document author- tation that regulates household goods car-
izing the mover to transport your household rier tariffs, among other responsibilities.
goods. The Surface Transportation Board’s address
Order (Bill of Lading) Number—The number is 395 E Street, SW., Washington, DC 20423–
used to identify and track your shipment. 0001. Tele. 202–245–0245.
Peak Season Rates—Higher line-haul Tariff—An issuance (in whole or in part)
charges applicable during the summer containing rates, rules, regulations, classi-
months. fications, or other provisions. The Surface
Pickup and Delivery Charges—Separate Transportation Board requires that a tariff
transportation charges applicable to trans- contain three specific items. First, an accu-
porting your shipment between the storage- rate description of the services the mover of-
in-transit warehouse and your residence. fers to the public. Second, the specific appli-
cable rates (or the basis for calculating the
Reasonable Dispatch—The performance of
specific applicable rates) and service terms
transportation on the dates, or during the
for services offered to the public. Third, the
period of time, agreed upon by you and your
mover’s tariff must be arranged in a way
mover and shown on the Order for Service/
that allows you to determine the exact
Bill of Lading. For example, if your mover
rate(s) and service terms applicable to your
deliberately withholds any shipment from
shipment.
delivery after you offer to pay the binding Valuation—The degree of worth of the ship-
estimate or up to 110 percent of a non-bind- ment. The valuation charge compensates the
ing estimate, plus any charges for additional mover for assuming a greater degree of li-
services you requested that were not in- ability than is provided for in its base trans-
cluded in the estimate and/or permissible portation charges.
charges for impracticable operations, your Warehouse Handling—A charge may be ap-
mover has not transported the goods with plicable each time SIT service is provided.
reasonable dispatch. The term ’’reasonable Charges for these services may be in addition
dispatch‘‘ excludes transportation provided to the line-haul charges. This charge com-
under your mover’s tariff provisions requir- pensates the mover for the physical place-
ing guaranteed service dates. Your mover ment and removal of items within the ware-
will have the defense of force majeure, i.e., house.
that the contract cannot be performed owing We, Us, and Our—The Federal Motor Car-
to causes that are outside the control of the rier Safety Administration (FMCSA).
parties and could not be avoided by exercise You and Your—You are an individual ship-
of due care. per of household goods. You are a consignor
Should—A recommendation. We rec- or consignee of a household goods shipment
ommend you or your mover do something, and your mover identifies you as such in the
but it is not a requirement. bill of lading contract. You own the goods
Shuttle Service—The use of a smaller vehi- being transported and pay the transpor-
cle to provide service to residences not ac- tation charges to the mover.
cessible to the mover’s normal line-haul ve- Where may other terms used in this pamphlet
hicles. be defined? You may find other terms used in
Storage-In-Transit (SIT)—The temporary this pamphlet defined in 49 U.S.C. 13102. The
warehouse storage of your shipment pending statute controls the definitions in this pam-
further transportation, with or without noti- phlet. If terms are used in this pamphlet and
fication to you. If you (or someone rep- the terms are defined neither here nor in 49
resenting you) cannot accept delivery on the U.S.C. 13102, the terms will have the ordi-
agreed-upon date or within the agreed-upon nary practical meaning of such terms.
time period (for example, because your home
is not quite ready to occupy), your mover SUBPART B—BEFORE REQUESTING SERVICES
may place your shipment into SIT without FROM ANY MOVER
notifying you. In those circumstances, you
WHAT IS MY MOVER’S NORMAL LIABILITY FOR
will be responsible for the added charges for
LOSS OR DAMAGE WHEN MY MOVER ACCEPTS
SIT service, as well as the warehouse han-
GOODS FROM ME?
dling and final delivery charges. However,
your mover also may place your shipment In general, your mover is legally liable for
into SIT if your mover was able to make de- loss or damage that occurs during perform-
livery before the agreed-upon date (or before ance of any transportation of household
the first day of the agreed-upon delivery pe- goods and of all related services identified on
riod) but you did not concur with early deliv- your mover’s lawful bill of lading.
ery. In those circumstances, your mover Your mover is liable for loss of, or damage
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must notify you immediately of the SIT, and to, any household goods to the extent pro-
your mover is fully responsible for redelivery vided in the current Surface Transportation

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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
Board’s Released Rates Order. You may ob- (2) RELEASED VALUE of 60 Cents Per Pound
tain a copy of the current Released Rates Per Article. This is the most economical pro-
Order by contacting the Surface Transpor- tection option available; however, this no-
tation Board at the address provided under cost option provides only minimal protec-
the definition of the Surface Transportation tion. Under this option, the mover assumes
Board. The rate may be increased annually liability for no more than 60 cents per pound
by your mover based on the U.S. Department per article. Loss or damage claims are set-
of Commerce’s Cost of Living Adjustment. tled based on the weight of the article multi-
Your mover may have additional liability if plied by 60 cents per pound. For example, if
your mover sells liability insurance to you. a 10-pound stereo component valued at $1,000
All moving companies are required to as- were lost or destroyed, the mover would be
sume liability for the value of the goods liable for no more than $6.00 (10 pounds × 60
transported. However, there are different cents per pound). Obviously, you should
levels of liability, and you should be aware of think carefully before agreeing to such an
the amount of protection provided and the arrangement. There is no extra charge for
charges for each option. this minimal protection, but you must sign a
Basically, most movers offer two different specific statement on the bill of lading
levels of liability under the terms of their agreeing to it. If you do not select this Alter-
tariffs and the Surface Transportation native Level of Liability, your shipment will
Board’s Released Rates Orders. These orders be transported at the Full (Replacement)
govern the moving industry. The levels of li- Value level of liability and you will be as-
ability are as follows: sessed the applicable valuation charge.
(1) FULL VALUE PROTECTION (FVP). This These two levels of liability are not insur-
is the most comprehensive option available ance agreements governed by State insur-
for the protection of your goods. Unless you ance laws but instead are contractual tariff
waive full-value protection in writing and levels of liability authorized under Released
agree to Release Value Protection as de- Rates Orders of the Surface Transportation
scribed below, your shipment will be trans- Board of the U.S. Department of Transpor-
ported under your mover’s full (replacement) tation.
value level of liability. If any article is lost, In addition to these options, some movers
destroyed, or damaged while in your mover’s may also offer to sell, or procure for you,
custody, your mover will, at its option, ei- separate liability insurance from a third-
ther: repair the article to the extent nec- party insurance company when you release
essary to restore it to the same condition as your shipment for transportation at the min-
when it was received by your mover, or pay imum released value (60 cents per pound
you for the cost of such repairs; replace the [$1.32 per kilogram] per article). This is not
article with an article of like kind; or pay valuation coverage governed by Federal law
you for the cost of a replacement article at but optional insurance regulated under State
the current market replacement value, re- law. If you purchase this separate coverage
gardless of the age of the lost or damaged ar- and your mover is responsible for loss or
ticle. Your mover will charge you for this damage, the mover is liable only for an
level of protection, or you may select the Al- amount not exceeding 60 cents per pound
ternative Level of Liability described below. ($1.32 per kilogram) per article, and the bal-
The cost for FVP is based on the value that ance of the loss is recoverable from the in-
you place on your shipment. For example, surance company up to the amount of insur-
the valuation charge for a shipment valued ance purchased. The mover’s representative
at $25,000 would be about $250.00. However, can advise you of the availability of such li-
the exact cost for full-value protection may ability insurance, and the cost.
vary by mover and may be further subject to If you purchase liability insurance from or
various deductible levels of liability that through your mover, the mover is required
could reduce your cost. Ask your mover for to issue a policy or other written record of
the details and cost of its specific plan. the purchase and to provide you with a copy
Under the FVP level of liability, movers of the policy or other document at the time
are permitted to limit their liability for loss of purchase. If the mover fails to comply
of, or damage to, articles of extraordinary with this requirement, the mover becomes
value, unless you specifically list on the fully liable for any claim for loss or damage
shipping documents such articles for which attributed to its negligence.
you want liability coverage. An article of ex-
WHAT ACTIONS BY ME LIMIT OR REDUCE MY
traordinary value is any item whose value
MOVER’S NORMAL LIABILITY?
exceeds $100 per pound (for example, jewelry,
silverware, china, furs, antiques, oriental Your actions may limit or reduce your
rugs and computer software). Ask your mover’s normal liability under the following
mover for a complete explanation of this three circumstances:
limitation before your move. It is your re- (1) You include perishable, dangerous, or
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sponsibility to study this provision carefully hazardous materials in your household goods
and to make the necessary declaration. without your mover’s knowledge.

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Pt. 375, App. A 49 CFR Ch. III (10–1–07 Edition)
(2) You choose the alternative level of li- services (including any accessorial services
ability (60 cents per pound per article) but incidental to or part of interstate transpor-
ship household goods valued at more than 60 tation). Your mover must require each of its
cents per pound ($1.32 per kilogram) per arti- agents to include the same information in its
cle. advertisements. The information must in-
(3) You fail to notify your mover in writing clude the following two pieces of information
of articles valued at more than $100 per about your mover:
pound ($220 per kilogram). (If you do notify (1) Name or trade name of the mover under
your mover, you will be entitled to full re- whose U.S. DOT number the advertised serv-
covery up to the declared value of the article ice will originate.
or articles, not to exceed the declared value (2) U.S. DOT number assigned by FMCSA
of the entire shipment.) authorizing your mover to operate. Your
mover must display the information as: U.S.
WHAT ARE DANGEROUS OR HAZARDOUS MATE- DOT No. (assigned number).
RIALS THAT MAY LIMIT OR REDUCE MY MOV- You should compare the name or trade
ER’S NORMAL LIABILITY? name of the mover and its U.S. DOT number
Federal law forbids you to ship hazardous to the name and U.S. DOT number on the
materials in your household goods boxes or sides of the truck(s) that arrive at your resi-
luggage without informing your mover. A dence. The names and numbers should be
violation can result in 5 years’ imprisonment identical. If the names and numbers are not
and penalties of $250,000 or more (49 U.S.C. identical, you should ask your mover imme-
5124). You could also lose or damage your diately why they are not. You should not
household goods by fire, explosion, or con- allow the mover to load your household
tamination. goods on its truck(s) until you obtain a sat-
If you offer hazardous materials to your isfactory response from the mover’s local
mover, you are considered a hazardous mate- agent. The discrepancies may warn of prob-
rials shipper and must comply with the haz- lems you will have later in your business
ardous materials requirements in 49 CFR dealings with this mover.
parts 171, 172, and 173, including but not lim- HOW MUST MY MOVER HANDLE COMPLAINTS
ited to package labeling and marking, ship- AND INQUIRIES?
ping papers, and emergency response infor-
mation. Your mover must comply with 49 All movers are expected to respond
CFR parts 171, 172, 173, and 177 as a hazardous promptly to complaints or inquiries from
materials carrier. you, the customer. Should you have a com-
Hazardous materials include explosives, plaint or question about your move, you
compressed gases, flammable liquids and sol- should first attempt to obtain a satisfactory
ids, oxidizers, poisons, corrosives, and radio- response from the mover’s local agent, the
active materials. Examples: Nail polish re- sales representative who handled the ar-
mover, paints, paint thinners, lighter fluid, rangements for your move, or the driver as-
gasoline, fireworks, oxygen bottles, propane signed to your shipment.
cylinders, automotive repair and mainte- If for any reason you are unable to obtain
nance chemicals, and radio-pharmaceuticals. a satisfactory response from one of these
There are special exceptions for small persons, you should then contact the mover’s
quantities (up to 70 ounces total) of medic- principal office. When you make such a call,
inal and toilet articles carried in your house- be sure to have available your copies of all
hold goods and certain smoking materials documents relating to your move. Particu-
carried on your person. For further informa- larly important is the number assigned to your
tion, contact your mover. shipment by your mover.
Interstate movers are also required to offer
MAY MY MOVER HAVE AGENTS? neutral arbitration as a means of resolving
consumer disputes involving loss of or dam-
Yes, your mover may have agents. If your age to your household goods shipment and
mover has agents, your mover must have disputes regarding charges that your mover
written agreements with its prime agents. billed in addition to those collected at deliv-
Your mover and its retained prime agent ery. Your mover is required to provide you
must sign their agreements. Copies of your with information regarding its arbitration
mover’s prime agent agreements must be in program. You have the right to pursue court
your mover’s files for a period of at least 24 action under 49 U.S.C. 14706 to seek judicial
months following the date of termination of redress directly rather than participate in
each agreement. your mover’s arbitration program.
All interstate moving companies are re-
WHAT ITEMS MUST BE IN MY MOVER’S
quired to maintain a complaint and inquiry
ADVERTISEMENTS?
procedure to assist their customers. At the
Your mover must publish and use only time you make the arrangements for your
truthful, straightforward, and honest adver- move, you should ask the mover’s represent-
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tisements. Your mover must include certain ative for a description of the mover’s proce-
information in all advertisements for all dure, the telephone number to be used to

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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
contact the mover, and whether the mover special advantage because you live or work
will pay for such telephone calls. Your mov- in a place distant from the mover’s principal
er’s procedure must include the following or other place of business.
four things: (2) Before your household goods are ten-
(1) A communications system allowing you dered for transport, your mover must pro-
to communicate with your mover’s principal vide notice to you of the availability of neu-
place of business by telephone. tral arbitration, including the following
(2) A telephone number. three things:
(3) A clear and concise statement about (a) A summary of the arbitration proce-
who must pay for complaint and inquiry dure.
telephone calls. (b) Any applicable costs.
(4) A written or electronic record system (c) A disclosure of the legal effects of elect-
for recording all inquiries and complaints re- ing to use arbitration.
ceived from you by any means of commu- (3) Upon your request, your mover must
nication. provide information and forms it considers
Your mover must give you a clear and con- necessary for initiating an action to resolve
cise written description of its procedure. You a dispute under arbitration.
may want to be certain that the system is in (4) Each person authorized to arbitrate
place. must be independent of the parties to the
dispute and capable of resolving such dis-
DO I HAVE THE RIGHT TO INSPECT MY MOVER’S putes fairly and expeditiously. Your mover
TARIFFS (SCHEDULES OF CHARGES) APPLICA- must ensure the arbitrator is authorized and
BLE TO MY MOVE? able to obtain from you or your mover any
material or relevant information to carry
Federal law requires your mover to advise
out a fair and expeditious decision-making
you of your right to inspect your mover’s
process.
tariffs (its schedules of rates or charges) gov- (5) You must not be required to pay more
erning your shipment. Movers’ tariffs are than one-half of the arbitration’s cost. The
made a part of the contract of carriage (bill arbitrator may determine the percentage of
of lading) between you and the mover. You payment of the costs for each party in the
may inspect the tariff at the mover’s facil- arbitration decision, but must not make you
ity, or, upon request, the mover will furnish pay more than half.
you a free copy of any tariff provision con- (6) Your mover must not require you to
taining the mover’s rates, rules, or charges agree to use arbitration before a dispute
governing your shipment. arises.
Tariffs may include provisions limiting the (7) You and your mover will be bound by
mover’s liability. This is generally described arbitration for claims of $10,000 or less if you
in a section on declaring value on the bill of request arbitration.
lading. A second tariff provision may set the (8) You and your mover will be bound by
periods for filing claims. This is generally arbitration for claims of more than $10,000
described in Section 6 on the reverse side of only if you request arbitration and your
a bill of lading. A third tariff provision may mover agrees to it.
reserve your mover’s right to assess addi- (9) If you and your mover both agree, the
tional charges for additional services per- arbitrator may provide for an oral presen-
formed. For non-binding estimates, another tation of a dispute by a party or representa-
tariff provision may base charges upon the tive of a party.
exact weight of the goods transported. Your (10) The arbitrator must render a decision
mover’s tariff may contain other provisions within 60 days of receipt of written notifica-
that apply to your move. Ask your mover tion of the dispute, and a decision by an arbi-
what they might be, and request a copy. trator may include any remedies appropriate
under the circumstances.
MUST MY MOVER HAVE AN ARBITRATION (11) The 60-day period may be extended for
PROGRAM? a reasonable period if either you or your
Your mover must have an arbitration pro- mover fails to provide information in a time-
gram for your use in resolving disputes con- ly manner. Your mover must produce and
cerning loss of or damage to your household distribute a concise, easy-to-read, accurate
goods and disputes regarding charges that summary of its arbitration program.
were billed to you in addition to those col-
MUST MY MOVER INFORM ME ABOUT MY
lected at delivery of your shipment. You
RIGHTS AND RESPONSIBILITIES UNDER FED-
have the right not to participate in the arbi-
ERAL LAW?
tration program. You may pursue court ac-
tion under 49 U.S.C. 14706 to seek judicial Yes, your mover must inform you about
remedies directly. Your mover must estab- your rights and responsibilities under Fed-
lish and maintain an arbitration program eral law. Your mover must produce and dis-
with the following 11 minimum elements: tribute this document. It should follow the
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(1) The arbitration program offered to you general order and contain the text of appen-
must prevent your mover from having any dix A to 49 CFR part 375.

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Pt. 375, App. A 49 CFR Ch. III (10–1–07 Edition)
WHAT OTHER INFORMATION MUST MY MOVER (16) Transfer points where shipments
PROVIDE ME? moved.
(17) Address where you must pay or address
At the time your mover provides a written
of bill issuer’s principal place of business.
estimate, it must provide you with a copy of
Your mover must present its freight or ex-
the U.S. Department of Transportation pub-
pense bill to you within 15 days of the date
lication FMCSA–ESA–03–005 entitled ‘‘Ready
of delivery of a shipment at its destination.
to Move?’’ (or its successor publication). Be-
The computation of time excludes Satur-
fore your mover executes an order for service
days, Sundays, and Federal holidays. If your
for a shipment of household goods, your
mover lacks sufficient information to com-
mover must furnish you with the following
pute its charges, your mover must present
four documents:
its freight bill for payment within 15 days of
1. The contents of Appendix A, ’’Your
the date when sufficient information does
Rights and Responsibilities When You
become available.
Move’’—this booklet.
2. A concise, easy-to-read, and accurate MAY MY MOVER COLLECT CHARGES UPON
summary of your mover’s arbitration pro- DELIVERY?
gram.
3. A notice of availability of the applicable Yes. Your mover must specify the form of
sections of your mover’s tariff for the esti- payment acceptable at delivery when the
mate of charges, including an explanation mover prepares an estimate and order for
that you may examine the tariff sections or service. The mover and its agents must
have copies sent to you upon request. honor the form of payment at delivery, ex-
4. A concise, easy-to-read, accurate sum- cept when you mutually agree to a change in
mary of your mover’s customer complaint writing. The mover must also specify the
and inquiry handling procedures. Included in same form of payment when it prepares your
this summary must be the following two bill of lading, unless you agree to a change.
items: See also ‘‘May my mover accept charge or
(a) The main telephone number you may credit cards for my payments?’’
use to communicate with your mover. You must be prepared to pay 10 percent
(b) A clear and concise statement con- more than the estimated amount, if your
cerning who must pay for telephone calls. goods are moving under a non-binding esti-
Your mover may, at its discretion, provide mate. Every collect-on-delivery shipper must
additional information to you. have available 110 percent of the estimate at
the time of delivery. In addition, your mover
HOW MUST MY MOVER COLLECT CHARGES? may also collect at the time of delivery the
Your mover must issue you an honest, charges for any additional services you re-
truthful freight or expense bill for each ship- quested after the contract with your mover
ment transported. Your mover’s freight or was executed (charges therefore not included
expense bill must contain the following 17 in the estimate) and any charges for imprac-
items: ticable operations needed to accomplish de-
(1) Name of the consignor. livery, as defined by the carrier’s tariff.
(2) Name of the consignees. Charges collected at the time of delivery for
(3) Date of the shipment. impracticable operations must not exceed 15
(4) Origin point. percent of all other charges due at the time
(5) Destination points. of delivery. You must pay all remaining
(6) Number of packages. charges for impracticable operations within
(7) Description of the freight. 30 days after you receive the mover’s freight
(8) Weight of the freight (if your shipment bill.
is moved under a non-binding estimate).
MAY MY MOVER EXTEND CREDIT TO ME?
(9) Exact rate(s) assessed.
(10) Disclosure of the actual rates, charges, Extending credit to you is not the same as
and allowances for the transportation serv- accepting your charge or credit card(s) as
ice, when your mover electronically presents payment. Your mover may extend credit to
or transmits freight or expense bills to you. you in the amount of the tariff charges. If
These rates must be in accordance with the your mover extends credit to you, your
mover’s applicable tariff. mover becomes like a bank offering you a
(11) An indication of whether adjustments line of credit, whose size and interest rate
may apply to the bill. are determined by your ability to pay its
(12) Total charges due and acceptable tariff charges within the credit period. Your
methods of payment. mover must ensure you will pay its tariff
(13) The nature and amount of any special charges within the credit period. Your mover
service charges. may relinquish possession of freight before
(14) The points where special services were you pay its tariff charges, at its discretion.
The credit period must begin on the day
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rendered.
(15) Route of movement and name of each following presentation of your mover’s
mover participating in the transportation. freight bill to you. Under Federal regulation,

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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
the standard credit period is 7 days, exclud- cial service, you should have a clear under-
ing Saturdays, Sundays, and Federal holi- standing with your mover of what the addi-
days. Your mover must also extend the cred- tional cost will be. You should always con-
it period to a total of 30 calendar days if the sider whether other movers might provide
freight bill is not paid within the 7-day pe- the services you need without requiring you
riod. A service charge equal to one percent of to pay the additional charges.
the amount of the freight bill, subject to a One service option is a space reservation. If
$20 minimum, will be assessed for this exten- you agree to have your shipment transported
sion and for each additional 30-day period under a space reservation agreement, you
the charges go unpaid. will pay for a minimum number of cubic feet
Your failure to pay within the credit pe- of space in the moving van regardless of how
riod will require your mover to determine much space in the van your shipment actu-
whether you will comply with the Federal ally occupies.
household goods transportation credit regu- A second option is expedited service. This
lations in good faith in the future before ex- aids you if you must have your shipments
tending credit again. transported on or between specific dates
when the mover could not ordinarily agree
MAY MY MOVER ACCEPT CHARGE OR CREDIT
to do so in its normal operations.
CARDS FOR MY PAYMENTS?
A third customary service option is exclu-
Your mover may allow you to use a charge sive use of a vehicle. If for any reason you
or credit card for payment of the freight desire or require that your shipment be
charges. Your mover may accept charge or moved by itself on the mover’s truck or
credit cards whenever you ship with it under trailer, most movers will provide such serv-
an agreement and tariff requiring payment ice.
by cash or cash equivalents. Cash equiva- Another service option is guaranteed service
lents are a certified check, money order, or on or between agreed dates. You enter into an
cashier’s check (a check that a financial in- agreement with the mover where the mover
stitution—bank, credit union, savings and provides for your shipment to be picked up,
loan—draws upon itself and that is signed by transported to destination, and delivered on
an officer of the financial institution). specific guaranteed dates. If the mover fails
If your mover allows you to pay for a to provide the service as agreed, you are en-
freight or expense bill by charge or credit titled to be compensated at a predetermined
card, your mover deems such a payment to amount or a daily rate (per diem) regardless
be equivalent to payment by cash, certified of the expense you might actually have in-
check, or cashier’s check. It must note in curred as a result of the mover’s failure to
writing on the order for service and the bill perform.
of lading whether you may pay for the trans- Before requesting or agreeing to any of
portation and related services using a charge these price and service options, be sure to
or credit card. You should ask your mover at ask the mover’s representatives about the
the time the estimate is written whether it final costs you will pay.
will accept charge or credit cards at deliv-
ery. Transport of Shipments on Two or More
The mover must specify what charge or Vehicles
credit cards it will accept, such as American
ExpressTM, DiscoverTM, MasterCard TM, or Although all movers try to move each
VisaTM. If your mover agrees to accept pay- shipment on one truck, it becomes nec-
ment by charge or credit card, you must ar- essary, at times, to divide a shipment among
range with your mover for the delivery only two or more trucks. This may occur if your
at a time when your mover can obtain au- mover has underestimated the cubic feet
thorization for your credit card transaction. (meters) of space required for your shipment
If you cause a charge or credit card issuer to and it will not all fit on the first truck. Your
reverse a transaction, your mover may con- mover will pick up the remainder, or ‘‘leave
sider your action tantamount to forcing behind,’’ on a second truck at a later time,
your mover to provide an involuntary exten- and this part of your shipment may arrive at
sion of its credit. the destination later than the first truck.
When this occurs, your transportation
SUBPART C—SERVICE OPTIONS PROVIDED charges will be determined as if the entire
shipment had moved on one truck.
WHAT SERVICE OPTIONS MAY MY MOVER If it is important for you to avoid this in-
PROVIDE? convenience of a ‘‘leave behind,’’ be sure
Your mover may provide any service op- your estimate includes an accurate calcula-
tions it chooses. It is customary for movers tion of the cubic feet (meters) required for
to offer several price and service options. your shipment. Ask your estimator to use a
The total cost of your move may increase ‘‘Table of Measurements’’ form in making
if you want additional or special services. this calculation. Consider asking for a bind-
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Before you agree to have your shipment ing estimate. A binding estimate is more
moved under a bill of lading providing spe- likely to be conservative with regard to

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Pt. 375, App. A 49 CFR Ch. III (10–1–07 Edition)
cubic feet (meters) than a non-binding esti- If the location you are moving from is
mate. If the mover offers space reservation within a 50-mile radius of your mover’s (or
service, consider purchasing this service for its agent’s) place of business, the estimate
the necessary amount of space plus some that your mover provides you must be based
margin for error. In any case, you would be on a physical survey of your goods. You have
prudent to ‘‘prioritize’’ your goods in ad- the right to waive the requirement for a
vance of the move so the driver will load the physical survey if you choose, but your waiv-
more essential items on the first truck if er must be in the form of a written agree-
some are left behind. ment signed by you before your shipment is
loaded.
IF MY MOVER SELLS LIABILITY INSURANCE You should be aware that if you receive an
COVERAGE, WHAT MUST MY MOVER DO? estimate from a household goods broker, the
If your mover provides the service of sell- mover may not be required to accept the es-
timate. Be sure to obtain a written estimate
ing additional liability insurance, your
from a mover who tells you orally that it
mover must follow certain regulations.
will accept the broker’s estimate.
Your mover, its employees, or its agents
Your mover must specify the form of pay-
may sell, offer to sell, or procure additional
ment the mover and its delivering agent will
liability insurance coverage for you for loss
honor at delivery. Payment forms may in-
of or damage to your shipment if you release
clude but are not limited to cash, certified
the shipment for transportation at a value
check, money order, cashier’s check, a spe-
not exceeding 60 cents per pound ($1.32 per cific charge card such as American Ex-
kilogram) per article. pressTM, a specific credit card such as VisaTM,
Your mover may offer, sell, or procure any and your mover’s own credit.
type of insurance policy covering loss or Before loading your household goods, and
damage in excess of its specified liability. upon mutual agreement between you and
Your mover must issue you a policy or your mover, your mover may amend an esti-
other appropriate evidence of the insurance mate of charges. Your mover may not amend
you purchased. Your mover must provide a the estimate after loading the shipment.
copy of the policy or other appropriate evi- A binding estimate is a written agreement
dence to you at the time your mover sells or made in advance with your mover, indicating
procures the insurance. Your mover must you and the mover are bound by the charges.
issue policies written in plain English. It guarantees the total cost of the move
Your mover must clearly specify the na- based upon the quantities and services shown
ture and extent of coverage under the policy. on your mover’s estimate.
Your mover’s failure to issue you a policy, or A non-binding estimate is what your mover
other appropriate evidence of insurance you believes the total cost will be for the move,
purchased, will subject your mover to full li- based upon the estimated weight of the ship-
ability for any claims to recover loss or dam- ment and the accessorial services requested.
age attributed to it. A non-binding estimate is not binding on
Your mover’s tariff must provide for liabil- your mover. Your mover will base the final
ity insurance coverage. The tariff must also charges upon the actual weight of your ship-
provide for the base transportation charge, ment, the services provided, and its tariff
including its assumption of full liability for provisions in effect. You must be prepared to
the value of the shipment. This would offer pay 10 percent more than the estimated
you a degree of protection in the event your amount at delivery.
mover fails to issue you a policy or other ap- You must also be prepared to pay at deliv-
propriate evidence of insurance at the time ery the charges for any additional services
of purchase. you requested after the contract was exe-
cuted (charges therefore not included in the
SUBPART D—ESTIMATING CHARGES estimate) and any charges for impracticable
MUST MY MOVER ESTIMATE THE TRANSPOR- operations. Impracticable operations are de-
TATION AND ACCESSORIAL CHARGES FOR MY
fined in your mover’s tariff. You should ask
MOVE? to see the mover’s tariff to determine what
services constitute impracticable operations.
We require your mover to prepare a writ- Charges for impracticable operations due at
ten estimate on every shipment transported delivery must not exceed 15 percent of all
for you. You are entitled to a copy of the other charges due at delivery.
written estimate when your mover prepares
it. Your mover must provide you a written HOW MUST MY MOVER ESTIMATE CHARGES
estimate of all charges, including transpor- UNDER THE REGULATIONS?
tation, accessorial, and advance charges.
Binding Estimates
Your mover’s ‘‘rate quote’’ is not an esti-
mate. You and your mover must sign the es- Your mover may charge you for providing
timate of charges. Your mover must provide a binding estimate. The binding estimate
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you with a dated copy of the estimate of must clearly describe the shipment and all
charges at the time you sign the estimate. services provided.

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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
When you receive a binding estimate, you the original estimate as a non-binding esti-
cannot be required to pay any more than the mate signifies it has reaffirmed the original
estimated amount at delivery. If you have binding estimate. Your mover may not col-
requested the mover provide more services lect more than the amount of the original
than those included in the estimate, your binding estimate, except as provided in the
mover will collect the charges for those serv- next two paragraphs.
ices when your shipment is delivered. How- (6) If you request additional services after
ever, charges for impracticable operations the bill of lading is executed, your mover
due at delivery must not exceed 15 percent of will collect the charges for these additional
all other charges due at delivery. services when your shipment is delivered.
A binding estimate must be in writing, and (7) If your mover must perform impracti-
a copy must be made available to you before cable operations, as defined in its tariff, to
you move. accomplish the delivery of your shipment,
If you agree to a binding estimate, you are your mover will collect the charges for these
responsible for paying the charges due by services when your shipment is delivered.
cash, certified check, money order, or cash- However, charges for impracticable oper-
ier’s check. The charges are due your mover ations collected at delivery must not exceed
at the time of delivery unless your mover 15 percent of all other charges due at deliv-
agrees, before you move, to extend credit or ery. Any remaining impracticable operations
to accept payment by a specific charge card charges must be paid within 30 days after
such as American ExpressTM or a specific you receive the mover’s freight bill.
credit card such as VisaTM. If you are unable (8) Failure of your mover to relinquish pos-
to pay at the time the shipment is delivered, session of a shipment upon your offer to pay
the mover may place your shipment in stor- the binding estimate amount plus the cost of
age at your expense until you pay the any additional services you requested after
charges. the bill of lading was executed and any
Other requirements of binding estimates charges for impracticable operations (not to
include the following eight elements: exceed 15 percent of all other charges due at
(1) Your mover must retain a copy of each delivery) constitutes your mover’s failure to
binding estimate as an attachment to the transport a shipment with ‘‘reasonable dis-
bill of lading. patch’’ and subjects your mover to cargo
(2) Your mover must clearly indicate upon delay claims pursuant to 49 CFR part 370.
each binding estimate’s face that the esti-
mate is binding upon you and your mover. Non-Binding Estimates
Each binding estimate must also clearly in- Your mover is not permitted to charge you
dicate on its face that the charges shown are for giving a non-binding estimate.
the charges to be assessed for only those A non-binding estimate is not a bid or con-
services specifically identified in the esti- tract. Your mover provides it to you to give
mate. you a general idea of the cost of the move,
(3) Your mover must clearly describe bind- but it does not bind your mover to the esti-
ing estimate shipments and all services to be mated cost. You should expect the final cost
provided. to be more than the estimate. The actual
(4) If, before loading your shipment, your cost will be in accordance with your mover’s
mover believes you are tendering additional tariffs. Federal law requires your mover to
household goods or are requiring additional collect the charges shown in its tariffs, re-
services not identified in the binding esti- gardless of what your mover writes in its
mate, and you and your mover cannot reach non-binding estimates. That is why it is im-
an agreement, your mover may refuse to portant to ask for copies of the applicable
service the shipment. If your mover agrees portions of the mover’s tariffs before decid-
to service the shipment, your mover must do ing on a mover. The charges contained in
one of the following three things: movers’ tariffs are essentially the same for
(a) Reaffirm the binding estimate. shipments of equal weight moving equal dis-
(b) Negotiate a revised written binding es- tances. Even if you obtain different non-
timate listing the additional household binding estimates from different movers, you
goods or services. must pay only the amount specified in your
(c) Add an attachment to the contract, in mover’s tariff. Therefore, a non-binding esti-
writing, stating you both will consider the mate may differ substantially from the
original binding estimate as a non-binding amount that you ultimately will pay.
estimate. Before you agree to this option, You must be prepared to pay 10 percent
read the information about non-binding esti- more than the estimated amount at the time
mates in the next section of this pamphlet. of delivery. Every collect-on-delivery shipper
Accepting a non-binding estimate may seri- must have available 110 percent of the esti-
ously affect how much you may pay for the mate at the time of delivery. If you order ad-
entire move. ditional services from your mover after the
(5) Once your mover loads your shipment, mover issues the bill of lading, the mover
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your mover’s failure to execute a new bind- will collect the charges for those additional
ing estimate or to agree with you to treat services when your shipment is delivered.

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Pt. 375, App. A 49 CFR Ch. III (10–1–07 Edition)
Non-binding estimates must be in writing services when your shipment is delivered.
and clearly describe the shipment and all However, charges for impracticable oper-
services provided. Any time a mover pro- ations collected at delivery must not exceed
vides such an estimate, the amount of the 15 percent of all other charges due at deliv-
charges estimated must be on the order for ery. Any remaining impracticable operations
service and bill of lading related to your charges must be paid within 30 days after
shipment. When you are given a non-binding you receive the mover’s freight bill.
estimate, do not sign or accept the order for If your mover furnishes a non-binding esti-
service or bill of lading unless the mover en- mate, your mover must enter the estimated
ters the amount estimated on each form it charges upon the order for service and the
prepares. bill of lading. Your mover must retain a
Other requirements of non-binding esti- record of all estimates of charges for each
mates include the following 10 elements: move performed for at least one year from
(1) Your mover must provide reasonably the date your mover made the estimate.
accurate non-binding estimates based upon
the estimated weight of the shipment and WHAT PAYMENT ARRANGEMENTS MUST MY
services required. MOVER HAVE IN PLACE TO SECURE DELIV-
(2) Your mover must explain to you that ERY OF MY HOUSEHOLD GOODS SHIPMENT?
all charges on shipments moved under non- If your total bill is 110 percent or less of
binding estimates will be those appearing in the non-binding estimate, the mover can re-
your mover’s tariffs applicable to the trans- quire payment in full upon delivery. If the
portation. If your mover provides a non-bind- bill exceeds 110 percent of the non-binding
ing estimate of approximate costs, your estimate, your mover must relinquish pos-
mover is not bound by such an estimate. session of the shipment at the time of deliv-
(3) Your mover must furnish non-binding ery upon payment of 110 percent of the esti-
estimates without charge and in writing to mated amount, and defer billing for the re-
you. maining charges for at least 30 days.
(4) Your mover must retain a copy of each There are two exceptions to this require-
non-binding estimate as an attachment to ment. Your mover may demand at the time
the bill of lading. of delivery payment of the charges for any
(5) Your mover must clearly indicate on additional services you requested after the
the face of a non-binding estimate that the bill of lading was executed (charges therefore
estimate is not binding upon your mover and not included in the estimate). Your mover
the charges shown are the approximate may also require you to pay charges for im-
charges to be assessed for the services identi- practicable operations at the time of deliv-
fied in the estimate. ery, provided these do not exceed 15 percent
(6) Your mover must clearly describe on of all other charges due at delivery. Imprac-
the face of a non-binding estimate the entire ticable operations charges that exceed 15
shipment and all services to be provided. percent of all other charges due at delivery
(7) If, before loading your shipment, your are due within 30 days after you receive the
mover believes you are tendering additional mover’s freight bill. Your mover should have
household goods or requiring additional serv- specified its acceptable form of payment on
ices not identified in the non-binding esti- the estimate, order for service, and bill of
mate, and you and your mover cannot reach lading.
an agreement, your mover may refuse to Your mover’s failure to relinquish posses-
service the shipment. If your mover agrees sion of a shipment after you offer to pay 110
to service the shipment, your mover must do percent of the estimated charges, plus the
one of the following two things: charges for any additional services you re-
(a) Reaffirm the non-binding estimate. quested after the bill of lading was executed
(b) Negotiate a revised written non-binding (charges therefore not included in the esti-
estimate listing the additional household mate) and any charges for impracticable op-
goods or services. erations (not to exceed 15 percent of all other
(8) Once your mover loads your shipment, charges due at delivery), constitutes its fail-
your mover’s failure to execute a new esti- ure to transport the shipment with ‘‘reason-
mate signifies it has reaffirmed the original able dispatch’’ and subjects your mover to
non-binding estimate. Your mover may not your cargo delay claims under 49 CFR part
collect more than 110 percent of the amount 370.
of this estimate at destination for the serv-
ices and quantities shown on the estimate. SUBPART E—PICKUP OF MY SHIPMENT OF
(9) If you request additional services after HOUSEHOLD GOODS
the bill of lading is executed, your mover
MUST MY MOVER WRITE UP AN ORDER FOR
will collect the charges for these additional
SERVICE?
services when your shipment is delivered.
(10) If your mover must perform impracti- We require your mover to prepare an order
cable operations, as defined in its tariff, to
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for service on every shipment transported for


accomplish the delivery of your shipment, you. You are entitled to a copy of the order
your mover will collect the charges for these for service when your mover prepares it.

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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
The order for service is not a contract. (13) For non-binding estimated charges,
Should you cancel or delay your move or de- your mover’s reasonably accurate estimate
cide not to use the mover, you should of the amount of the charges, the method of
promptly cancel the order. payment of total charges, and the maximum
If you or your mover change any agreed- amount (110 percent of the non-binding esti-
upon dates for pickup or delivery of your mate) your mover will demand at the time of
shipment, or agree to any change in the non- delivery for you to obtain possession of the
binding estimate, your mover may prepare a shipment.
written change to the order for service. The (14) For binding estimated charges, the
written change must be attached to the amount of charges your mover will demand
order for service. based upon the binding estimate and the
The order for service must contain the fol- terms of payment under the estimate.
lowing 15 elements: (15) An indication of whether you request
(1) Your mover’s name and address and the notification of the charges before delivery.
U.S. DOT number assigned to your mover. You must provide your mover with the tele-
(2) Your name, address and, if available, phone number(s) or address(es) where your
telephone number(s). mover will transmit such communications.
(3) The name, address, and telephone num- You and your mover must sign the order
ber of the delivering mover’s office or agent for service. Your mover must provide a dated
at or nearest to the destination of your ship- copy of the order for service to you at the
ment. time your mover signs the order. Your mover
must provide you the opportunity to rescind
(4) A telephone number where you may
the order for service without any penalty for
contact your mover or its designated agent.
a 3-day period after you sign the order for
(5) One of the following three dates and
service, if you scheduled the shipment to be
times:
loaded more than 3 days after you sign the
(i) The agreed-upon pickup date and agreed
order.
delivery date of your move. Your mover should provide you with docu-
(ii) The agreed-upon period(s) of the entire ments that are as complete as possible, and
move. with all charges clearly identified. However,
(iii) If your mover is transporting the ship- as a practical matter, your mover usually
ment on a guaranteed service basis, the cannot give you a complete bill of lading be-
guaranteed dates or periods of time for pick- fore transporting your goods. This is both
up, transportation, and delivery. Your mover because the shipment cannot be weighed
must enter any penalty or per diem require- until it is in transit and because other
ments upon the agreement under this item. charges for service, such as unpacking, stor-
(6) The names and addresses of any other age-in-transit, and various destination
motor carriers, when known, that will par- charges, cannot be determined until the
ticipate in interline transportation of the shipment reaches its destination.
shipment. Therefore, your mover can require you to
(7) The form of payment your mover will sign a partially complete bill of lading if it
honor at delivery. The payment information contains all relevant information except the
must be the same as was entered on the esti- actual shipment weight and any other infor-
mate. mation necessary to determine the final
(8) The terms and conditions for payment charges for all services provided. Signing the
of the total charges, including notice of any bill of lading allows you to choose the valu-
minimum charges. ation option, request special services, and/or
(9) The maximum amount your mover will acknowledge the terms and conditions of re-
demand, based on the mover’s estimate, for leased valuation.
you to obtain possession of the shipment at Your mover also may provide you, strictly
the time of delivery, when the household for informational purposes, with blank or in-
goods are transported on a collect-on-deliv- complete documents pertaining to the move.
ery basis. Before loading your shipment, and upon mu-
(10) If not provided in the Bill of Lading, tual agreement between you and your mover,
the Surface Transportation Board’s required your mover may amend an order for service.
released rates valuation statement, and the Your mover must retain records of an order
charges, if any, for optional valuation cov- for service it transported for at least one
erage. The STB’s required released rates may year from the date your mover wrote the
be increased annually by your mover based order.
on the U.S. Department of Commerce’s Cost Your mover must inform you, before or at
of Living Adjustment. the time of loading, if the mover reasonably
(11) A complete description of any special expects a special or accessorial service is
or accessorial services ordered and minimum necessary to transport a shipment safely.
weight or volume charges applicable to the Your mover must refuse to accept the ship-
shipment. ment when your mover reasonably expects a
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(12) Any identification or registration special or accessorial service is necessary to


number your mover assigns to the shipment. transport a shipment safely but you refuse

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Pt. 375, App. A 49 CFR Ch. III (10–1–07 Edition)
to purchase the special or accessorial serv- (1) Your mover’s name and address, or the
ice. Your mover must make a written note if name and address of the motor carrier
you refuse any special or accessorial services issuing the bill of lading.
that your mover reasonably expects to be (2) The names and addresses of any other
necessary. motor carriers, when known, who will par-
ticipate in the transportation of the ship-
MUST MY MOVER WRITE UP AN INVENTORY OF ment.
THE SHIPMENT? (3) The name, address, and telephone num-
ber of the office of the motor carrier you
Yes. Your mover must prepare an inven- must contact in relation to the transpor-
tory of your shipment before or at the time tation of the shipment.
of loading. If your mover’s driver fails to pre- (4) The form of payment your mover will
pare an inventory, you should write a de- honor at delivery. The payment information
tailed inventory of your shipment listing must be the same that was entered on the es-
any damage or unusual wear to any items. timate and order for service.
The purpose is to make a record of the exist- (5) When your mover transports your ship-
ence and condition of each item. ment under a collect-on-delivery basis, your
After completing the inventory, you name, address, and telephone number where
should sign each page and ask the mover’s the mover will notify you about the charges.
driver to sign each page. Before you sign it, (6) For non-guaranteed service, the agreed-
it is important you make sure that the in- upon date or period of time for pickup of the
ventory lists every item in the shipment and shipment and the agreed-upon date or period
that the entries regarding the condition of of time for the delivery of the shipment. The
each item are correct. You have the right to agreed-upon dates or periods for pickup and
note any disagreement. If an item is missing delivery entered upon the bill of lading must
or damaged when your mover delivers the conform to the agreed-upon dates or periods
shipment, your subsequent ability to dispute of time for pickup and delivery entered upon
the items lost or damaged may depend upon the order for service or a proper amendment
to the order for service.
your notations.
(7) For guaranteed service, the dates for
You should retain a copy of the inventory. pickup and delivery and any penalty or per
Your mover may keep the original if the diem entitlements due you under the agree-
driver prepared it. If your mover’s driver ment.
completed an inventory, the mover must at- (8) The actual date of pickup.
tach the complete inventory to the bill of (9) The identification number(s) of the ve-
lading as an integral part of the bill of lad- hicle(s) in which your mover loads your ship-
ing. ment.
(10) The terms and conditions for payment
MUST MY MOVER WRITE UP A BILL OF of the total charges including notice of any
LADING? minimum charges.
The bill of lading is the contract between (11) The maximum amount your mover,
you and the mover. The mover is required by based on the estimate, will demand from you
law to prepare a bill of lading for every ship- at the time of delivery for you to obtain pos-
ment it transports. The information on a bill session of your shipment, when your mover
of lading is required to be the same information transports under a collect-on-delivery basis.
shown on the order for service. The driver who (12) If not provided for in the Order for
loads your shipment must give you a copy of Service, the Surface Transportation Board’s
the bill of lading before or at the time of required released rates valuation statement,
loading your furniture and other household and the charges, if any, for optional valu-
goods. ation coverage. The Board’s required re-
leased rates may be increased annually by
It is your responsibility to read the bill of lad-
your mover based on the U.S. Department of
ing before you accept it. It is your responsi-
Commerce’s Cost of Living Adjustment.
bility to understand the bill of lading before
(13) Evidence of any insurance coverage
you sign it. If you do not agree with some-
sold to or procured for you from an inde-
thing on the bill of lading, do not sign it
pendent insurer, including the amount of the
until you are satisfied it is correct. premium for such insurance.
The bill of lading requires the mover to (14) Each attachment to the bill of lading.
provide the service you have requested. You Each attachment is an integral part of the
must pay the charges set forth in the bill of bill of lading contract. If not provided to you
lading. The bill of lading is an important docu- elsewhere by the mover, the following three
ment. Do not lose or misplace your copy. Have items must be added as attachments:
it available until your shipment is delivered, (i) The binding or non-binding estimate.
all charges are paid, and all claims, if any, (ii) The order for service.
are settled.
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(iii) The inventory.


A bill of lading must include the following A copy of the bill of lading must accom-
14 elements: pany your shipment at all times while it is

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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
in the possession of your mover or its the shipment will not affect the charges you
agent(s). When your mover loads the ship- will pay.
ment on a vehicle for transportation, the bill Your mover must determine the weight of
of lading must be in the possession of the your shipment before requesting you to pay
driver responsible for the shipment. Your for any charges dependent upon your ship-
mover must retain bills of lading for ship- ment’s weight.
ments it transported for at least one year Most movers have a minimum weight
from the date your mover created the bill of charge for transporting a shipment. Gen-
lading. erally, the minimum is the charge for trans-
porting a shipment of at least 3,000 pounds
SHOULD I REACH AN AGREEMENT WITH MY (1,362 kilograms).
MOVER ABOUT PICKUP AND DELIVERY TIMES? If your shipment appears to weigh less
than the mover’s minimum weight, your
You and your mover should reach an agree- mover must advise you on the order for serv-
ment for pickup and delivery times. It is ice of the minimum cost before transporting
your responsibility to determine on what your shipment. Should your mover fail to ad-
date, or between what dates, you need to vise you of the minimum charges and your
have the shipment picked up and on what shipment is less than the minimum weight,
date, or between what dates, you require de- your mover must base your final charges
livery. It is your mover’s responsibility to upon the actual weight, not upon the min-
tell you if it can provide service on or be- imum weight.
tween those dates, or, if not, on what other
dates it can provide the service. HOW MUST MY MOVER DETERMINE THE
In the process of reaching an agreement WEIGHT OF MY SHIPMENT?
with your mover, you may find it necessary Your mover must weigh your shipment
to alter your moving and travel plans if no upon a certified scale.
mover can provide service on the specific The weight of your shipment must be ob-
dates you desire. tained by using one of two methods:
Do not agree to have your shipment picked Origin Weighing—Your mover may weigh
up or delivered ’’as soon as possible.’’ The your shipment in the city or area where it
dates or periods you and your mover agree loads your shipment. If it elects this option,
upon should be definite. the driver must weigh the truck before com-
Once an agreement is reached, your mover ing to your residence. This is called the tare
must enter those dates upon the order for weight. At the time of this first weighing, the
service and the bill of lading. truck may already be partially loaded with
Once your goods are loaded, your mover is another shipment(s). This will not affect the
contractually bound to provide the service weight of your shipment. The truck should
described in the bill of lading. Your mover’s also contain the pads, dollies, hand trucks,
only defense for not providing the service on ramps, and other equipment normally used
the dates called for is the defense of force in the transportation of household goods
majeure. This is a legal term. It means that shipments.
when circumstances change, were not fore- After loading, the driver will weigh the
seen, and are beyond the control of your truck again to obtain the loaded weight,
mover, preventing your mover from per- called the gross weight. The net weight of
forming the service agreed to in the bill of your shipment is then obtained by sub-
lading, your mover is not responsible for tracting the tare weight before loading from
damages resulting from its nonperformance. the gross weight.
This may occur when you do not inform Gross Weight less the Tare Weight Before
your mover of the exact delivery require- Loading = Net Weight.
ments. For example, because of restrictions Destination Weighing (Also called Back
Weighing)—The mover is also permitted to
trucks must follow at your new location, the
determine the weight of your shipment at
mover may not be able to take its truck
the destination after it delivers your load.
down the street of your residence and may
Weighing your shipment at destination in-
need to shuttle the shipment using another
stead of at origin will not affect the accu-
type of vehicle.
racy of the shipment weight. The most impor-
MUST MY MOVER DETERMINE THE WEIGHT OF tant difference is that your mover will not deter-
MY SHIPMENT? mine the exact charges on your shipment before
it is unloaded.
Generally, yes. If your mover transports Destination weighing is done in reverse of
your household goods on a non-binding esti- origin weighing. After arriving in the city or
mate, your mover must determine the actual area where you are moving, the driver will
weight of the shipment in order to calculate weigh the truck. Your shipment will still be
its lawful tariff charge. If your mover pro- on the truck. Your mover will determine the
vided a binding estimate and has loaded your gross weight before coming to your new resi-
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shipment without claiming you have added dence to unload. After unloading your ship-
additional items or services, the weight of ment, the driver will again weigh the truck

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Pt. 375, App. A 49 CFR Ch. III (10–1–07 Edition)
to obtain the tare weight. The net weight of Your mover must obtain a separate weight
your shipment will then be obtained by sub- ticket for each weighing. The weigh master
tracting the tare weight after delivery from must sign each weight ticket. Each weight
the gross weight. ticket must contain the following six items:
Gross Weight less the Tare Weight After (1) The complete name and location of the
Delivery = Net Weight. scale.
At the time of both weighings, your mov- (2) The date of each weighing.
er’s truck must have installed or loaded all (3) Identification of the weight entries as
pads, dollies, hand trucks, ramps, and other being the tare, gross, or net weights.
equipment required in the transportation of (4) The company or mover identification of
your shipment. The driver and other persons the vehicle.
must be off the vehicle at the time of both (5) Your last name as it appears on the Bill
weighings. The fuel tanks on the vehicle of Lading.
must be full at the time of each weighing; or, (6) Your mover’s shipment registration or
if the fuel tanks are not full, your mover Bill of Lading number.
must not add fuel between the two weighings Your mover must retain the original
when the tare weighing is the first weighing weight ticket or tickets relating to the de-
performed. termination of the weight of your shipment
Your mover may detach the trailer of a as part of its file on your shipment. When
tractor-trailer vehicle combination from the both weighings are performed on the same
tractor and have the trailer weighed sepa- scale, one weight ticket may be used to
rately at each weighing, provided the length record both weighings.
of the scale platform is adequate to accom- Your mover must present all freight bills
modate and support the entire trailer. with true copies of all weight tickets. If your
Your mover may use an alternative meth- mover does not present its freight bill with
od to weigh your shipment if it weighs 3,000 all weight tickets, your mover is in violation
pounds (1,362 kilograms) or less. The only al- of Federal law.
ternative method allowed is weighing the Before the driver actually begins unloading
shipment upon a platform or warehouse cer- your shipment weighed at origin and after
tified scale before loading your shipment for your mover informs you of the billing weight
transportation or after unloading. and total charges, you have the right to de-
Your mover must use the net weight of mand a reweigh of your shipment. If you be-
shipments transported in large containers, lieve the weight is not accurate, you have
such as ocean or railroad containers. Your the right to request your mover reweigh
mover will calculate the difference between your shipment before unloading.
the tare weight of the container (including You have the right, and your mover must
all pads, blocking and bracing used in the inform you of your right, to observe all
transportation of your shipment) and the reweighings of your shipment. Your mover
gross weight of the container with your ship- must tell you where and when each re-
ment loaded in the container. weighing will occur. Your mover must give
You have the right, and your mover must you a reasonable opportunity to be present
inform you of your right, to observe all to observe the reweighing. You may waive
weighings of your shipment. Your mover your right to observe any reweighing; how-
must tell you where and when each weighing ever, you must waive that right in writing.
will occur. Your mover must give you a rea- You may send the written waiver via fax or
sonable opportunity to be present to observe e-mail, as well as by overnight courier or
the weighings. certified mail, return receipt requested. This
You may waive your right to observe any does not affect any of your other rights
weighing or reweighing. This does not affect under Federal law.
any of your other rights under Federal law. Your mover is prohibited from charging
Your mover may request that you waive you for the reweighing. If the weight of your
your right to have a shipment weighed upon shipment at the time of the reweigh is dif-
a certified scale. Your mover may want to ferent from the weight determined at origin,
weigh the shipment upon a trailer’s on- your mover must recompute the charges
board, non-certified scale. You should de- based upon the reweigh weight.
mand your right to have a certified scale Before requesting a reweigh, you may find
used. The use of a non-certified scale may it to your advantage to estimate the weight
cause you to pay a higher final bill for your of your shipment using the following three-
move, if the non-certified scale does not ac- step method:
curately weigh your shipment. Remember 1. Count the number of items in your ship-
that certified scales are inspected and ap- ment. Usually there will be either 30 or 40
proved for accuracy by a government inspec- items listed on each page of the inventory.
tion or licensing agency. Non-certified scales For example, if there are 30 items per page
are not inspected and approved for accuracy and your inventory consists of four complete
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by a government inspection or licensing pages and a fifth page with 15 items listed,
agency. the total number of items will be 135. If an

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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
automobile is listed on the inventory, do not in- specified in the order for service, your mover
clude this item in the count of the total items. must notify you of the delay, at the mover’s
2. Subtract the weight of any automobile expense. As soon as the delay becomes appar-
included in your shipment from the total ent to your mover, it must give you notifica-
weight of the shipment. If the automobile tion it will be unable to provide the service
was not weighed separately, its weight can specified in the terms of the order for serv-
be found on its title or license receipt. ice. Your mover may notify you of the delay
3. Divide the number of items in your ship- in any of the following ways: By telephone;
ment into the weight. If the average weight fax transmissions; e-mail; overnight courier;
resulting from this exercise ranges between certified mail, return receipt requested; or in
35 and 45 pounds (16 and 20 kilograms) per ar- person.
ticle, it is unlikely a reweigh will prove ben- When your mover notifies you of a delay, it
eficial to you. In fact, it could result in your also must advise you of the dates or periods
paying higher charges. of time it may be able to pick up and/or de-
Experience has shown that the average liver the shipment. Your mover must con-
shipment of household goods will weigh sider your needs in its advisement. Your
about 40 pounds (18 kilograms) per item. If a mover must prepare a written record of the
shipment contains a large number of heavy date, time, and manner of its notification.
items, such as cartons of books, boxes of Your mover must prepare a written record
tools or heavier than average furniture, the of its amended date or period for delivery.
average weight per item may be 45 pounds or Your mover must retain these records as a
more (20 kilograms or more). part of its file on your shipment. The reten-
tion period is one year from the date of noti-
WHAT MUST MY MOVER DO IF I WANT TO fication. Your mover must furnish a copy of
KNOW THE ACTUAL WEIGHT OR CHARGES FOR the notification to you either by first class
MY SHIPMENT BEFORE DELIVERY? mail or in person, if you request a copy of
If you request notification of the actual the notice.
weight and charges of your shipment, your Your mover must tender your shipment for
mover must comply with your request if it is delivery on the agreed-upon delivery date or
moving your goods on a collect-on-delivery within the period specified on the bill of lad-
basis. This requirement is conditioned upon ing. Upon your request or concurrence, your
your supplying your mover with an address mover may deliver your shipment on another
or telephone number where you will receive day.
the communication. Your mover must make The establishment of a delayed pickup or
its notification by telephone; fax trans- delivery date does not relieve your mover
missions; e-mail; overnight courier; certified from liability for damages resulting from
mail, return receipt requested; or in person. your mover’s failure to provide service as
You must receive the mover’s notification agreed. However, when your mover notifies
at least one full 24-hour day before its sched- you of alternate delivery dates, it is your re-
uled delivery, excluding Saturdays, Sundays, sponsibility to be available to accept deliv-
and Federal holidays. ery on the dates specified. If you are not
Your mover may disregard this 24-hour no- available and are not willing to accept deliv-
tification requirement on shipments subject ery, your mover has the right to place your
to one of the following three things: shipment in storage at your expense or hold
(1) Back weigh (when your mover weighs the shipment on its truck and assess addi-
your shipment at its destination). tional charges.
(2) Pickup and delivery encompassing two If after the pickup of your shipment, you
consecutive weekdays, if you agree. request your mover to change the delivery
(3) Maximum payment amounts at time of date, most movers will agree to do so pro-
delivery of 110 percent of the estimated vided your request will not result in unrea-
charges, if you agree. sonable delay to its equipment or interfere
with another customer’s move. However,
SUBPART F—TRANSPORTATION OF MY your mover is under no obligation to consent
SHIPMENT to amended delivery dates. Your mover has
the right to place your shipment in storage
MUST MY MOVER TRANSPORT THE SHIPMENT
at your expense if you are unwilling or un-
IN A TIMELY MANNER?
able to accept delivery on the date agreed to
Yes, your mover must transport your in the bill of lading.
household goods in a timely manner. This is If your mover fails to pick up and deliver
also known as ’’reasonable dispatch service.’’ your shipment on the date entered on the
Your mover must provide reasonable dis- bill of lading and you have expenses you oth-
patch service to you, except for transpor- erwise would not have had, you may be able
tation on the basis of guaranteed delivery to recover those expenses from your mover.
dates. This is what is called an inconvenience or
When your mover is unable to perform ei- delay claim. Should your mover refuse to
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ther the pickup or delivery of your shipment honor such a claim and you continue to be-
on the dates or during the periods of time lieve you are entitled to be paid damages,

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Pt. 375, App. A 49 CFR Ch. III (10–1–07 Edition)
you may take your mover to court under 49 (1) The specified period of time when your
U.S.C. 14706. The Federal Motor Carrier Safety mover is to hold your goods in storage.
Administration (FMCSA) has no authority to (2) The maximum period of time provided
order your mover to pay such claims. in its tariff for storage-in-transit.
While we hope your mover delivers your Your mover must notify you by facsimile
shipment in a timely manner, you should transmission; overnight courier; e-mail; or
consider the possibility your shipment may certified mail, return receipt requested.
be delayed, and find out what payment you If your mover holds your household goods
can expect if a mover delays service through in storage-in-transit for less than 10 days,
its own fault, before you agree with the your mover must notify you, one day before
mover to transport your shipment. the storage-in-transit period expires, of the
same information specified above.
WHAT MUST MY MOVER DO IF IT IS ABLE TO Your mover must maintain a record of all
DELIVER MY SHIPMENT MORE THAN 24 notifications to you as part of the records of
HOURS BEFORE I AM ABLE TO ACCEPT DE- your shipment. Under the applicable tariff
LIVERY? provisions regarding storage-in-transit, your
mover’s failure or refusal to notify you will
At your mover’s discretion, it may place
automatically extend your mover’s liability
your shipment in storage. This will be under
until the end of the day following the date
its own account and at its own expense in a
when your mover actually gives you notice.
warehouse located in proximity to the des-
tination of your shipment. Your mover may SUBPART G—DELIVERY OF MY SHIPMENT
do this if you fail to request or concur with
an early delivery date, and your mover is MAY MY MOVER ASK ME TO SIGN A DELIVERY
able to deliver your shipment more than 24 RECEIPT PURPORTING TO RELEASE IT FROM
hours before your specified date or the first LIABILITY?
day of your specified period.
At the time of delivery, your mover will
If your mover exercises this option, your
expect you to sign a receipt for your ship-
mover must immediately notify you of the
ment. Normally, you will sign each page of
name and address of the warehouse where
your mover’s copy of the inventory.
your mover places your shipment. Your
Your mover’s delivery receipt or shipping
mover must make and keep a record of its
document must not contain any language
notification as a part of its shipment
purporting to release or discharge it or its
records. Your mover has full responsibility
agents from liability.
for the shipment under the terms and condi-
Your mover may include a statement
tions of the bill of lading. Your mover is re-
about your receipt of your property in appar-
sponsible for the charges for redelivery, han-
ent good condition, except as noted on the
dling, and storage until it makes final deliv-
shipping documents.
ery. Your mover may limit its responsibility
Do not sign the delivery receipt if it con-
to the agreed-upon delivery date or the first
tains any language purporting to release or
day of the period of delivery as specified in
discharge your mover or its agents from li-
the bill of lading.
ability. Strike out such language before
WHAT MUST MY MOVER DO FOR ME WHEN I signing, or refuse delivery if the driver or
STORE HOUSEHOLD GOODS IN TRANSIT? mover refuses to provide a proper delivery
receipt.
If you request your mover to hold your
household goods in storage-in-transit and WHAT IS THE MAXIMUM COLLECT-ON-DELIVERY
the storage period is about to expire, your AMOUNT MY MOVER MAY DEMAND I PAY AT
mover must notify you, in writing, about the THE TIME OF DELIVERY?
four following items: On a binding estimate, the maximum
(1) The date when storage-in-transit will amount is the exact estimate of the charges,
convert to permanent storage. plus the charges for any additional services
(2) The existence of a 9-month period after you requested after the bill of lading was ex-
the date of conversion to permanent storage, ecuted (charges therefore not included in the
during which you may file claims against estimate) and any charges for impracticable
your mover for loss or damage occurring to operations (not to exceed 15 percent of all
your goods while in transit or during the other charges due at delivery). Your mover
storage-in-transit period. must specify on the estimate, order for serv-
(3) The date your mover’s liability will ice, and bill of lading the form of payment
end. acceptable to it (for example, a certified
(4) Your property will be subject to the check).
rules, regulations, and charges of the ware- On a non-binding estimate, the maximum
houseman. amount is 110 percent of the approximate
Your mover must make this notification at costs, plus the charges for any additional
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least 10 days before the expiration date of services you requested after the bill of lading
one of the following two periods of time: was executed (charges therefore not included

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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
in the estimate) and any charges for imprac- ceed 15 percent of the total charges your
ticable operations (not to exceed 15 percent mover collects at delivery.
of all other charges due at delivery). Your Your mover is forbidden from collecting,
mover must specify on the estimate, order or requiring you to pay, any freight charges
for service, and bill of lading the form of (including any charges for accessorial or ter-
payment acceptable to it (for example, cash). minal services) when your household goods
shipment is totally lost or destroyed in transit,
IF MY SHIPMENT IS TRANSPORTED ON MORE unless the loss or destruction was due to an
THAN ONE VEHICLE, WHAT CHARGES MAY act or omission by you.
MY MOVER COLLECT AT DELIVERY?
HOW MUST MY MOVER CALCULATE THE
Although all movers try to move each
CHARGES APPLICABLE TO THE SHIPMENT AS
shipment on one truck, it becomes necessary
DELIVERED?
at times to divide a shipment among two or
more trucks. This frequently occurs when an Your mover must multiply the percentage
automobile is included in the shipment and equal to the weight of the portion of the
transported on a specially designed vehicle. shipment delivered to the total weight of the
When this occurs, your transportation shipment times the total charges applicable
charges are the same as if the entire ship- to the shipment tendered by you to obtain
ment moved on one truck. the total charges it must collect from you.
If your shipment is divided for transpor- If your mover’s computed charges exceed
tation on two or more trucks, the mover the charges otherwise applicable to the ship-
may require payment for each portion as it ment as delivered, the lesser of those charges
is delivered. must apply. This will apply only to the
Your mover may delay the collection of all transportation of your household goods.
the charges until the entire shipment is de- Your mover must require you to pay any
livered, at its discretion, not yours. When specific valuation charge due.
you order your move, you should ask the Your mover may not refund the freight
mover about its policies in this regard. charges if the loss or destruction was due to
an act or omission by you. For example, you
IF MY SHIPMENT IS PARTIALLY LOST OR DE- fail to disclose to your mover that your ship-
STROYED, WHAT CHARGES MAY MY MOVER ment contains perishable live plants. Your
COLLECT AT DELIVERY? mover may disregard its loss or destruction
Movers customarily make every effort to of your plants because you failed to inform
avoid losing, damaging, or destroying any of your mover you were transporting live
your items while your shipment is in their plants.
possession for transportation. However, de- Your mover must determine, at its own ex-
spite the precautions taken, articles are pense, the proportion of the shipment, based
sometimes lost or destroyed during the on actual or constructive weight, not lost or
move. destroyed in transit.
In addition to any money you may recover Your rights are in addition to, and not in
from your mover to compensate for lost or lieu of, any other rights you may have with
destroyed articles, you also may recover the respect to your shipment of household goods
transportation charges represented by the your mover lost or destroyed, or partially
portion of the shipment lost or destroyed. lost or destroyed, in transit. This applies
Your mover may apply this paragraph only whether or not you have exercised your
to the transportation of household goods. rights provided above.
Your mover may disregard this paragraph if SUBPART H—COLLECTION OF CHARGES
loss or destruction was due to an act or
omission by you. Your mover must require DOES THIS SUBPART APPLY TO MOST
you to pay any specific valuation charge due. SHIPMENTS?
For example, if you pack a hazardous ma-
terial (i.e., gasoline, aerosol cans, motor oil, It applies to all shipments of household
etc.) and your shipment is partially lost or goods that involve a balance due freight or
destroyed by fire in storage or in the mover’s expense bill or are shipped on credit.
trailer, your mover may require you to pay
HOW MUST MY MOVER PRESENT ITS FREIGHT
for the full cost of transportation.
OR EXPENSE BILL TO ME?
If your shipment is partially lost or de-
stroyed, your mover is permitted to collect At the time of payment of transportation
at delivery only a prorated percentage based charges, your mover must give you a freight
on the freight charges for the goods actually bill identifying the service provided and the
delivered, plus the charges for any additional charge for each service. It is customary for
services you requested after the bill of lading most movers to use a copy of the bill of lad-
was executed and any charges for impracti- ing as a freight bill; however, some movers
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cable operations. Charges for impracticable use an entirely separate document for this
operations collected at delivery must not ex- purpose.

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Pt. 375, App. A 49 CFR Ch. III (10–1–07 Edition)
Except in those instances where a ship- livery; charges for impracticable operations
ment is moving on a binding estimate, the not paid at delivery are due within 30 days of
freight bill must specifically identify each the invoice.) Your mover’s freight bills and
service performed, the rate or charge per accompanying written notices must state
service performed, and the total charges for the following five items:
each service. If this information is not on the (1) Penalties for late payment.
freight bill, do not accept or pay the freight bill. (2) Credit time limits.
Movers’ tariffs customarily specify that (3) Service or finance charges.
freight charges must be paid in cash, by cer- (4) Collection expense charges.
tified check, or by cashier’s check. When this (5) Discount terms.
requirement exists, the mover will not ac- If your mover extends credit to you,
cept personal checks. At the time you order freight bills or a separate written notice ac-
your move, you should ask your mover about companying a freight bill or a group of
the form of payment your mover requires. freight bills presented at one time must
Some movers permit payment of freight state, ‘‘You may be subject to tariff pen-
charges by use of a charge or credit card. alties for failure to timely pay freight
However, do not assume your nationally rec- charges,’’ or a similar statement. Your
ognized charge, credit, or debit card will be mover must state on its freight bills or other
acceptable for payment. Ask your mover at notices when it expects payment and any ap-
the time you request an estimate. Your plicable service charges, collection expense
mover must specify the form of payment it charges, and discount terms.
will accept at delivery. When your mover lacks sufficient informa-
If you do not pay the transportation tion to compute its tariff charges at the time
charges at the time of delivery, your mover of billing, your mover must present its
has the right, under the bill of lading, to freight bill for payment within 15 days fol-
refuse to deliver your goods. The mover may lowing the day when sufficient information
place them in storage, at your expense, until becomes available. This period excludes Sat-
the charges are paid. However, the mover urdays, Sundays, and Federal holidays.
must deliver your goods upon payment of 100 Your mover must not extend additional
percent of a binding estimate, plus the credit to you if you fail to furnish sufficient
charges for any additional services you re- information to your mover. Your mover
quested after the bill of lading was executed must have sufficient information to render a
(charges therefore not included in the esti- freight bill within a reasonable time after
mate) and any charges for impracticable op- shipment.
erations (not to exceed 15 percent of all other When your mover presents freight bills by
charges due at delivery). mail, it must deem the time of mailing to be
If, before payment of the transportation the time of presentation of the bills. The
charges, you discover an error in the term ‘‘freight bills,’’ as used in this para-
charges, you should attempt to correct the graph, includes both paper documents and
error with the driver or the mover’s local billing by use of electronic media such as
agent, or by contacting the mover’s main of- computer tapes, disks, or the Internet (e-
fice. If an error is discovered after payment, mail).
you should write the mover (the address will When you mail acceptable checks or drafts
be on the freight bill) explaining the error, in payment of freight charges, your mover
and request a refund. must deem the act of mailing the payment
Movers customarily check all shipment within the credit period to be the proper col-
files and freight bills after a move has been lection of the tariff charges within the credit
completed to make sure the charges were ac- period for the purposes of Federal law. In
curate. If an overcharge is found, you should case of a dispute as to the date of mailing,
be notified and a refund should be made. If your mover must accept the postmark as the
an undercharge occurred, you may be billed date of mailing.
for the additional charges due.
On ‘‘to be prepaid’’ shipments, your mover IF I FORCED MY MOVER TO RELINQUISH A COL-
LECT-ON-DELIVERY SHIPMENT BEFORE THE
must present its freight bill for all transpor-
PAYMENT OF ALL CHARGES, HOW MUST MY
tation charges within 15 days of the date
MOVER COLLECT THE BALANCE?
your mover received the shipment. This pe-
riod excludes Saturdays, Sundays, and Fed- On ‘‘collect-on-delivery’’ shipments, your
eral holidays. mover must present its freight bill for trans-
On ‘‘collect’’ shipments, your mover must portation charges within 15 days, calculated
present its freight bill for all transportation from the date the shipment was delivered at
charges on the date of delivery, or, at its dis- your destination. This period excludes Satur-
cretion, within 15 days, calculated from the days, Sundays, and Federal holidays. (Bills
date the shipment was delivered at your des- for additional charges based on the weight of
tination. This period excludes Saturdays, the shipment will be presented 30 days after
Sundays, and Federal holidays. (Bills for ad- delivery; charges for impracticable oper-
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ditional charges based on the weight of the ations not paid at delivery are due within 30
shipment will be presented 30 days after de- days of the invoice.)

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Federal Motor Carrier Safety Administration, DOT Pt. 376
WHAT ACTIONS MAY MY MOVER TAKE TO COL- and address of the mover’s agent for service
LECT FROM ME THE CHARGES IN ITS FREIGHT of legal process in your State by contacting
BILL? the Federal Motor Carrier Safety Adminis-
Your mover must present a freight bill tration. You may also obtain the name of a
within 15 days (excluding Saturdays, Sun- process agent via the Internet. Go to http.//
days, and Federal holidays) of the date of de- www.fmcsa.dot.gov then click on Licensing
livery of a shipment at your destination. and Insurance (L&I) section.
(Bills for additional charges based on the In addition, your mover must participate
weight of the shipment will be presented 30 in an arbitration program. As described ear-
days after delivery; charges for impracti- lier in this pamphlet, an arbitration program
cable operations not paid at delivery are due gives you the opportunity to settle, through
within 30 days of the invoice.) a neutral arbitrator, certain types of unre-
Your mover must provide in its tariffs the solved loss or damage claims and disputes re-
following three things: garding charges that were billed to you by
(1) A provision indicating its credit period your mover after your shipment was deliv-
is a total of 30 calendar days. ered. You may find submitting your claim to
(2) A provision indicating you will be as- arbitration under such a program to be a less
sessed a service charge by your mover equal expensive and more convenient way to seek
to one percent of the amount of the freight recovery of your claim. Your mover is re-
bill, subject to a $20 minimum charge, for quired to provide you with information
the extension of the credit period. The mover about its arbitration program before you
will assess the service charge for each 30-day move. If your mover fails to do so, ask the
extension that the charges go unpaid. mover for details of its program.
(3) A provision that your mover must deny
credit to you if you fail to pay a duly pre- SUBPART I—RESOLVING DISPUTES WITH MY
sented freight bill within the 30-day period. MOVER
Your mover may grant credit to you, at its
discretion, when you satisfy your mover’s WHAT MAY I DO TO RESOLVE DISPUTES WITH
condition that you will pay all future freight MY MOVER?
bills duly presented. Your mover must en-
sure all your payments of freight bills are The Federal Motor Carrier Safety Administra-
strictly in accordance with Federal rules and tion Does Not Help You Settle Your Dispute
regulations for the settlement of its rates With Your Mover
and charges.
Generally, you must resolve your own loss
DO I HAVE A RIGHT TO FILE A CLAIM TO RE- and damage disputes with your mover. You
COVER MONEY FOR PROPERTY MY MOVER enter a contractual arrangement with your
LOST OR DAMAGED? mover. You are bound by each of the fol-
lowing three things:
Should your move result in the loss of or
(1) The terms and conditions you nego-
damage to any of your property, you have
tiated before your move.
the right to file a claim with your mover to
recover money for such loss or damage. (2) The terms and conditions you accepted
You should file a claim as soon as possible. when you signed the bill of lading.
If you fail to file a claim within 9 months, (3) The terms and conditions you accepted
your mover may not be required to accept when you signed for delivery of your goods.
your claim. If you institute a court action You have the right to take your mover to
and win, you may be entitled to attorney’s court. We require your mover to offer you ar-
fees if you submitted your claim to the car- bitration to settle your disputes with it.
rier within 120 days after delivery or the
[72 FR 36775, July 5, 2007]
scheduled date of delivery (whichever is
later), and (1) the mover did not advise you
during the claim settlement process of the PART 376—LEASE AND
availability of arbitration as a means for re- INTERCHANGE OF VEHICLES
solving the dispute; (2) a decision was not
rendered through arbitration within the
time required by law; or (3) you are insti- Subpart A—General Applicability and
tuting a court action to enforce an arbitra- Definitions
tion decision with which the mover has not
complied. Sec.
While the Federal Government maintains 376.1 Applicability.
regulations governing the processing of loss 376.2 Definitions.
and damage claims (49 CFR part 370), it can-
not resolve those claims. If you cannot settle Subpart B—Leasing Regulations
a claim with the mover, you may file a civil
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action to recover your claim in court under 376.11 General leasing requirements.
49 U.S.C. 14706. You may obtain the name 376.12 Written lease requirements.

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§ 376.1 49 CFR Ch. III (10–1–07 Edition)

Subpart C—Exemptions for the Leasing property from another such carrier, at
Regulations a point which both carriers are author-
ized to serve, with which to continue a
376.21 General exemptions.
376.22 Exemption for private carrier leasing through movement.
and leasing between authorized carriers. (d) Owner. A person (1) to whom title
376.26 Exemption for leases between author- to equipment has been issued, or (2)
ized carriers and their agents. who, without title, has the right to ex-
clusive use of equipment, or (3) who has
Subpart D—Interchange Regulations
lawful possession of equipment reg-
376.31 Interchange of equipment. istered and licensed in any State in the
name of that person.
Subpart E—Private Carriers and Shippers (e) Lease. A contract or arrangement
376.42 Lease of equipment by regulated car- in which the owner grants the use of
riers. equipment, with or without driver, for
AUTHORITY: 49 U.S.C. 13301 and 14102; and 49 a specified period to an authorized car-
CFR 1.73. rier for use in the regulated transpor-
SOURCE: 44 FR 4681, Jan. 23, 1979, unless
tation of property, in exchange for
otherwise noted. Redesignated at 61 FR 54707, compensation.
Oct. 21, 1996. (f) Lessor. In a lease, the party grant-
EDITORIAL NOTE: Nomenclature changes to ing the use of equipment, with or with-
part 376 appear at 66 FR 49871, Oct. 1, 2001. out driver, to another.
(g) Lessee. In a lease, the party ac-
Subpart A—General Applicability quiring the use of equipment with or
and Definitions without driver, from another.
(h) Sublease. A written contract in
§ 376.1 Applicability. which the lessee grants the use of
The regulations in this part apply to leased equipment, with or without
the following actions by motor carriers driver, to another.
registered with the Secretary to trans- (i) Addendum. A supplement to an ex-
port property: isting lease which is not effective until
(a) The leasing of equipment with signed by the lessor and lessee.
which to perform transportation regu- (j) Private carrier. A person, other
lated by the Secretary. than a motor carrier, transporting
(b) The leasing of equipment to property by motor vehicle in interstate
motor private carrier or shippers. or foreign commerce when (1) the per-
(c) The interchange of equipment be- son is the owner, lessee, or bailee of the
tween motor common carriers in the property being transported; and (2) the
performance of transportation regu- property is being transported for sale,
lated by the Secretary. lease, rent, or bailment, or to further a
[44 FR 4681, Jan. 23, 1979. Redesignated at 61 commercial enterprise.
FR 54707, Oct. 21, 1996, as amended at 62 FR (k) Shipper. A person who sends or re-
15423, Apr. 1, 1997] ceives property which is transported in
interstate or foreign commerce.
§ 376.2 Definitions.
(l) Escrow fund. Money deposited by
(a) Authorized carrier. A person or per- the lessor with either a third party or
sons authorized to engage in the trans- the lessee to guarantee performance, to
portation of property as a motor car- repay advances, to cover repair ex-
rier under the provisions of 49 U.S.C.
penses, to handle claims, to handle li-
13901 and 13902.
cense and State permit costs, and for
(b) Equipment. A motor vehicle,
straight truck, tractor, semitrailer, any other purposes mutually agreed
full trailer, any combination of these upon by the lessor and lessee.
and any other type of equipment used (m) Detention. The holding by a con-
by authorized carriers in the transpor- signor or consignee of a trailer, with or
tation of property for hire. without power unit and driver, beyond
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(c) Interchange. The receipt of equip-


ment by one motor common carrier of

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Federal Motor Carrier Safety Administration, DOT § 376.12

the free time allocated for the ship- lease certifying that the equipment is
ment, under circumstances not attrib- being operated by it. The statement
utable to the performance of the car- shall also specify the name of the
rier. owner, the date and length of the lease,
[44 FR 4681, Jan. 23, 1979, as amended at 49
any restrictions in the lease relative to
FR 47850, Dec. 7, 1984; 62 FR 15424, Apr. 1, the commodities to be transported, and
1997] the address at which the original lease
is kept by the authorized carrier. This
Subpart B—Leasing Regulations statement shall be prepared by the au-
thorized carrier or its authorized rep-
§ 376.11 General leasing requirements. resentative.
(d) Records of equipment. The author-
Other than through the interchange
ized carrier using equipment leased
of equipment as set forth in § 376.31,
under this section shall keep records of
and under the exemptions set forth in
the equipment as follows:
subpart C of these regulations, the au-
(1) The authorized carrier shall pre-
thorized carrier may perform author-
pare and keep documents covering each
ized transportation in equipment it
trip for which the equipment is used in
does not own only under the following
conditions: its service. These documents shall con-
(a) Lease. There shall be a written tain the name and address of the owner
lease granting the use of the equipment of the equipment, the point of origin,
and meeting the requirements con- the time and date of departure, and the
tained in § 376.12. point of final destination. Also, the au-
(b) Receipts for equipment. Receipts, thorized carrier shall carry papers with
specifically identifying the equipment the leased equipment during its oper-
to be leased and stating the date and ation containing this information and
time of day possession is transferred, identifying the lading and clearly indi-
shall be given as follows: cating that the transportation is under
(1) When possession of the equipment its responsibility. These papers shall be
is taken by the authorized carrier, it preserved by the authorized carrier as
shall give the owner of the equipment a part of its transportation records.
receipt. The receipt identified in this Leases which contain the information
section may be transmitted by mail, required by the provisions in this para-
telegraph, or other similar means of graph may be used and retained instead
communication. of such documents or papers. As to
(2) When possession of the equipment lease agreements negotiated under a
by the authorized carrier ends, a re- master lease, this provision is complied
ceipt shall be given in accordance with with by having a copy of a master lease
the terms of the lease agreement if the in the unit of equipment in question
lease agreement requires a receipt. and where the balance f documentation
(3) Authorized representatives of the called for by this paragraph is included
carrier and the owner may take posses- in the freight documents prepared for
sion of leased equipment and give and the specific movement.
receive the receipts required under this (2) [Reserved]
subsection. [44 FR 4681, Jan. 23, 1979, as amended at 49
(c) Identification of equipment. The au- FR 47269, Dec. 3, 1984; 49 FR 47850, Dec. 7,
thorized carrier acquiring the use of 1984; 50 FR 24649, June 12, 1985; 51 FR 37406,
equipment under this section shall Oct. 22, 1986; 62 FR 15424, Apr. 1, 1997]
identify the equipment as being in its
service as follows: § 376.12 Written lease requirements.
(1) During the period of the lease, the Except as provided in the exemptions
carrier shall identify the equipment in set forth in subpart C of this part, the
accordance with the FMCSA’s require- written lease required under § 376.11(a)
ments in 49 CFR part 390 of this chap- shall contain the following provisions.
ter (Identification of Vehicles). The required lease provisions shall be
(2) Unless a copy of the lease is car- adhered to and performed by the au-
ried on the equipment, the authorized thorized carrier.
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carrier shall keep a statement with the (a) Parties. The lease shall be made
equipment during the period of the between the authorized carrier and the

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§ 376.12 49 CFR Ch. III (10–1–07 Edition)

owner of the equipment. The lease enue, a flat rate per mile, a variable
shall be signed by these parties or by rate depending on the direction trav-
their authorized representatives. eled or the type of commodity trans-
(b) Duration to be specific. The lease ported, or by any other method of com-
shall specify the time and date or the pensation mutually agreed upon by the
circumstances on which the lease be- parties to the lease. The compensation
gins and ends. These times or cir- stated on the lease or in the attached
cumstances shall coincide with the addendum may apply to equipment and
times for the giving of receipts re- driver’s services either separately or as
quired by § 376.11(b). a combined amount.
(c) Exclusive possession and responsibil- (e) Items specified in lease. The lease
ities. (1) The lease shall provide that shall clearly specify which party is re-
the authorized carrier lessee shall have sponsible for removing identification
exclusive possession, control, and use devices from the equipment upon the
of the equipment for the duration of termination of the lease and when and
the lease. The lease shall further pro- how these devices, other than those
vide that the authorized carrier lessee painted directly on the equipment, will
shall assume complete responsibility be returned to the carrier. The lease
for the operation of the equipment for shall clearly specify the manner in
the duration of the lease. which a receipt will be given to the au-
(2) Provision may be made in the thorized carrier by the equipment
lease for considering the authorized owner when the latter retakes posses-
carrier lessee as the owner of the sion of the equipment upon termi-
equipment for the purpose of sub- nation of the lease agreement, if a re-
leasing it under these regulations to ceipt is required at all by the lease.
other authorized carriers during the The lease shall clearly specify the re-
lease. sponsibility of each party with respect
(3) When an authorized carrier of to the cost of fuel, fuel taxes, empty
household goods leases equipment for mileage, permits of all types, tolls, fer-
the transportation of household goods, ries, detention and accessorial services,
as defined by the Secretary, the parties base plates and licenses, and any un-
may provide in the lease that the pro- used portions of such items. The lease
visions required by paragraph (c)(1) of shall clearly specify who is responsible
this section apply only during the time for loading and unloading the property
the equipment is operated by or for the onto and from the motor vehicle, and
authorized carrier lessee. the compensation, if any, to be paid for
(4) Nothing in the provisions required this service. Except when the violation
by paragraph (c)(1) of this section is in- results from the acts or omissions of
tended to affect whether the lessor or the lessor, the authorized carrier lessee
driver provided by the lessor is an inde- shall assume the risks and costs of
pendent contractor or an employee of fines for overweight and oversize trail-
the authorized carrier lessee. An inde- ers when the trailers are pre-loaded,
pendent contractor relationship may sealed, or the load is containerized, or
exist when a carrier lessee complies when the trailer or lading is otherwise
with 49 U.S.C. 14102 and attendant ad- outside of the lessor’s control, and for
ministrative requirements. improperly permitted overdimension
(d) Compensation to be specified. The and overweight loads and shall reim-
amount to be paid by the authorized burse the lessor for any fines paid by
carrier for equipment and driver’s serv- the lessor. If the authorized carrier is
ices shall be clearly stated on the face authorized to receive a refund or a
of the lease or in an addendum which is credit for base plates purchased by the
attached to the lease. Such lease or ad- lessor from, and issued in the name of,
dendum shall be delivered to the lessor the authorized carrier, or if the base
prior to the commencement of any trip plates are authorized to be sold by the
in the service of the authorized carrier. authorized carrier to another lessor the
An authorized representative of the authorized carrier shall refund to the
lessor may accept these documents. initial lessor on whose behalf the base
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The amount to be paid may be ex- plate was first obtained a prorated
pressed as a percentage of gross rev- share of the amount received.

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Federal Motor Carrier Safety Administration, DOT § 376.12

(f) Payment period. The lease shall carriers, other documents from which
specify that payment to the lessor rates and charges are computed, pro-
shall be made within 15 days after sub- vided that where rates and charges are
mission of the necessary delivery docu- computed from a contract of a contract
ments and other paperwork concerning carrier, only those portions of the con-
a trip in the service of the authorized tract containing the same information
carrier. The paperwork required before that would appear on a rated freight
the lessor can receive payment is lim- bill need be disclosed. The authorized
ited to log books required by the De- carrier may delete the names of ship-
partment of Transportation and those pers and consignees shown on the
documents necessary for the author- freight bill or other form of docu-
ized carrier to secure payment from mentation.
the shipper. In addition, the lease may (h) Charge-back items. The lease shall
provide that, upon termination of the clearly specify all items that may be
lease agreement, as a condition prece- initially paid for by the authorized car-
dent to payment, the lessor shall re- rier, but ultimately deducted from the
move all identification devices of the lessor’s compensation at the time of
authorized carrier and, except in the payment or settlement, together with
case of identification painted directly a recitation as to how the amount of
on equipment, return them to the car- each item is to be computed. The lessor
rier. If the identification device has shall be afforded copies of those docu-
been lost or stolen, a letter certifying ments which are necessary to deter-
its removal will satisfy this require- mine the validity of the charge.
ment. Until this requirement is com- (i) Products, equipment, or services from
plied with, the carrier may withhold authorized carrier. The lease shall speci-
final payment. The authorized carrier fy that the lessor is not required to
may require the submission of addi- purchase or rent any products, equip-
tional documents by the lessor but not ment, or services from the authorized
as a prerequisite to payment. Payment carrier as a condition of entering into
to the lessor shall not be made contin- the lease arrangement. The lease shall
gent upon submission of a bill of lading specify the terms of any agreement in
to which no exceptions have been which the lessor is a party to an equip-
taken. The authorized carrier shall not ment purchase or rental contract
set time limits for the submission by which gives the authorized carrier the
the lessor of required delivery docu- right to make deductions from the les-
ments and other paperwork. sor’s compensation for purchase or
(g) Copies of freight bill or other form of rental payments.
freight documentation. When a lessor’s (j) Insurance. (1) The lease shall clear-
revenue is based on a percentage of the ly specify the legal obligation of the
gross revenue for a shipment, the lease authorized carrier to maintain insur-
must specify that the authorized car- ance coverage for the protection of the
rier will give the lessor, before or at public pursuant to FMCSA regulations
the time of settlement, a copy of the under 49 U.S.C. 13906. The lease shall
rated freight bill or a computer-gen- further specify who is responsible for
erated document containing the same providing any other insurance coverage
information, or, in the case of contract for the operation of the leased equip-
carriers, any other form of documenta- ment, such as bobtail insurance. If the
tion actually used for a shipment con- authorized carrier will make a charge
taining the same information that back to the lessor for any of this insur-
would appear on a rated freight bill. ance, the lease shall specify the
When a computer-generated document amount which will be charged-back to
is provided, the lease will permit lessor the lessor.
to view, during normal business hours, (2) If the lessor purchases any insur-
a copy of any actual document under- ance coverage for the operation of the
lying the computer-generated docu- leased equipment from or through the
ment. Regardless of the method of authorized carrier, the lease shall
compensation, the lease must permit specify that the authorized carrier will
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lessor to examine copies of the car- provide the lessor with a copy of each
rier’s tariff or, in the case of contract policy upon the request of the lessor.

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§ 376.12 49 CFR Ch. III (10–1–07 Edition)

Also, where the lessor purchases such be paid, the carrier may deduct a sum
insurance in this manner, the lease equal to the average advance made to
shall specify that the authorized car- the individual lessor during the period
rier will provide the lessor with a cer- of time for which interest is paid. The
tificate of insurance for each such pol- interest rate shall be established on
icy. Each certificate of insurance shall the date the interest period begins and
include the name of the insurer, the shall be at least equal to the average
policy number, the effective dates of yield or equivalent coupon issue yield
the policy, the amounts and types of on 91-day, 13-week Treasury bills as es-
coverage, the cost to the lessor for tablished in the weekly auction by the
each type of coverage, and the deduct- Department of Treasury.
ible amount for each type of coverage
(6) The conditions the lessor must
for which the lessor may be liable.
(3) The lease shall clearly specify the fulfill in order to have the escrow fund
conditions under which deductions for returned. At the time of the return of
cargo or property damage may be made the escrow fund, the authorized carrier
from the lessor’s settlements. The may deduct monies for those obliga-
lease shall further specify that the au- tions incurred by the lessor which have
thorized carrier must provide the les- been previously specified in the lease,
sor with a written explanation and and shall provide a final accounting to
itemization of any deductions for cargo the lessor of all such final deductions
or property damage made from any made to the escrow fund. The lease
compensation of money owed to the shall further specify that in no event
lessor. The written explanation and shall the escrow fund be returned later
itemization must be delivered to the than 45 days from the date of termi-
lessor before any deductions are made. nation.
(k) Escrow funds. If escrow funds are (l) Copies of the lease. An original and
required, the lease shall specify: two copies of each lease shall be signed
(1) The amount of any escrow fund or by the parties. The authorized carrier
performance bond required to be paid shall keep the original and shall place
by the lessor to the authorized carrier a copy of the lease on the equipment
or to a third party. during the period of the lease unless a
(2) The specific items to which the es-
statement as provided for in
crow fund can be applied.
§ 376.11(c)(2) is carried on the equipment
(3) That while the escrow fund is
instead. The owner of the equipment
under the control of the authorized
carrier, the authorized carrier shall shall keep the other copy of the lease.
provide an accounting to the lessor of (m) This paragraph applies to owners
any transactions involving such fund. who are not agents but whose equip-
The carrier shall perform this account- ment is used by an agent of an author-
ing in one of the following ways: ized carrier in providing transportation
(i) By clearly indicating in individual on behalf of that authorized carrier. In
settlement sheets the amount and de- this situation, the authorized carrier is
scription of any deduction or addition obligated to ensure that these owners
made to the escrow fund; or receive all the rights and benefits due
(ii) By providing a separate account- an owner under the leasing regulations,
ing to the lessor of any transactions in- especially those set forth in paragraphs
volving the escrow fund. This separate (d)–(k) of this section. This is true re-
accounting shall be done on a monthly gardless of whether the lease for the
basis. equipment is directly between the au-
(4) The right of the lessor to demand thorized carrier and its agent rather
to have an accounting for transactions than directly between the authorized
involving the escrow fund at any time. carrier and each of these owners. The
(5) That while the escrow fund is lease between an authorized carrier
under the control of the carrier, the
carrier shall pay interest on the escrow
fund on at least a quarterly basis. For
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purposes of calculating the balance of


the escrow fund on which interest must

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Federal Motor Carrier Safety Administration, DOT § 376.26

and its agent shall specify this obliga- (2) It must provide that control and
tion. responsibility for the operation of the
[44 FR 4681, Jan. 23, 1979, as amended at 45
equipment shall be that of the lessee
FR 13092, Feb. 28, 1980; 47 FR 28398, June 30, from the time possession is taken by
1982; 47 FR 51140, Nov. 12, 1982; 47 FR 54083, the lessee and the receipt required
Dec. 1, 1982; 49 FR 47851, Dec. 7, 1984; 51 FR under § 376.11(b) is given to the lessor
37406, 37407, Oct. 22, 1986; 52 FR 2412, Jan. 22, until: (i) Possession of the equipment is
1987; 57 FR 32905, July 24, 1992; 62 FR 15424, returned to the lessor and the receipt
Apr. 1, 1997] required under § 376.11(b) is received by
the authorized carrier; or (ii) in the
Subpart C—Exemptions for the event that the agreement is between
Leasing Regulations authorized carriers, possession of the
equipment is returned to the lessor or
§ 376.21 General exemptions. given to another authorized carrier in
Except for § 376.11(c) which requires an interchange of equipment.
the identification of equipment, the (3) A copy of the agreement must be
leasing regulations in this part shall carried in the equipment while it is in
not apply to: the possession of the lessee.
(a) Equipment used in substituted (4) Nothing in this section shall pro-
motor-for-rail transportation of rail- hibit the use, by authorized carriers,
road freight moving between points private carriers, and all other entities
that are railroad stations and on rail- conducting lease operations pursuant
road billing. to this section, of a master lease if a
(b) Equipment used in transportation copy of that master lease is carried in
performed exclusively within any com- the equipment while it is in the posses-
mercial zone as defined by the Sec- sion of the lessee, and if the master
retary. lease complies with the provisions of
(c) Equipment leased without drivers this section and receipts are exchanged
from a person who is principally en- in accordance with § 376.11(b), and if
gaged in such a business. records of the equipment are prepared
(d) Any type of trailer not drawn by and maintained in accordance with
a power unit leased from the same les- § 376.11(d).
sor. (d) Authorized and private carriers
[44 FR 4681, Jan. 23, 1979. Redesignated at 61 under common ownership and control
FR 54707, Oct. 21, 1996, as amended at 62 FR may lease equipment to each other
15424, Apr. 1, 1997] under this section without complying
with the requirements of paragraph (a)
§ 376.22 Exemption for private carrier of this section pertaining to identifica-
leasing and leasing between author- tion of equipment, and the require-
ized carriers.
ments of paragraphs (c)(2) and (c)(4) of
Regardless of the leasing regulations this section pertaining to equipment
set forth in this part, an authorized receipts. The leasing of equipment be-
carrier may lease equipment to or from tween such carriers will be subject to
another authorized carrier, or a private all other requirements of this section.
carrier may lease equipment to an au-
thorized carrier under the following [49 FR 9570, Mar. 14, 1984, as amended at 49
conditions: FR 47269, Dec. 3, 1984; 49 FR 47851, Dec. 7,
1984; 62 FR 15424, Apr. 1, 1997; 63 FR 40838,
(a) The identification of equipment
July 31, 1998]
requirements in § 376.11(c) must be com-
plied with; § 376.26 Exemption for leases between
(b) The lessor must own the equip- authorized carriers and their
ment or hold it under a lease; agents.
(c) There must be a written agree-
ment between the authorized carriers The leasing regulations set forth in
or between the private carrier and au- § 376.12(e) through (l) do not apply to
thorized carrier, as the case may be, leases between authorized carriers and
concerning the equipment as follows: their agents.
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(1) It must be signed by the parties or [47 FR 28398, June 30, 1982, as amended at 62
their authorized representatives. FR 15424, Apr. 1, 1997]

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§ 376.31 49 CFR Ch. III (10–1–07 Edition)

Subpart D—Interchange number and shall show the specific


Regulations point of interchange, the date and time
it assumes responsibility for the equip-
§ 376.31 Interchange of equipment. ment, and the use to be made of the
Authorized common carriers may equipment. This statement shall be
interchange equipment under the fol- signed by the parties to the inter-
lowing conditions: change agreement or their authorized
(a) Interchange agreement. There shall representatives. The requirements of
be a written contract, lease, or other this paragraph shall not apply where
arrangement providing for the inter- the equipment to be operated in inter-
change and specifically describing the change service consists only of trailers
equipment to be interchanged. This or semitrailers.
written agreement shall set forth the (3) Authorized carriers under com-
specific points of interchange, how the mon ownership and control may inter-
equipment is to be used, and the com- change equipment with each other
pensation for such use. The inter-
without complying with the require-
change agreement shall be signed by
ments of paragraph (d)(1) of this sec-
the parties or by their authorized rep-
resentatives. tion pertaining to removal of identi-
(b) Operating authority. The carriers fication from equipment.
participating in the interchange shall (e) Connecting carriers considered as
be registered with the Secretary to owner—An authorized carrier receiving
provide the transportation of the com- equipment in connection with a
modities at the point where the phys- through movement shall be considered
ical exchange occurs. to the owner of the equipment for the
(c) Through bills of lading. The traffic purpose of leasing the equipment to
transported in interchange service other authorized carriers in further-
must move on through bills of lading ance of the movement to destination or
issued by the originating carrier. The the return of the equipment after the
rates charged and the revenues col- movement is completed.
lected must be accounted for in the
same manner as if there had been no [44 FR 4681, Jan. 23, 1979. Redesignated at 61
interchange. Charges for the use of the FR 54707, Oct. 21, 1996, as amended at 62 FR
interchanged equipment shall be kept 15424, Apr. 1, 1997; 63 FR 40838, July 31, 1998]
separate from divisions of the joint
rates or the proportions of such rates Subpart E—Private Carriers and
accruing to the carriers by the applica- Shippers
tion of local or proportional rates.
(d) Identification of equipment. The au- § 376.42 Lease of equipment by regu-
thorized common carrier receiving the lated carriers.
equipment shall identify equipment op- Authorized carriers may lease equip-
erated by it in interchange service as ment and drivers from private carriers,
follows:
for periods of less than 30 days, in the
(1) The authorized common carrier
manner set forth in § 376.22.
shall identify power units in accord-
ance with the FMCSA’s requirements [49 FR 9570, Mar. 14, 1984, as amended at 51
in 49 CFR part 390 of this chapter (Iden- FR 37034, Oct. 17, 1986; 62 FR 15424, Apr. 1,
tification of Vehicles). Before giving up 1997]
possession of the equipment, the car-
rier shall remove all identification PART 377—PAYMENT OF
showing it as the operating carrier. TRANSPORTATION CHARGES
(2) Unless a copy of the interchange
agreement is carried on the equipment,
Subpart A—Handling of C.O.D. Shipments
the authorized common carrier shall
carry a statement with each vehicle Sec.
during interchange service certifying 377.101 Applicability.
that it is operating the equipment. The 377.103 Tariff requirements.
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statement shall also identify the equip-


ment by company or State registration

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Federal Motor Carrier Safety Administration, DOT § 377.201
377.105 Collection and remittance. § 377.105 Collection and remittance.
Subpart B—Extension of Credit to Shippers Every common carrier of property
by Motor Common Carriers, Water subject to 49 U.S.C. 13702, except as
Common Carriers, and Household otherwise provided in § 377.101, which
Goods Freight Forwarders chooses to provide c.o.d. service may
publish and maintain, or cause to be
377.201 Scope. published and maintained for its ac-
377.203 Extension of credit to shippers. count, a tariff or tariffs which set forth
377.205 Presentation of freight bills. nondiscriminatory rules governing
377.207 Effect of mailing freight bills or pay- c.o.d. service and the collection and re-
ments.
mittance of c.o.d. funds. Alternatively,
377.209 Additional charges.
any carrier that provides c.o.d. service,
377.211 Computation of time.
but does not wish to publish and main-
377.213–377.215 [Reserved]
377.217 Interline settlement of revenues.
tain, or cause to be published and
maintained, its own nondiscriminatory
AUTHORITY: 49 U.S.C. 13101, 13301, 13701, tariff, may adopt a rule requiring re-
13702, 13706, 13707, and 14101; and 49 CFR 1.73. mittance of each c.o.d. collection di-
EDITORIAL NOTE: Nomenclature changes to rectly to the consignor or other person
part 377 appear at 66 FR 49871, Oct. 1, 2001. designated by the consignor as payee
within fifteen (15) days after delivery of
Subpart A—Handling of C.O.D. the c.o.d. shipment to the consignee.
Shipments [52 FR 45966, Dec. 3, 1987, as amended at 62
FR 15424, Apr. 1, 1997]
SOURCE: 32 FR 20050, Dec. 20, 1967, unless
otherwise noted. Redesignated at 61 FR 54708, Subpart B—Extension of Credit to
Oct. 21, 1996.
Shippers by Motor Common
§ 377.101 Applicability. Carriers, Water Common Car-
riers, and Household Goods
The rules and regulations in this part
apply to the transportation by motor
Freight Forwarders
vehicle of c.o.d. shipments by all com-
mon carriers of property subject to 49 SOURCE: 50 FR 2290, Jan. 16, 1985, unless
U.S.C. 13702, except such transpor- otherwise noted. Redesignated at 61 FR 54709,
Oct. 21, 1996.
tation which is auxiliary to or supple-
mental of transportation by railroad
§ 377.201 Scope.
and performed on railroad bills of lad-
ing, and except such transportation (a) General. These regulations apply
which is performed for freight for- to the extension of credit in the trans-
warders and on freight forwarder bills portation of property under Federal
of lading. Motor Carrier Safety Administration
regulation by motor carriers and
[32 FR 20050, Dec. 20, 1967. Redesignated at 61 household goods freight forwarders, ex-
FR 54708, Oct. 21, 1996, as amended at 62 FR
15424, Apr. 1, 1997]
cept as otherwise provided.
(b) Exceptions. These regulations do
§ 377.103 Tariff requirements. not apply to—
(1) Contract carriage operations.
No common carrier of property sub-
ject to the provisions of 49 U.S.C. 13702, (2) Transportation for—
except as otherwise provided in (i) The United States or any depart-
§ 377.101, shall render any c.o.d. service ment, bureau, or agency thereof,
unless such carrier has published, post- (ii) Any State, or political subdivi-
ed and filed tariffs which contain the sion thereof,
rates, charges and rules governing such (iii) The District of Columbia.
service, which rules shall conform to (3) Property transportation inci-
the regulations in this part. dental to passenger operations.
[32 FR 20050, Dec. 20, 1967. Redesignated at 61 [50 FR 2290, Jan. 16, 1985, as amended at 51
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FR 54708, Oct. 21, 1996, as amended at 62 FR FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 1,
15424, Apr. 1, 1997] 1997]

141

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§ 377.203 49 CFR Ch. III (10–1–07 Edition)

§ 377.203 Extension of credit to ship- shippers may elect to postpone pay-


pers. ment until the end of the extended
(a) Authorization to extend credit. (1) A credit period if, in consideration there-
carrier that meets the requirements in for, they include any published service
paragraph (a)(2) of this section may— charges when making their payment.
(i) Relinquish possession of freight in (3) Carriers may, by tariff rule, estab-
advance of the payment of the tariff lish service charges for payments made
charges, and after the expiration of an authorized
(ii) Extend credit in the amount of credit period. Such a rule shall—
such charges to those who undertake (i) Institute such charges on the day
to pay them (such persons are called following the last day of an authorized
shippers in this part). credit period, and
(2) For such authorization, the car- (ii) Notify shippers—
rier shall take reasonable actions to (A) That its only purpose is to pre-
assure payment of the tariff charges vent a shipper who does not pay on
within the credit periods specified— time from having free use of funds due
(i) In this part, or to the carrier,
(ii) In tariff provisions published pur- (B) That it does not sanction pay-
suant to the regulations in paragraph ment delays, and
(d) of this section. (C) That failure to pay within the au-
(b) When the credit period begins. The thorized credit period will, despite this
credit period shall begin on the day fol- provision for such charges, continue to
lowing presentation of the freight bill. require the carrier, before again ex-
(c) Length of credit period. Unless a tending credit, to determine in good
different credit period has been estab- faith whether the shipper will comply
lished by tariff publication pursuant to with the credit regulations in the fu-
paragraph (d) of this section, the credit ture.
period is 15 days. It includes Saturdays, (4) Tariff rules that establish charges
Sundays, and legal holidays. pursuant to paragraph (e) (2) or (3) of
(d) Carriers may establish different this section may establish minimum
credit periods in tariff rules. Carriers charges.
may publish tariff rules establishing (f) Discounts. Carriers may, by tariff
credit periods different from those in rule, authorize discounts for early
paragraph (c) of this section. Such freight bill payments when credit is ex-
credit periods shall not be longer than tended.
30 calendar days. (g)(1) Collection expense charges. Car-
(e) Service charges. (1) Service charges riers may, by tariff rule, assess reason-
shall not apply when credit is extended able and certain liquidated damages for
and payments are made within the all costs incurred in the collection of
standard credit period. The term stand- overdue freight charges. Carriers may
ard credit period, as used in the pre- use one of two methods in their tariffs:
ceding sentence, means— (i) The first method is to assess liq-
(i) The credit period prescribed in uidated damages as a separate addi-
paragraph (c) of this section, or tional charge to the unpaid freight bill.
(ii) A substitute credit period pub- In doing so, the tariff rule shall dis-
lished in a tariff rule pursuant to the close the exact amount of the charges
authorization in paragraph (d) of this by stating either a dollar or specified
section. percentage amount (or a combination
(2) Carriers may, by tariff rule, ex- of both) of the unpaid freight bill. The
tend credit for an additional time pe- tariff shall further specify the time pe-
riod, subject if they wish to a service riod (which shall at least allow for the
charge for that additional time. The authorized credit period) within which
combined length of the carrier’s stand- the shipper must pay to avoid such liq-
ard credit period (as defined in para- uidated damages.
graph (e)(1) of this section) and its ad- (ii) The second method is to require
ditional credit period shall not exceed payment of the full, nondiscounted
the 30-day maximum credit period pre- rate instead of the discounted rate oth-
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scribed in paragraph (d) of this section. erwise applicable. The difference be-
When such a tariff rule is in effect, tween the discount and the full rate

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Federal Motor Carrier Safety Administration, DOT § 377.205

constitutes a carrier’s liquidated dam- (d), (e), and (f) of this section shall not
ages for its collection effort. Under this result in unreasonable discrimination
method the tariff shall identify the dis- among shippers.
count rates that are subject to the con- [50 FR 2290, Jan 16, 1985, as amended at 53 FR
dition precedent and which require the 6991, Mar. 4, 1988; 54 FR 30748, July 24, 1989]
shipper to make payment by a date
certain. The date certain may not be § 377.205 Presentation of freight bills.
set to occur by the carrier until at (a) ‘‘To be prepaid’’ shipments. (1) On
least after the expiration of the car- ‘‘to be prepaid’’ shipments, the carrier
rier’s authorized credit period. shall present its freight bill for all
(2) The damages, the timing of their transportation charges within the time
applicability, and the conditions, if period prescribed in paragraph (a)(2) of
any, as provided by the tariff-rule this section, except—
methods allowed under paragraphs (i) As noted in paragraph (d) of this
(g)(1) (i) and (ii) of this section also: section, or
(i) Shall be clearly described in the (ii) As otherwise excepted in this
tariff rule; part.
(ii) Shall be applied without unlawful (2) The time period for a carrier to
prejudice and/or unjust discrimination present its freight bill for all transpor-
between similarly situated shippers tation charges shall be 7 days, meas-
and/or consignees; ured from the date the carrier received
(iii) Shall be applied only to the non- the shipment. This time period does
payment of original, separate and inde- not include Saturdays, Sundays, or
pendent freight bills and shall not legal holidays.
apply to aggregate balance-due claims (b) ‘‘Collect’’ shipments. (1) On ‘‘col-
sought for collection on past shipments lect’’ shipments, the carrier shall
by a bankruptcy trustee, or any other present its freight bill for all transpor-
person or agent; tation charges within the time period
(iv) Shall not apply to instances of prescribed in paragraph (b)(2) and of
clear clerical or ministerial error such this section, except—
as non-receipt of a carrier’s freight (i) As noted in paragraph (d) of this
bill, or shipper’s payment check lost in section, or
the mail, or carrier mailing of the (ii) As otherwise excepted in this
freight bill to the wrong address; part.
(v) Shall not apply in any way to a (2) The time period for a carrier to
charge for a transportation service if present its freight bill for all transpor-
the carrier’s bill of lading independ- tation charges shall be 7 days, meas-
ently provides that the shipper is liable ured from the date the shipment was
for fees incurred by the carrier in the delivered at its destination. This time
collection of freight charges on that period does not include Saturdays,
same transportation service; Sundays, or legal holidays.
(vi) shall be applied only after the (c) Bills or accompanying written no-
authorized credit period, and when the tices shall state penalties for late pay-
carrier has issued a revised freight bill ment, credit time limits and service charge
or notice of imposition of collection ex- and/or collection expense charge and dis-
pense charges for late payment within count terms. When credit is extended,
90 days after expiration of the author- freight bills or a separate written no-
ized credit period. tice accompanying a freight bill or a
(3) As an alternative to the tariff-rule group of freight bills presented at one
methods allowed under paragraphs time shall state that ‘‘failure timely to
(g)(1) (i) and (ii) of this section, a car- pay freight charges may be subject to
rier may, wholly outside of its tariff, tariff penalties’’ (or a statement of
assess collection charges though con- similar import). The bills or other no-
tract terms in a bill of lading. By using tice shall also state the time by which
the carrier and its bill of lading, the payment must be made and any appli-
shipper accepts the bill of lading cable service charge and/or collection
terms. expense charge and discount terms.
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(h) Discrimination prohibited. Tariff (d) When the carrier lacks sufficient in-
rules published pursuant to paragraphs formation to compute tariff charges. (1)

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§ 377.207 49 CFR Ch. III (10–1–07 Edition)

When information sufficient to enable the carrier may extend credit in the
the carrier to compute the tariff amount of such additional charges for
charges is not then available to the a period of 30 calendar days from the
carrier at its billing point, the carrier date of the presentation of the freight
shall present its freight bill for pay- bill for the additional charges.
ment within 7 days following the day
upon which sufficient information be- § 377.211 Computation of time.
comes available at the billing point. Time periods involving calendar days
This time period does not include Sat- shall be calculated pursuant to 49 CFR
urdays, Sundays, or legal holidays. 386.32(a).
(2) A carrier shall not extend further [50 FR 2290, Jan 16, 1985. Redesignated at 61
credit to any shipper which fails to fur- FR 54709, Oct. 21, 1996, as amended at 62 FR
nish sufficient information to allow the 15424, Apr. 1, 1997]
carrier to render a freight bill within a
reasonable time after the shipment is §§ 377.213–377.215 [Reserved]
tendered to the origin carrier.
(3) As used in this paragraph, the § 377.217 Interline settlement of reve-
nues.
term ‘‘shipper’’ includes, but is not
limited to, freight forwarders, and Nothing in this part shall be inter-
shippers’ associations and shippers’ preted as affecting the interline settle-
agents. ment of revenues from traffic which is
transported over through routes com-
[50 FR 2290, Jan 16, 1985, as amended at 54 FR posed of lines of common carriers sub-
30748, July 24, 1989; 62 FR 15424, Apr. 1, 1997]
ject to the Secretary’s jurisdiction
§ 377.207 Effect of mailing freight bills under 49 U.S.C. subtitle IV, part B.
or payments. [50 FR 2290, Jan 16, 1985. Redesignated at 61
(a) Presentation of freight bills by mail. FR 54709, Oct. 21, 1996, as amended at 62 FR
15424, Apr. 1, 1997]
When carriers present freight bills by
mail, the time of mailing shall be
deemed to be the time of presentation PART 378—PROCEDURES GOV-
of the bills. The term freight bills, as ERNING THE PROCESSING, IN-
used in this paragraph, includes both VESTIGATION, AND DISPOSITION
paper documents and billing by use of OF OVERCHARGE, DUPLICATE
electronic media such as computer PAYMENT, OR OVERCOLLECTION
tapes or disks, when the mails are used CLAIMS
to transmit them.
(b) Payment by mail. Wnen shippers Sec.
mail acceptable checks, drafts, or 378.1 Applicability.
money orders in payment of freight 378.2 Definitions.
charges, the act of mailing them with- 378.3 Filing and processing claims.
in the credit period shall be deemed to 378.4 Documentation of claims.
be the collection of the tariff charges 378.5 Investigation of claims.
378.6 Claim records.
within the credit period for the pur- 378.7 Acknowledgment of claims.
poses of the regulations in this part. 378.8 Disposition of claims.
(c) Disputes as to date of mailing. In 378.9 Disposition of unidentified payments,
case of dispute as to the date of mail- overcharges, duplicate payments, and
ing, the postmark shall be accepted as overcollections not supported by claims.
such date. AUTHORITY: 49 U.S.C. 13321, 14101, 14704 and
14705; and 49 CFR 1.73.
§ 377.209 Additional charges.
SOURCE: 43 FR 41040, Sept. 14, 1978, unless
When a carrier— otherwise noted. Redesignated at 61 FR 54707,
(a) Has collected the amount of tariff Oct. 21, 1996.
charges represented in a freight bill
presented by it as the total amount of § 378.1 Applicability.
such charges, and The regulations set forth in this part
(b) Thereafter presents to the shipper govern the processing of claims for
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another freight bill for additional overcharge, duplicate payment, or


charges— overcollection for the transportation of

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Federal Motor Carrier Safety Administration, DOT § 378.4

property in interstate or foreign com- tronically communicated (when agreed


merce by motor common carriers and to by the carrier and shipper or re-
household goods freight forwarders ceiver involved) with the carrier that
subject to 49 U.S.C. subtitle IV, part B. collected the transportation charges.
[43 FR 41040, Sept. 14, 1978, as amended at 51
The collecting carrier shall be the car-
FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 1, rier to process all such claims. When a
1997] claim is filed with another carrier that
participated in the transportation,
§ 378.2 Definitions. that carrier shall transmit the claim to
(a) Carrier means a motor common the collecting carrier within 15 days
carrier or household goods freight for- after receipt of the claim. If the col-
warder subject to 49 U.S.C. subtitle IV, lecting carrier is unable to dispose of
part B. the claim for any reason, the claim
(b) Overcharge means an overcharge may be filed with or transferred to any
as defined in 49 U.S.C. 14704(b). It also participating carrier for final disposi-
includes duplicate payments as defined tion.
in paragraph (c) of this section and (b) A single claim may include more
overcollections as defined in paragraph than one shipment provided the claim
(d) of this section when a dispute exists on each shipment involves:
between the parties concerning such (1) The same tariff issue or authority
charges. or circumstances,
(c) Duplicate payment means two or (2) Single line service by the same
more payments for transporting the carrier, or
same shipment. Where one or more (3) Service by the same interline car-
payment is not in the exact amount of riers.
the applicable tariff rates and charges, [43 FR 41040, Sept 14, 1978, as amended at 47
refunds shall be made on the basis of FR 12804, Mar. 25, 1982]
the excess amount over the applicable
tariff rates and charges. § 378.4 Documentation of claims.
(d) Overcollection means the receipt (a) Claims for overcharge, duplicate
by a household goods carrier of a pay- payment, or overcollection shall be ac-
ment in excess of the transportation companied by sufficient information to
and/or accessorial charges applicable to allow the carriers to conduct an inves-
a particular shipment of household tigation and pay or decline the claim
goods, as defined in part 375 of this within the time limitations set forth in
chapter, under tariffs lawfully on file § 378.8. Claims shall include the name of
with the United States Department of the claimant, its file number, if any,
Transportation’s Surface Transpor- and the amount of the refund sought to
tation Board. be recovered, if known.
(e) Unidentified payment means a pay- (b) Except when the original freight
ment which a carrier has received but bill is not a paper document but is elec-
which the carrier is unable to match tronically transmitted, claims for
with its open accounts receivable or overcharge shall be accompanied by
otherwise identify as being due for the the original freight bill. Additional in-
performance of transportation services. formation may include, but is not lim-
(f) Claimant means any shipper or re- ited to, the following:
ceiver, or its authorized agent, filing a (1) The rate, classification, or com-
request with a carrier for the refund of modity description or weight claimed
an overcharge, duplicate payment, or to have been applicable.
overcollection. (2) Complete tariff authority for the
[43 FR 41040, Sept. 14, 1978, as amended at 44 rate, classification, or commodity de-
FR 66832, Nov. 21, 1979; 51 FR 34989, Oct. 1, scription claimed.
1986; 51 FR 44297, Dec. 9, 1986; 62 FR 15424, (3) Freight bill payment information.
Apr. 1, 1997] (4) Other documents or data which is
believed by claimant to substantiate
§ 378.3 Filing and processing claims. the basis for its claim.
(a) A claim for overcharge, duplicate (c) Claims for duplicate payment and
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payment, or overcollection shall not be overcollection shall be accompanied by


paid unless filed in writing or elec- the original freight bill(s) for which

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§ 378.5 49 CFR Ch. III (10–1–07 Edition)

charges were paid (except when the assign it a successive claim file number
original freight bill is not a paper docu- and note that number on all documents
ment but is electronically transmitted) filed in support of the claim and all
and by freight bill payment informa- records and correspondence with re-
tion. spect to the claim, including the writ-
(d) Regardless of the provisions of ten or electronic acknowledgment of
paragraphs (a), (b), and (c) of this sec- receipt required under § 378.7. If perti-
tion, the failure to provide sufficient nent to the disposition of the claim,
information and documentation to the carrier shall also note that number
allow a carrier to conduct an investiga- on the shipping order and delivery re-
tion and pay or decline the claim with- ceipt, if any, covering the shipment in-
in the allowable time limitation shall volved.
not constitute grounds for disallow-
[47 FR 12804, Mar. 25, 1982, as amended at 62
ance of the claim. Rather, the carrier
FR 15425, Apr. 1, 1997]
shall comply with § 378.5(c) to obtain
the additional information required. § 378.7 Acknowledgment of claims.
(e) A carrier shall accept copies in-
stead of the orginal documents re- Upon receipt of a written or elec-
quired to be submitted in this section tronically transmitted claim, the car-
where the carrier is furnished with an rier shall acknowledge its receipt in
agreement entered into by the claim- writing or electronically to the claim-
ant which indemnifies the carrier for ant within 30 days after the date of re-
subsequent duplicate claims which ceipt except when the carrier shall
might be filed and supported by the have paid or declined in writing or
original documents. electronically within that period. The
carrier shall include the date of receipt
[43 FR 41040, Sept. 14, 1978, as amended at 44 in its written or electronic claim which
FR 4679, Jan. 23, 1979; 47 FR 12804, Mar. 25, shall be placed in the file for that
1982; 62 FR 15424, Apr. 1, 1997]
claim.
§ 378.5 Investigation of claims. [47 FR 12804, Mar. 25, 1982]
(a) Upon receipt of a claim, whether
written or otherwise, the processing § 378.8 Disposition of claims.
carrier shall promptly initiate an in- The processing carrier shall pay, de-
vestigation and establish a file, as re- cline to pay, or settle each written or
quired by § 378.6. electronically communicated claim
(b) If a carrier discovers an over- within 60 days after its receipt by that
charge, duplicate payment, or over- carrier, except where the claimant and
collection which has not been the sub- the carrier agree in writing or elec-
ject of a claim, it shall promptly ini- tronically to a specific extension based
tiate an investigation and comply with upon extenuating circumstances. If the
the provisions in § 378.9. carrier declines to pay a claim or
(c) In the event the carrier processing makes settlement in an amount dif-
the claim requires information or doc- ferent from that sought, the carrier
uments in addition to that submitted shall notify the claimant in writing or
with the claim, the carrier shall electronically, of the reason(s) for its
promptly notify the claimant and re- action, citing tariff authority or other
quest the information required. This pertinent information developed as a
includes notifying the claimant that a result of its investigation.
written or electronically transmitted
[47 FR 12804, Mar. 25, 1982]
claim must be filed before the carrier
becomes subject to the time limits for § 378.9 Disposition of unidentified pay-
settling such a claim under § 378.8. ments, overcharges, duplicate pay-
[43 FR 41040, Sept. 14, 1978, as amended at 47 ments, and overcollections not sup-
FR 12804, Mar. 25, 1982; 62 FR 15424, 15425, ported by claims.
Apr. 1, 1997] (a)(1) Carriers shall establish proce-
dures for identifying and properly ap-
§ 378.6 Claim records. plying all unidentified payments. If a
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At the time a claim is received the carrier does not have sufficient infor-
carrier shall create a separate file and mation with which properly to apply

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Federal Motor Carrier Safety Administration, DOT § 379.3

such a payment, the carrier shall no- been submitted and shall record in the
tify the payor of the unidentified pay- file the date it discovered or was noti-
ment within 60 days of receipt of the fied of the overpayment. The carrier
payment and request information that collected the charges shall then
which will enable it to identify the refund the amount of the overpayment
payment. If the carrier does not receive to the person who paid the transpor-
the information requested within 90 tation charges or to the person that
days from the date of the notice, the made duplicate payment within 30 days
carrier may treat the unidentified pay- from the date of such discovery or noti-
ment as a payment in fact of freight fication.
charges owing to it. Following the 90- [43 FR 41040, Sept. 14, 1978, as amended at 44
day period, the regular claims proce- FR 66832, Nov. 21, 1979]
dure under this part shall be applica-
ble. PART 379—PRESERVATION OF
(2) Notice shall be in writing and
clearly indicate that it is a final notice
RECORDS
and not a bill. Notice shall include: The
Sec.
check number, amount, and date; the 379.1 Applicability.
payor’s name; and any additional basic 379.3 Records required to be retained.
information the carrier is able to pro- 379.5 Protection and storage of records.
vide. The final notice also must inform 379.7 Preservation of records.
payor that: (i) Applicable regulations 379.9 Companies going out of business.
allow the carrier to conditionally re- 379.11 Waiver of requirements of the regula-
tain the payment as revenue in the ab- tions in this part.
379.13 Disposition and retention of records.
sence of a timely response by the
APPENDIX A TO PART 379—SCHEDULE OF
payor; and (ii) following the 90-day pe-
RECORDS AND PERIODS OF RETENTION
riod the regular claims procedure shall
be applicable. AUTHORITY: 49 U.S.C. 13301, 14122 and 14123;
(3) Upon a carrier’s receipt of infor- and 49 CFR 1.73.
mation from the payor, the carrier SOURCE: 62 FR 32044, June 12, 1997, unless
shall, within 14 days: (i) Make a com- otherwise noted.
plete refund of such funds to the payor; EDITORIAL NOTE: Nomenclature changes to
or (ii) notify the payor that the infor- part 379 appear at 66 FR 49871, Oct. 1, 2001.
mation supplied is not sufficient to
identify the unapplied payment and re- § 379.1 Applicability.
quest additional information; or (iii) (a) The preservation of record rules
notify the payor of the carrier’s deter- contained in this part shall apply to
mination that such payment was appli- the following:
cable to particular freight charges law- (1) Motor carriers and brokers;
fully due the carrier. Where no refund (2) Water carriers; and
is made by the carrier, the carrier shall (3) Household goods freight for-
advise the payor of its right to file a warders.
formal claim for refund with the car- (b) This part applies also to the pres-
rier in accordance with the regular ervation of accounts, records and
claims procedure under this part. memoranda of traffic associations,
(b) When a carrier which participates weighing and inspection bureaus, and
in a transportation movement, but did other joint activities maintained by or
not collect the transporation charges, on behalf of companies listed in para-
finds that an overpayment has been graph (a) of this section.
made, that carrier shall immediately
notify the collecting carrier. When the § 379.3 Records required to be re-
collecting carrier (when single or joint tained.
line haul) discovers or is notified by Companies subject to this part shall
such a participating carrier that an retain records for the minimum reten-
overcharge, duplicate payment, or tion periods provided in appendix A to
overcollection exists for any this part. After the required retention
tranportation charge which has not periods, the records may be destroyed
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been the subject of a claim, the carrier at the discretion of each company’s
shall create a file as if a claim had management. It shall be the obligation

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§ 379.5 49 CFR Ch. III (10–1–07 Edition)

of the subject company to maintain (d) The printed side of forms, such as
records that adequately support finan- instructions, need not be preserved for
cial and operational data required by each record as long as the printed mat-
the Secretary. The company may re- ter is common to all such forms and an
quest a ruling from the Secretary on identified specimen of the form is
the retention of any record. The provi- maintained on the medium for ref-
sions of this part shall not be con- erence.
strued as excusing compliance with the
lawful requirements of any other gov- § 379.9 Companies going out of busi-
ernmental body prescribing longer re- ness.
tention periods for any category of The records referred to in the regula-
records. tions in this part may be destroyed
after business is discontinued and the
§ 379.5 Protection and storage of company is completely liquidated. The
records. records may not be destroyed until dis-
(a) The company shall protect solution is final and all pending trans-
records subject to this part from fires, actions and claims are completed.
floods, and other hazards, and safe- When a company is merged with an-
guard the records from unnecessary ex- other company under jurisdiction of
posure to deterioration from excessive the Secretary, the successor company
humidity, dryness, or lack of ventila- shall preserve records of the merged
tion. company in accordance with the regu-
lations in this part.
(b) The company shall notify the Sec-
retary if prescribed records are sub- § 379.11 Waiver of requirements of the
stantially destroyed or damaged before regulations in this part.
the term of the prescribed retention pe-
A waiver from any provision of the
riods.
regulations in this part may be made
§ 379.7 Preservation of records. by the Secretary upon his/her own ini-
tiative or upon submission of a written
(a) All records may be preserved by request by the company. Each request
any technology that is immune to al- for waiver shall demonstrate that un-
teration, modification, or erasure of usual circumstances warrant a depar-
the underlying data and will enable ture from prescribed retention periods,
production of an accurate and procedures, or techniques, or that com-
unaltered paper copy. pliance with such prescribed require-
(b) Records not originally preserved ments would impose an unreasonable
on hard copy shall be accompanied by a burden on the company.
statement executed by a person having
personal knowledge of the facts indi- § 379.13 Disposition and retention of
cating the type of data included within records.
the records. One comprehensive state- The schedule in appendix A to this
ment may be executed in lieu of indi- part shows periods that designated
vidual statements for multiple records records shall be preserved. The descrip-
if the type of data included in the mul- tions specified under the various gen-
tiple records is common to all such eral headings are for convenient ref-
records. The records shall be indexed erence and identification, and are in-
and retained in such a manner as will tended to apply to the items named re-
render them readily accessible. The gardless of what the records are called
company shall have facilities available in individual companies and regardless
to locate, identify and produce legible of the record media. The retention pe-
paper copies of the records. riods represent the prescribed number
(c) Any significant characteristic, of years from the date of the document
feature or other attribute that a par- and not calendar years. Records not
ticular medium will not preserve shall listed in appendix A to this part shall
be clearly indicated at the beginning of be retained as determined by the man-
the applicable records as appropriate. agement of each company.
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Federal Motor Carrier Safety Administration, DOT Pt. 379, App. A

APPENDIX A TO PART 379—SCHEDULE OF RECORDS AND PERIODS OF RETENTION


Item and category of records Retention period

A. Corporate and General


1. Incorporation and reorganization:
(a) Charter or certificate of incorporation and amendments ...................... Note A.
(b) Legal documents related to mergers, consolidations, reorganization, Note A.
receiverships and similar actions which affect the identity or organiza-
tion of the company.
2. Minutes of Directors, Executive Committees, Stockholders and other corporate Note A.
meetings.
3. Titles, franchises and authorities:
(a) Certificates of public convenience and necessity issued by regulating Until expiration or cancellation.
bodies.
(b) Operating authorizations and exemptions to operate ........................... Until expiration or cancellation.
(c) Copies of formal orders of regulatory bodies served upon the com- Note A.
pany.
(d) Deeds, charters, and other title papers ................................................. Until disposition of property.
(e) Patents and patent records ................................................................... Note A.
4. Annual reports or statements to stockholders ...................................................... 3 years.
5. Contracts and agreements:
(a) Service contracts, such as for operational management, accounting, Until expiration or termination plus 3 years.
financial or legal services, and agreements with agents.
(b) Contracts and other agreements relating to the construction, acquisi- Until expiration or termination plus 3 years.
tion or sale of real property and equipment except as otherwise pro-
vided in (a) above.
(c) Contracts for the purchase or sale of material and supplies except as Until expiration.
provided in (a) above.
(d) Shipping contracts for transportation or caretakers of freight ............... Until expiration.
(e) Contracts with employees and employee bargaining groups ............... Until expiration.
(f) Contracts, leases and agreements, not specifically provided for in this Until expiration or termination plus 1 year.
section.
6. Accountant’s auditor’s, and inspector’s reports:
(a) Certifications and reports of examinations and audits conducted by 3 years.
public accountants.
(b) Reports of examinations and audits conducted by internal auditors, 3 years.
time inspectors, and others.
7. Other ...................................................................................................................... Note A.
B. Treasury
1. Capital stock records:
(a) Capital stock ledger ............................................................................... Note A.
(b) Capital stock certificates, records of or stubs of ................................... Note A.
(c) Stock transfer register ........................................................................... Note A.
2. Long-term debt records:
(a) Bond indentures, underwritings, mortgages, and other long-term Until redemption plus 3 years.
credit agreements.
(b) Registered bonds and debenture ledgers ............................................. Until redemption plus 3 years.
(c) Stubs or similar records of bonds or other long-term debt issued ....... Note A.
3. Authorizations from regulatory bodies for issuance of securities including appli- Note A.
cations, reports, and supporting papers.
4. Records of securities owned, in treasury, or held by custodians, detailed ledg- Until the securities are sold, redeemed or
ers and journals, or their equivalent. otherwise disposed of.
5. Other ...................................................................................................................... Note A.
C. Financial and Accounting
1. Ledgers:
(a) General and subsidiary ledgers with indexes ....................................... Until discontinuance of use plus 3 years.
(b) Balance sheets and trial balance sheets of general and subsidiary 3 years.
ledgers.
2. Journals:
(a) General journals .................................................................................... Until discontinuance of use plus 3 years.
(b) Subsidiary journals and any supporting data, except as otherwise 3 years.
provided for, necessary to explain journal entries.
3. Cash books:
(a) General cash books .............................................................................. Until discontinuance of use plus 3 years.
(b) Subsidiary cash books .......................................................................... 3 years.
4. Vouchers:
(a) Voucher registers, indexes, or equivalent ............................................. 3 years.
(b) Paid and canceled vouchers, expenditure authorizations, detailed dis- 3 years.
tribution sheets and other supporting data including original bills and
invoices, if not provided for elsewhere.
(c) Paid drafts, paid checks, and receipts for cash paid out ...................... 3 years.
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5. Accounts receivable:
(a) Record or register of accounts receivable, indexes thereto, and sum- 3 years after settlement.
maries of distribution.

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Pt. 379, App. A 49 CFR Ch. III (10–1–07 Edition)

Item and category of records Retention period

(b) Bills issued for collection and supporting data ...................................... 3 years after settlement.
(c) Authorization for writing off receivables ................................................ 1 year.
(d) Reports and statements showing age and status of receivables ......... 1 year.
6. Records of accounting codes and instructions ..................................................... 3 years after discontinuance.
7. Other ...................................................................................................................... Note A.
D. Property and Equipment
Note.—All accounts, records, and memoranda necessary for making a complete analysis of the cost or value of property shall
be retained for the periods shown. If any of the records elsewhere provided for in this schedule are of this character, they shall
be retained for the periods shown below, regardless of any lesser retention period assigned.
1. Property records:
(a) Records which maintain complete information on cost or other value 3 years after disposition of property.
of all real and personal property or equipment.
(b) Records of additions and betterments made to property and equip- 3 years after disposition of property.
ment.
(c) Records pertaining to retirements and replacements of property and 3 years after disposition of property.
equipment.
(d) Records pertaining to depreciation ....................................................... 3 years after disposition of property.
(e) Records of equipment number changes ............................................... 3 years after disposition of property.
(f) Records of motor and engine changes .................................................. 3 years after disposition of property.
(g) Records of equipment lightweighed and stenciled ............................... Only current or latest records.
2. Engineering records of property changes actually made ..................................... 3 years after disposition of property.
3. Other ...................................................................................................................... Note A.
E. Personnel and Payroll
1. Personnel and payroll records .............................................................................. 1 year.
F. Insurance and Claims
1. Insurance records:
(a) Schedules of insurance against fire, storms, and other hazards and Until expiration plus 1 year.
records of premium payments.
(b) Records of losses and recoveries from insurance companies and 1 year after settlement.
supporting papers.
(c) Insurance policies .................................................................................. Until expiration of coverage plus 1 year.
2. Claims records:
(a) Claim registers, card or book indexes, and other records which 1 year after settlement.
record personal injury, fire and other claims against the company, to-
gether with all supporting data.
(b) Claims registers, card or book indexes, and other records which 1 year after settlement.
record overcharges, damages, and other claims filed by the company
against others, together with all supporting data.
(c) Records giving the details of authorities issued to agents, carriers, 3 years.
and others for participation in freight claims.
(d) Reports, statements and other data pertaining to personal injuries or 3 years.
damage to property when not necessary to support claims or vouchers.
(e) Reports, statements, tracers, and other data pertaining to unclaimed, 1 year.
over, short, damaged, and refused freight, when not necessary to sup-
port claims or vouchers.
(f) Authorities for disposal of unclaimed, damaged, and refused freight ... 3 years.
3. Other ...................................................................................................................... Note A.
G. Taxes
1. Taxes. .................................................................................................................... Note A.
H. Purchases and Stores
1. Purchases and stores. .......................................................................................... Note A.
I. Shipping and Agency Documents
1. Bills of lading and releases:
(a) Consignors’ shipping orders, consignors’ shipping tickets, and copies 1 year.
of bills of lading, freight bills from other carriers and other similar docu-
ments furnished the carrier for movement of freight.
(b) Shippers’ order-to-notify bills of lading taken up and canceled ............ 1 year.
2. Freight waybills:
(a) Local waybills ........................................................................................ 1 year.
(b) Interline waybills received from and made to other carriers ................. 1 year.
(c) Company freight waybills ....................................................................... 1 year.
(d) Express waybills .................................................................................... 1 year.
3. Freight bills and settlements:
(a) Paid copy of freight bill retained to support receipt of freight charges:
(1) Bus express freight bills provided no claim has been filed .... 1 year.
(2) All other freight bills ................................................................ 1 year.
(b) Paid copy of freight bill retained to support payment of freight
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charges to other carriers:


(1) Bus express freight bills provided no claim has been filed .... 1 year.
(2) All other freight bills ................................................................ 1 year.

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Federal Motor Carrier Safety Administration, DOT Pt. 379, App. A

Item and category of records Retention period

(c) Records of unsettled freight bills and supporting papers ...................... 1 year after disposition.
(d) Records and reports of correction notices ............................................ 1 year.
4. Other freight records:
(a) Records of freight received, forwarded, and delivered ......................... 1 year.
(b) Notice to consignees of arrival of freight; tender of delivery ................ 1 year.
5. Agency records (to include conductors, pursers, stewards, and others):
(a) Cash books ............................................................................................ 1 year.
(b) Remittance records, bank deposit slips and supporting papers ........... 1 year.
(c) Balance sheets and supporting papers ................................................. 1 year.
(d) Statements of corrections in agents’ accounts ..................................... 1 year.
(e) Other records and reports pertaining to ticket sales, baggage han- 1 year.
dled, miscellaneous collections, refunds, adjustments, etc..
J. Transportation
1. Records pertaining to transportation of household goods:
(a) Estimate of charges ............................................................................... 1 year.
(b) Order for service .................................................................................... 1 year.
(c) Vehicle-load manifest ............................................................................ 1 year.
(d) Descriptive inventory ............................................................................. 1 year.
2. Records and reports pertaining to operation of marine and floating equipment:
(a) Ship log .................................................................................................. 3 years.
(b) Ship articles ........................................................................................... 3 years.
(c) Passenger and room list ........................................................................ 3 years.
(d) Floatmen’s barge, lighter, and escrow captain’s reports, demurrage 2 years.
records, towing reports and checks sheets.
3. Dispatchers’ sheets, registers, and other records pertaining to movement of 3 years.
transportation equipment.
4. Import and export records including bonded freight and steamship engage- 2 years.
ments.
5. Records, reports, orders and tickets pertaining to weighting of freight ................ 3 years.
6. Records of loading and unloading of transportation equipment ........................... 2 years.
7. Records pertaining to the diversion or reconsignment of freight, including re- 2 years.
quests, tracers, and correspondence.
8. Other ...................................................................................................................... Note A.
K. Supporting Data for Reports and Statistics
1. Supporting data for reports filed with the Federal Motor Carrier Safety Adminis-
tration, the Surface Transportation Board, the Department of Transportation’s
Bureau of Transportation Statistics and regulatory bodies:
(a) Supporting data for annual financial, operating and statistical reports 3 years.
(b) Supporting data for periodical reports of operating revenues, ex- 3 years.
penses, and income.
(c) Supporting data for reports detailing use of proceeds from issuance 3 years.
or sale of company securities.
(d) Supporting data for valuation inventory reports and records. This in- 3 years after disposition of the property.
cludes related notes, maps and sketches, underlying engineering,
land, and accounting reports, pricing schedules, summary or collection
sheets, yearly reports of changes and other miscellaneous data, all re-
lating to the valuation of the company’s property by the Federal High-
way Administration, the Surface Transportation Board, the Department
of Transportation’s Bureau of Transportation Statistics or other regu-
latory body.
2. Supporting data for periodical reports of accidents, inspections, tests, hours of 3 years.
service, repairs, etc..
3. Supporting data for periodical statistical of operating results or performance by 3 years.
tonnage, mileage, passengers carried, piggyback traffic, commodities, costs,
analyses of increases and decreases, or otherwise.
M. Miscellaneous
1. Index of records .................................................................................................... Until revised as record structure changes.
2. Statement listing records prematurely destroyed or lost ...................................... For the remainder of the period as pre-
scribed for records destroyed.
NOTE A—Records referenced to this note shall be maintained as determined by the designated records supervisory official.
Companies should be mindful of the record retention requirements of the Internal Revenue Service, Securities and Exchange
Commission, State and local jurisdictions, and other regulatory agencies. Companies shall exercise reasonable care in choosing
retention periods, and the choice of retention periods shall reflect past experiences, company needs, pending litigation, and regu-
latory requirements.
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151

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Pt. 380 49 CFR Ch. III (10–1–07 Edition)

PART 380—SPECIAL TRAINING Subpart A—Longer Combination


REQUIREMENTS Vehicle (LCV) Driver-Training
and Driver-Instructor Require-
Subpart A—Longer Combination Vehicle ments—General
(LCV) Driver-Training and Driver-In-
structor Requirements—General § 380.101 Purpose and scope.
Sec.
(a) Purpose. The purpose of this part
380.101 Purpose and scope.
is to establish minimum requirements
380.103 Applicability. for operators of longer combination ve-
380.105 Definitions. hicles (LCVs) and LCV driver-instruc-
380.107 General requirements. tors.
380.109 Driver testing. (b) Scope. This part establishes:
380.111 Substitute for driver training. (1) Minimum training requirements
380.113 Employer responsibilities. for operators of LCVs;
(2) Minimum qualification require-
Subpart B—LCV Driver-Training Program ments for LCV driver-instructors; and
(3) Procedures for determining com-
380.201 General requirements. pliance with this part by operators, in-
380.203 LCV Doubles. structors, training institutions, and
380.205 LCV Triples. employers.
Subpart C—LCV Driver-Instructor § 380.103 Applicability.
Requirements
The rules in this part apply to all op-
380.301 General requirements. erators of LCVs in interstate com-
380.303 Substitute for instructor require- merce, employers of such persons, and
ments. LCV driver-instructors.
380.305 Employer responsibilities.
§ 380.105 Definitions.
Subpart D—Driver-Training Certification (a) The definitions in part 383 of this
380.401 Certification document. subchapter apply to this part, except
where otherwise specifically noted.
Subpart E—Entry-Level Driver Training (b) As used in this part:
Requirements Classroom instructor means a qualified
LCV driver-instructor who provides
380.501 Applicability. knowledge instruction that does not
380.502 Definitions. involve the actual operation of a longer
380.503 Entry-level driver training require- combination vehicle or its components.
ments. Instruction may take place in a park-
380.505 Proof of training. ing lot, garage, or any other facility
380.507 Driver responsibilities. suitable for instruction.
380.509 Employer responsibilities. Longer combination vehicle (LCV)
380.511 Employer recordkeeping responsibil- means any combination of a truck-
ities.
tractor and two or more trailers or
380.513 Required information on the train-
semi-trailers, which operate on the Na-
ing certificate.
tional System of Interstate and De-
APPENDIX TO PART 380—LCV DRIVER TRAIN- fense Highways with a gross vehicle
ING PROGRAMS, REQUIRED KNOWLEDGE AND
weight (GVW) greater than 36,288 kilo-
SKILLS
grams (80,000 pounds).
AUTHORITY: 49 U.S.C. 31133, 31136, 31307, and LCV Double means an LCV consisting
31502; sec. 4007(a) and (b) of Pub. L. 102–240 of a truck-tractor in combination with
(105 Stat. 2151–2152); and 49 CFR 1.73. two trailers and/or semi-trailers.
SOURCE: 69 FR 16732, Mar. 30, 2004, unless LCV Triple means an LCV consisting
otherwise noted. of a truck-tractor in combination with
three trailers and/or semi-trailers.
Qualified LCV driver-instructor means
an instructor meeting the require-
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ments contained in subpart C of this


part. There are two types of qualified

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Federal Motor Carrier Safety Administration, DOT § 380.109

LCV driver-instructors: (1) classroom tual operation of an LCV, must be ad-


instructor and (2) skills instructor. ministered by a qualified LCV skills in-
Skills instructor means a qualified structor.
LCV driver-instructor who provides be- (1) All tests shall be constructed to
hind-the-wheel instruction involving determine if the driver-student pos-
the actual operation of a longer com- sesses the required knowledge and
bination vehicle or its components out- skills set forth in the appendix to this
side a classroom. part for the specific type of LCV train-
Training institution means any tech- ing program being taught.
nical or vocational school accredited
(2) Instructors shall develop their
by an accrediting institution recog-
nized by the U.S. Department of Edu- own tests for the specific type of LCV-
cation. A motor carrier’s training pro- training program being taught, but
gram for its drivers or an entity that those tests must be at least as strin-
exclusively offers services to a single gent as the requirements set forth in
motor carrier is not a training institu- paragraph (b) of this section.
tion. (3) LCV driver-instructors shall es-
tablish specific methods for scoring the
§ 380.107 General requirements. knowledge and skills tests.
(a) Except as provided in § 380.111, a (4) Passing scores must meet the re-
driver who wishes to operate an LCV quirements of paragraph (b) of this sec-
shall first take and successfully com- tion.
plete an LCV driver-training program (5) Knowledge and skills tests shall
that provides the knowledge and skills be based upon the information taught
necessary to operate an LCV. The spe- in the LCV training programs as set
cific types of knowledge and skills that forth in the appendix to this part.
a training program shall include are (6) Each knowledge test shall address
outlined in the appendix to this part. the training provided during both theo-
(b) Before a person receives training:
retical and behind-the-wheel instruc-
(1) That person shall present evidence
tion, and include at least one question
to the LCV driver-instructor showing
that he/she meets the general require- from each of the units listed in the
ments set forth in subpart B of this table to the appendix to this part, for
part for the specific type of LCV train- the specific type of LCV training pro-
ing to be taken. gram being taught.
(2) The LCV driver-instructor shall (7) Each skills test shall include all
verify that each trainee applicant the maneuvers and operations prac-
meets the general requirements for the ticed during the Proficiency Develop-
specific type of LCV training to be ment unit of instruction (behind-the-
taken. wheel instruction), as described in the
(c) Upon successful completion of the appendix to this part, for the specific
training requirement, the driver-stu- type of LCV training program being
dent shall be issued an LCV Driver taught.
Training Certificate by a certifying of- (b) Proficiency determinations. The
ficial of the training entity in accord- driver-student must meet the following
ance with the requirements specified in conditions to be certified as an LCV
subpart D of this part. driver:
§ 380.109 Driver testing. (1) Answer correctly at least 80 per-
cent of the questions on each knowl-
(a) Testing methods. The driver-stu-
edge test; and
dent must pass knowledge and skills
tests in accordance with the following (2) Demonstrate that he/she can suc-
requirements, to determine whether a cessfully perform all of the skills ad-
driver-student has successfully com- dressed in paragraph (a)(7) of this sec-
pleted an LCV driver-training program tion.
as specified in subpart B of this part. (c) Automatic test failure. Failure to
The written knowledge test may be ad- obey traffic laws or involvement in a
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ministered by any qualified driver-in- preventable crash during the skills por-
structor. The skills tests, based on ac- tion of the test will result in automatic

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§ 380.111 49 CFR Ch. III (10–1–07 Edition)

failure. Automatic test failure deter- (3) No suspension, revocation, or can-


minations are made at the sole discre- cellation of his/her CDL;
tion of the qualified LCV driver-in- (4) No convictions for a major offense
structor. while operating a CMV as defined in
(d) Guidance for testing methods and § 383.51(b) of this subchapter;
proficiency determinations. Motor car- (5) No convictions for a railroad-high-
riers should refer to the Examiner’s way grade crossing offense while oper-
Manual for Commercial Driver’s Li- ating a CMV as defined in § 383.51(d) of
cense Tests for help in developing test- this subchapter;
ing methods and making proficiency (6) No convictions for violating an
determinations. You may obtain a copy out-of-service order as defined in
of this document by contacting the § 383.51(e) of this subchapter;
American Association of Motor Vehicle (7) No more than one conviction for a
Administrators (AAMVA), 4300 Wilson serious traffic violation, as defined in
Boulevard, Suite 400, Arlington, Vir- § 383.5 of this subchapter, while oper-
ginia 22203. ating a CMV; and
(8) No convictions for a violation of
§ 380.111 Substitute for driver train- State or local law relating to motor ve-
ing. hicle traffic control arising in connec-
tion with any traffic crash while oper-
(a) Grandfather clause. The LCV driv- ating a CMV.
er-training requirements specified in (c) An individual must certify and
subpart B of this part do not apply to provide evidence that he/she:
an individual who meets the conditions (1) Is regularly employed in a job re-
set forth in paragraphs (b), (c), and (d) quiring the operation of a CMV that re-
of this section. A motor carrier must quires a CDL with a double/triple trail-
ensure that an individual claiming eli- ers endorsement; and
gibility to operate an LCV on the basis (2) Has operated, during the 2 years
of this section meets these conditions immediately preceding the date of ap-
before allowing him/her to operate an plication for a Certificate of
LCV. Grandfathering, vehicles representa-
(b) An individual must certify that, tive of the type of LCV that he/she
during the 2-year period immediately seeks to continue operating.
preceding the date of application for a (d) A motor carrier must issue a Cer-
Certificate of Grandfathering, he/she tificate of Grandfathering to a person
had: who meets the requirements of this
(1) A valid Class A CDL with a ‘‘dou- section and must maintain a copy of
ble/triple trailers’’ endorsement; the certificate in the individual’s Driv-
(2) No more than one driver’s license; er Qualification file.
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154

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Federal Motor Carrier Safety Administration, DOT § 380.201

(e) An applicant may be grand- part when requested by an authorized


fathered under this section only during FMCSA, State, or local official in the
the year following June 1, 2004. course of a compliance review.

§ 380.113 Employer responsibilities. Subpart B—LCV Driver-Training


(a) No motor carrier shall: Program
(1) Allow, require, permit or author-
ize an individual to operate an LCV un- § 380.201 General requirements.
less he/she meets the requirements in (a) The LCV Driver-Training Pro-
§§ 380.203 or 380.205 and has been issued gram that is described in the appendix
the LCV driver-training certificate de- to this part requires training using an
scribed in § 380.401. This provision does LCV Double or LCV Triple and must
not apply to individuals who are eligi- include the following general cat-
ble for the substitute for driver train- egories of instruction:
ing provision in § 380.111. (1) Orientation;
(2) Allow, require, permit, or author- (2) Basic operation;
ize an individual to operate an LCV (3) Safe operating practices;
which the LCV driver-training certifi- (4) Advanced operations; and
cate, CDL, and CDL endorsement(s) do (5) Nondriving activities.
not authorize the driver to operate. (b) The LCV Driver-Training Pro-
This provision applies to individuals gram must include the minimum top-
employed by or under contract to the ics of training set forth in the appendix
motor carrier. to this part and behind-the-wheel in-
(b) A motor carrier that employs or struction that is designed to provide an
has under contract LCV drivers shall opportunity to develop the skills out-
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provide evidence of the certifications lined under the Proficiency Develop-


required by § 380.401 or § 380.111 of this ment unit of the training program.

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§ 380.203 49 CFR Ch. III (10–1–07 Edition)

§ 380.203 LCV Doubles. (1) A valid Class A CDL with a dou-


ble/triple trailer endorsement;
(a) To qualify for the training nec-
(2) Experience operating the vehicle
essary to operate an LCV Double, a
listed under paragraph (a)(2)(i) or
driver-student shall, during the 6
(a)(2)(ii) of this section. Evidence of
months immediately preceding applica-
driving experience shall be an employ-
tion for training, have: er’s written statement that the driver
(1) A valid Class A CDL with a dou- has, during the 6 months immediately
ble/triple trailer endorsement; preceding application, operated the ap-
(2) Driving experience in a Group A plicable vehicle(s):
vehicle as described in § 383.91 of this (i) Group A truck-tractor/semi-trailer
subchapter. Evidence of driving experi- combination as described in § 383.91 of
ence shall be an employer’s written this subchapter; or
statement that the driver has, for at (ii) Group A truck-tractor/semi-trail-
least 6 months immediately preceding er/trailer combination that operates at
application, operated a Group A vehicle a gross vehicle weight of 80,000 pounds
while under his/her employ; or less;
(3) No more than one driver’s license; (3) No more than one driver’s license;
(4) No suspension, revocation, or can- (4) No suspension, revocation, or can-
cellation of his/her CDL; cellation of his/her CDL;
(5) No convictions for a major of- (5) No convictions for a major of-
fense, as defined in § 383.51(b) of this fense, as defined in § 383.51(b) of this
subchapter, while operating a CMV; subchapter, while operating a CMV;
(6) No convictions for a railroad-high- (6) No convictions for a railroad-high-
way grade crossing offense, as defined way grade crossing offense, as defined
in § 383.51(d) of this subchapter, while in § 383.51(d) of this subchapter, while
operating a CMV; operating a CMV;
(7) No convictions for violating an (7) No convictions for violating an
out-of-service order as defined in out-of-service order, as defined in
§ 383.51(e) of this subchapter; § 383.51(e) of this subchapter;
(8) No more than one conviction for a (8) No more than one conviction for a
serious traffic violation, as defined in serious traffic violation, as defined in
§ 383.5 of this subchapter, while oper- § 383.5 of this subchapter, while oper-
ating a CMV; and ating a CMV; and
(9) No convictions for a violation of (9) No convictions for a violation of
State or local law relating to motor ve- State or local law relating to motor ve-
hicle traffic control arising in connec- hicle traffic control arising in connec-
tion with any traffic crash while oper- tion with any traffic crash, while oper-
ating a CMV. ating a CMV.
(b) Driver-students meeting the pre- (b) Driver-students meeting the pre-
liminary requirements in paragraph (a) liminary requirements in paragraph (a)
of this section shall successfully com- of this section shall successfully com-
plete a training program that meets plete a training program that meets
the minimum unit requirements for the minimum unit requirements for
LCV Doubles as set forth in the appen- LCV Triples as set forth in the appen-
dix to this part. dix to this part.
(c) Driver-students who successfully (c) Driver-students who successfully
complete the Driver Training Program complete the Driver Training Program
for LCV Doubles shall be issued a cer- for LCV Triples shall be issued a cer-
tificate, in accordance with subpart D tificate, in accordance with subpart D
of this part, indicating the driver is of this part, indicating the driver is
qualified to operate an LCV Double. qualified to operate an LCV Triple.

§ 380.205 LCV Triples. Subpart C—LCV Driver-Instructor


(a) To qualify for the training nec- Requirements
essary to operate an LCV Triple, a
driver-student shall, during the 6 § 380.301 General requirements.
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months immediately preceding applica- There are two types of LCV driver-in-
tion for training, have: structors: Classroom instructors and

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Federal Motor Carrier Safety Administration, DOT § 380.401

Skills instructors. Except as provided (1) Meets the conditions of


in § 380.303, you must meet the condi- § 380.111(b);
tions under paragraph (a) or paragraph (2) Has CMV driving experience dur-
(b) of this section to qualify as an LCV ing the previous 2 years in a vehicle
driver-instructor. representative of the type of LCV that
(a) Classroom instructor. To qualify as is the subject of the training course to
an LCV Classroom instructor, a person be provided;
shall: (3) Has experience during the pre-
(1) Have audited the driver-training vious 2 years in teaching the operation
course that he/she intends to instruct. of the type of LCV that is the subject
(2) If employed by a training institu- of the training course to be provided;
tion, meet all State requirements for a and
vocational instructor. (4) If employed by a training institu-
(b) Skills instructor. To qualify as an tion, meets all State requirements for
LCV skills instructor, a person shall: a vocational instructor.
(1) Provide evidence of successful § 380.305 Employer responsibilities.
completion of the Driver-Training Pro-
gram requirements, as set forth in sub- (a) No motor carrier shall: (1) Know-
part B of this part, when requested by ingly allow, require, permit or author-
employers and/or an authorized ize a driver-instructor in its employ, or
FMCSA, State, or local official in the under contract to the motor carrier, to
course of a compliance review. The provide LCV driver training unless
Driver-Training Program must be for such person is a qualified LCV driver-
the operation of CMVs representative instructor under the requirements of
of the subject matter that he/she will this subpart; or
teach. (2) Contract with a training institu-
(2) If employed by a training institu- tion to provide LCV driver training un-
tion, meet all State requirements for a less the institution:
vocational instructor; (i) Uses instructors who are qualified
(3) Possess a valid Class A CDL with LCV driver-instructors under the re-
all endorsements necessary to operate quirements of this subpart;
the CMVs applicable to the subject (ii) Is accredited by an accrediting
matter being taught (LCV Doubles and/ institution recognized by the U.S. De-
or LCV Triples, including any special- partment of Education;
ized variation thereof, such as a tank (iii) Is in compliance with all applica-
vehicle, that requires an additional en- ble State training school requirements;
dorsement); and and
(4) Have at least 2 years’ CMV driving (iv) Identifies drivers certified under
experience in a vehicle representative § 380.401 of this part, when requested by
of the type of driver training to be pro- employers and/or an authorized
vided (LCV Doubles or LCV Triples). FMCSA, State, or local official in the
course of a compliance review.
§ 380.303 Substitute for instructor re- (b) A motor carrier that employs or
quirements. has under contract qualified LCV driv-
(a) Classroom instructor. The require- er-instructors shall provide evidence of
ments specified under § 380.301(a) of this the certifications required by § 380.301
part for a qualified LCV driver-instruc- or § 380.303 of this part, when requested
tor are waived for a classroom instruc- by an authorized FMCSA, State, or
tor-candidate who has 2 years of recent local official in the course of a compli-
satisfactory experience teaching the ance review.
classroom portion of a program similar
in content to that set forth in the ap- Subpart D—Driver-Training
pendix to this part. Certification
(b) Skills instructor. The requirements
specified under § 380.301(b) of this part § 380.401 Certification document.
for a qualified LCV driver-instructor (a) A student who successfully com-
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are waived for a skills instructor-can- pletes LCV driver training shall be
didate who: issued a Driver-Training Certificate

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§ 380.501 49 CFR Ch. III (10–1–07 Edition)

that is substantially in accordance


with the following form.

(b) An LCV driver must provide a who are otherwise exempt under
copy of the Driver-Training Certificate § 390.3(f) of this subchapter.
to his/her employer to be filed in the
Driver Qualification File. § 380.502 Definitions.
(a) The definitions in part 383 of this
Subpart E—Entry-Level Driver chapter apply to this part, except
Training Requirements where otherwise specifically noted.
(b) As used in this subpart:
SOURCE: 69 FR 29404, May 21, 2004, unless Entry-level driver is a driver with less
otherwise noted. than one year of experience operating a
CMV with a CDL in interstate com-
§ 380.501 Applicability. merce.
All entry-level drivers who drive in Entry-level driver training is training
interstate commerce and are subject to the CDL driver receives in driver quali-
the CDL requirements of part 383 of fication requirements, hours of service
this chapter must comply with the of drivers, driver wellness, and whistle
rules of this subpart, except drivers blower protection as appropriate to the
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who are subject to the jurisdiction of entry-level driver’s current position in


the Federal Transit Administration or addition to passing the CDL test.

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Federal Motor Carrier Safety Administration, DOT Pt. 380, App.

§ 380.503 Entry-level driver training representative of the Federal Motor


requirements. Carrier Safety Administration.
Entry-level driver training must in- § 380.511 Employer recordkeeping re-
clude instruction addressing the fol- sponsibilities.
lowing four areas:
(a) Driver qualification requirements. The employer must keep the records
The Federal rules on medical certifi- specified in § 380.505 for as long as the
cation, medical examination proce- employer employs the driver and for
dures, general qualifications, respon- one year thereafter.
sibilities, and disqualifications based § 380.513 Required information on the
on various offenses, orders, and loss of training certificate.
driving privileges (part 391, subparts B
and E of this subchapter). The training provider must provide a
(b) Hours of service of drivers. The lim- training certificate or diploma to the
itations on driving hours, the require- entry-level driver. If an employer is the
ment to be off-duty for certain periods training provider, the employer must
of time, record of duty status prepara- provide a training certificate or di-
tion, and exceptions (part 395 of this ploma to the entry-level driver. The
subchapter). Fatigue countermeasures certificate or diploma must contain
as a means to avoid crashes. the following seven items of informa-
(c) Driver wellness. Basic health main- tion:
tenance including diet and exercise. (a) Date of certificate issuance.
The importance of avoiding excessive (b) Name of training provider.
use of alcohol. (c) Mailing address of training pro-
(d) Whistleblower protection. The right vider.
of an employee to question the safety (d) Name of driver.
practices of an employer without the (e) A statement that the driver has
employee’s risk of losing a job or being completed training in driver qualifica-
subject to reprisals simply for stating a tion requirements, hours of service of
safety concern (29 CFR part 1978). drivers, driver wellness, and whistle
blower protection requirements sub-
§ 380.505 Proof of training. stantially in accordance with the fol-
lowing sentence:
An employer who uses an entry-level
driver must ensure the driver has re- I certify lllllhas completed training
ceived a training certificate containing requirements set forth in the Federal Motor
all the information contained in Carrier Safety Regulations for entry-level
§ 380.513 from the training provider. driver training in accordance with 49 CFR
380.503.
§ 380.507 Driver responsibilities. (f) The printed name of the person at-
Each entry-level driver must receive testing that the driver has received the
training required by § 380.503. required training.
(g) The signature of the person at-
§ 380.509 Employer responsibilities. testing that the driver has received the
(a) Each employer must ensure each required training.
entry-level driver who first began oper-
ating a CMV requiring a CDL in inter- APPENDIX TO PART 380—LCV DRIVER
state commerce after July 20, 2003, re- TRAINING PROGRAMS, REQUIRED
ceives training required by § 380.503. KNOWLEDGE AND SKILLS
(b) Each employer must place a copy The following table lists topics of instruc-
of the driver’s training certificate in tion required for drivers of longer combina-
the driver’s personnel or qualification tion vehicles pursuant to 49 CFR part 380,
file. subpart B. The training courses for operators
(c) All records required by this sub- of LCV Doubles and LCV Triples must be dis-
part shall be maintained as required by tinct and tailored to address their unique op-
erating and handling characteristics. Each
§ 390.31 of this subchapter and shall be
course must include the minimum topics of
made available for inspection at the instruction, including behind-the-wheel
employer’s principal place of business training designed to provide an opportunity
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within two business days after a re- to develop the skills outlined under the Pro-
quest has been made by an authorized ficiency Development unit of the training

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Pt. 380, App. 49 CFR Ch. III (10–1–07 Edition)
program. Only a skills instructor may ad- State, and local governmental bodies that
minister behind-the-wheel training involving propose, enact, and implement the laws,
the operation of an LCV or one of its compo- rules, and regulations that affect the truck-
nents. A classroom instructor may admin- ing industry. Emphasis must be placed on
ister only instruction that does not involve those regulatory factors that affect LCVs,
the operation of an LCV or one of its compo- including 23 CFR 658.23 and Appendix C to
nents. part 658.
Unit 1.3—Driver qualifications. This unit
TABLE TO THE APPENDIX—COURSE TOPICS FOR must provide classroom instruction address-
LCV DRIVERS ing the Federal and State laws, rules, and
regulations that define LCV driver qualifica-
Section 1: Orientation tions. It also must include a discussion on
medical examinations, drug and alcohol
1.1 ..... LCVs in Trucking tests, certification, and basic health and
1.2 ..... Regulatory Factors wellness issues. Emphasis must be placed
1.3 ..... Driver Qualifications upon topics essential to physical and mental
health maintenance, including (1) diet, (2)
1.4 ..... Vehicle Configuration Factors
exercise, (3) avoidance of alcohol and drug
abuse, and caution in the use of prescription
Section 2: Basic Operation and nonprescription drugs, (4) the adverse ef-
fects of driver fatigue, and (5) effective fa-
2.1 ..... Coupling and Uncoupling tigue countermeasures. Driver-trainees who
2.2 ..... Basic Control and Handling have successfully completed the Entry-level
2.3 ..... Basic Maneuvers training segments at § 380.503(a) and (c) are
2.4 ..... Turning, Steering and Tracking considered to have satisfied the require-
2.5 ..... Proficiency Development ments of Unit 1.3.
Unit 1.4—Vehicle configuration factors. This
Section 3: Safe Operating Practices unit must provide classroom instruction ad-
dressing the key vehicle components used in
3.1 ..... Interacting with Traffic the configuration of longer combination ve-
3.2 ..... Speed and Space Management hicles. It also must familiarize the driver-
3.3 ..... Night Operations trainee with various vehicle combinations,
3.4 ..... Extreme Driving Conditions as well as provide instruction about unique
3.5 ..... Security Issues characteristics and factors associated with
3.6 ..... Proficiency Development LCV configurations.

SECTION 2—BASIC OPERATION


Section 4: Advanced Operations
The units in this section must cover the
4.1 ..... Hazard Perception interaction between the driver and the vehi-
4.2 ..... Hazardous Situations cle. They must teach driver-trainees how to
couple and uncouple LCVs, ensure the vehi-
4.3 ..... Maintenance and Troubleshooting cles are in proper operating condition, and
control the motion of LCVs under various
road and traffic conditions.
Section 5: Non-Driving Activities
During the driving exercises at off-highway
locations required by this section, the driv-
5.1 ..... Routes and Trip Planning
er-trainee must first familiarize himself/her-
5.2 ..... Cargo and Weight Considerations self with basic operating characteristics of
an LCV. Utilizing an LCV, students must be
SECTION 1—ORIENTATION able to perform the skills learned in each
The units in this section must provide an unit to a level of proficiency required to per-
orientation to the training curriculum and mit safe transition to on-street driving.
must cover the role LCVs play within the Unit 2.1—Coupling and uncoupling. This
motor carrier industry, the factors that af- unit must provide instruction addressing the
fect their operations, and the role that driv- procedures for coupling and uncoupling
ers play in the safe operation of LCVs. LCVs. While vehicle coupling and uncoupling
Unit 1.1—LCVs in Trucking. This unit must procedures are common to all truck-tractor/
provide an introduction to the emergence of semi-trailer operations, some factors are pe-
LCVs in trucking and must serve as an ori- culiar to LCVs. Emphasis must be placed
entation to the course content. Emphasis upon preplanning and safe operating proce-
must be placed upon the role the driver plays dures.
in transportation. Unit 2.2—Basic control and handling. This
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Unit 1.2—Regulatory factors. This unit must unit must provide an introduction to basic
provide instruction addressing the Federal, vehicular control and handling as it applies

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Federal Motor Carrier Safety Administration, DOT Pt. 380, App.
to LCVs. This must include instruction ad- standing the special situations encountered
dressing brake performance, handling char- by LCV drivers in various traffic situations.
acteristics and factors affecting LCV sta- Unit 3.2—Speed and space management. This
bility while braking, turning, and cornering. unit must provide instruction addressing the
Emphasis must be placed upon safe operating principles of speed and space management.
procedures. Emphasis must be placed upon maintaining
Unit 2.3—Basic maneuvers. This unit must safe vehicular speed and appropriate space
provide instruction addressing the basic ve- surrounding the vehicle under various traffic
hicular maneuvers that will be encountered and road conditions. Particular attention
by LCV drivers. This must include instruc- must be placed upon understanding the spe-
tion relative to backing, lane positioning cial situations encountered by LCVs in var-
and path selection, merging situations, and ious traffic situations.
parking LCVs. Emphasis must be placed Unit 3.3—Night operations. This unit must
upon safe operating procedures as they apply provide instruction addressing the principles
to brake performance and directional sta- of Night Operations. Emphasis must be
bility while accelerating, braking, merging, placed upon the factors affecting operation
cornering, turning, and parking. of LCVs at night. Night driving presents spe-
Unit 2.4—Turning, steering, and tracking. cific factors that require special attention
This unit must provide instruction address- on the part of the driver. Changes in vehicle
ing turning situations, steering maneuvers, safety inspection, vision, communications,
and the tracking of LCV trailers. This must speed management, and space management
include instruction related to trailer sway
are needed to deal with the special problems
and off-tracking. Emphasis must be placed
night driving presents.
on maintaining directional stability.
Unit 3.4—Extreme driving conditions. This
Unit 2.5—Proficiency development: basic oper-
unit must provide instruction addressing the
ations. The purpose of this unit is to enable
driver-students to gain the proficiency in driving of LCVs under extreme driving con-
basic operation needed to safely undertake ditions. Emphasis must be placed upon the
on-street instruction in the Safe Operations factors affecting the operation of LCVs in
Practices section of the curriculum. cold, hot, and inclement weather and in the
The activities of this unit must consist of mountains and desert. Changes in basic driv-
driving exercises that provide practice for ing habits are needed to deal with the spe-
the development of basic control skills and cific problems presented by these extreme
mastery of basic maneuvers. Driver-students driving conditions.
practice skills and maneuvers learned in the Unit 3.5—Security issues. This unit must in-
Basic Control and Handling; Basic Maneu- clude a discussion of security requirements
vers; and Turning, Steering and Tracking imposed by the Department of Homeland Se-
units. A series of basic exercises is practiced curity, Transportation Security Administra-
at off-highway locations until students de- tion; the U.S. Department of Transportation,
velop sufficient proficiency for transition to Research and Special Programs Administra-
on-street driving. tion; and any other State or Federal agency
Once the driver-student’s skills have been with responsibility for highway or motor
measured and found adequate, the driver-stu- carrier security.
dent must be allowed to move to on-the- Unit 3.6—Proficiency development. This unit
street driving. must provide driver-students an opportunity
Nearly all activity in this unit will take to refine, within the on-street traffic envi-
place on the driving range or on streets or ronment, their vehicle handling skills
roads that have low-density traffic condi- learned in the first three sections. Driver-
tions. student performance progress must be close-
ly monitored to determine when the level of
SECTION 3—SAFE OPERATING PRACTICES proficiency required for carrying out the
The units in this section must cover the basic traffic maneuvers of stopping, turning,
interaction between student drivers, the ve- merging, straight driving, curves, lane
hicle, and the traffic environment. They changing, passing, driving on hills, driving
must teach driver-students how to apply through traffic restrictions, and parking has
their basic operating skills in a way that en- been attained. The driver-student must also
sures their safety and that of other road be assessed for regulatory compliance with
users under various road, weather, and traf- all traffic laws.
fic conditions. Nearly all activity in this unit will take
Unit 3.1—Interacting with traffic. This unit place on public roadways in a full range of
must provide instruction addressing the traffic environments applicable to this vehi-
principles of visual search, communication, cle configuration. This must include urban
and sharing the road with other traffic. Em- and rural uncontrolled roadways, express-
phasis must be placed upon visual search, ways or freeways, under light, moderate, and
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mirror usage, signaling and/or positioning heavy traffic conditions. There must be a
the vehicle to communicate, and under- brief classroom session to familiarize driver-

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Pt. 381 49 CFR Ch. III (10–1–07 Edition)
students with the type of on-street maneu- that ensures the safety of the driver, vehicle,
vers they will perform and how their per- cargo, and other road users.
formance will be rated. Unit 5.1—Routes and trip planning. This unit
The instructor must assess the level of must address the importance of and require-
skill development of the driver-student and ments for planning routes and trips. This
must increase in difficulty, based upon the must include classroom discussion of Federal
level of skill attained, the types of maneu- and State requirements for a number of top-
vers, roadways and traffic conditions to ics including permits, vehicle size and
which the driver-student is exposed. weight limitations, designated highways,
local access, the reasonable access rule, stag-
SECTION 4—ADVANCED OPERATIONS ing areas, and access zones.
The units in this section must introduce Unit 5.2—Cargo and weight considerations.
higher level skills that can be acquired only This unit must address the importance of
after the more fundamental skills and proper cargo documentation, loading, secur-
knowledge taught in sections two and three ing and unloading cargo, weight distribution,
have been mastered. They must teach the load sequencing and trailer placement. Em-
perceptual skills necessary to recognize po- phasis must be placed on the importance of
tential hazards, and must demonstrate the axle weight distribution, as well as on trailer
procedures needed to handle an LCV when placement and its effect on vehicle handling.
faced with a hazard.
The Maintenance and Trouble-shooting PART 381—WAIVERS, EXEMPTIONS,
Unit must provide instruction that addresses
how to keep the vehicle in safe and efficient
AND PILOT PROGRAMS
operating condition. The purpose of this unit
is to teach the correct way to perform simple Subpart A—General
maintenance tasks, and how to troubleshoot
Sec.
and report those vehicle discrepancies or de-
381.100 What is the purpose of this part?
ficiencies that must be repaired by a quali-
381.105 Who is required to comply with the
fied mechanic.
rules in this part?
Unit 4.1—Hazard perception. This unit must
381.110 What definitions are applicable to
provide instruction addressing the principles
this part?
of recognizing hazards in sufficient time to
reduce the severity of the hazard and neu-
Subpart B—Procedures for Requesting
tralize a possible emergency situation. While
hazards are present in all motor vehicle traf- Waivers
fic operations, some are peculiar to LCV op- 381.200 What is a waiver?
erations. Emphasis must be placed upon haz- 381.205 How do I determine when I may re-
ard recognition, visual search, and response quest a waiver?
to possible emergency-producing situations 381.210 How do I request a waiver?
encountered by LCV drivers in various traf- 381.215 What will the FMCSA do after the
fic situations. agency receives my request for a waiver?
Unit 4.2—Hazardous situations. This unit 381.220 How long will it take the agency to
must address dealing with specific proce- respond to my request for a waiver?
dures appropriate for LCV emergencies. 381.225 Who should I contact if I have ques-
These must include evasive steering, emer- tions about the information I am re-
gency braking, off-road recovery, brake fail- quired to submit to the FMCSA or about
ures, tire blowouts, rearward amplification, the status of my request for a waiver?
hydroplaning, skidding, jackknifing and the
rollover phenomenon. The discussion must Subpart C—Procedures for Applying for
include a review of unsafe acts and the role
Exemptions
they play in producing hazardous situations.
Unit 4.3—Maintenance and trouble-shooting. 381.300 What is an exemption?
This unit must introduce driver-students to 381.305 How do I determine when I may
the basic servicing and checking procedures apply for an exemption?
for the various vehicle components and pro- 381.310 How do I apply for an exemption?
vide knowledge of conducting preventive 381.315 What will the FMCSA do after the
maintenance functions, making simple emer- agency receives my application for an ex-
gency repairs, and diagnosing and reporting emption?
vehicle malfunctions. 381.320 How long will it take the agency to
respond to my application for an exemp-
SECTION 5—NON-DRIVING ACTIVITIES
tion?
The units in this section must cover activi- 381.325 Who should I contact if I have ques-
ties that are not directly related to the vehi- tions about the information I am re-
cle itself but must be performed by an LCV quired to submit to the FMCSA or about
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driver. The units in this section must ensure the status of my application for an ex-
these activities are performed in a manner emption?

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Federal Motor Carrier Safety Administration, DOT § 381.200
381.330 What am I required to do if the § 381.105 Who is required to comply
FMCSA grants my application for an ex- with the rules in this part?
emption?
(a) You must comply with the rules
Subpart D—Initiation of Pilot Programs in this part if you are going to request
a waiver or apply for an exemption.
381.400 What is a pilot program? (b) You should follow the instruc-
381.405 Who determines whether a pilot pro- tions in subpart D of this part if you
gram should be initiated?
would like to recommend the agency
381.410 What may I do if I have an idea or
initiate a pilot program.
suggestion for a pilot program?
381.415 Who should I contact if I have ques- § 381.110 What definitions are applica-
tions about the information to be in- ble to this part?
cluded in my suggestion?
381.420 What will the FMCSA do after the Commercial motor vehicle means any
agency receives my suggestion for a pilot motor vehicle that meets the defini-
program? tion of ‘‘commercial motor vehicle’’
found at 49 CFR 382.107 concerning con-
Subpart E—Administrative Procedures for trolled substances and alcohol use and
Pilot Programs testing, 49 CFR 383.5 concerning com-
mercial driver’s license standards, or 49
381.500 What are the general requirements
the agency must satisfy in conducting a CFR 390.5 concerning parts 390 through
pilot program? 399 of the FMCSRs.
381.505 What are the minimum elements re- Federal Motor Carrier Safety Adminis-
quired for a pilot program? trator (the Administrator) means the
381.510 May the FMCSA end a pilot program chief executive of the Federal Motor
before its scheduled completion date? Carrier Safety Administration, an
381.515 May the FMCSA remove approved agency within the Department of
participants from a pilot program? Transportation.
381.520 What will the FMCSA do with the FMCSRs means Federal Motor Car-
results from a pilot program? rier Safety Regulations (49 CFR parts
382 and 383, §§ 385.21 and 390.21, parts 391
Subpart F—Preemption of State Rules
through 393, 395, 396, and 399).
381.600 Do waivers, exemptions, and pilot You means an individual or motor
programs preempt State laws and regula- carrier or other entity that is, or will
tions? be, responsible for the operation of a
AUTHORITY: 49 U.S.C. 31136(e) and 31315; and CMV(s). The term includes a motor
49 CFR 1.73. carrier’s agents, officers and represent-
atives as well as employees responsible
SOURCE: 63 FR 67608, Dec. 8, 1998, unless for hiring, supervising, training, as-
otherwise noted.
signing, or dispatching of drivers and
EDITORIAL NOTE: Nomenclature changes to employees concerned with the installa-
part 381 appear at 66 FR 49872, Oct. 1, 2001. tion, inspection, and maintenance of
motor vehicle equipment and/or acces-
Subpart A—General sories. You also includes any interested
party who would like to suggest or rec-
§ 381.100 What is the purpose of this ommend that the FMCSA initiate a
part? pilot program.
This part prescribes the rules and
procedures for requesting waivers and Subpart B—Procedures for
applying for exemptions from those Requesting Waivers
provisions of the Federal Motor Carrier
Safety Regulations (FMCSRs) which § 381.200 What is a waiver?
were issued on the authority of 49 (a) A waiver is temporary regulatory
U.S.C. 31136 or chapter 313, and the ini- relief from one or more FMCSR given
tiation and administration of pilot pro- to a person subject to the regulations,
grams. or a person who intends to engage in an
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activity that would be subject to the


regulations.

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§ 381.205 49 CFR Ch. III (10–1–07 Edition)

(b) A waiver provides the person with quest relief from all of the require-
relief from the regulations for up to ments of part 391.
three months.
(c) A waiver is intended for unique, § 381.210 How do I request a waiver?
non-emergency events and is subject to (a) You must send a written request
conditions imposed by the Adminis- (for example, a typed or handwritten
trator. (printed) letter), which includes all of
(d) Waivers may only be granted from the information required by this sec-
one or more of the requirements con- tion, to the Administrator, Federal
tained in the following parts and sec- Motor Carrier Safety Administration,
tions of the FMCSRs: 1200 New Jersey Ave., SE., Washington,
(1) Part 382—Controlled Substances DC 20590–0001.
and Alcohol Use and Testing; (b) You must identify the person who
(2) Part 383—Commercial Driver’s Li- would be covered by the waiver. The
cense Standards; Requirements and application for a waiver must include:
Penalties; (1) Your name, job title, mailing ad-
(3) § 390.19 Motor Carrier Identifica- dress, and daytime telephone number;
tion Report; (2) The name of the individual, motor
(4) § 390.21 Marking of commercial carrier, or other entity that would be
motor vehicles; responsible for the use or operation of
(5) Part 391—Qualifications of Driv- CMVs during the unique, non-emer-
ers; gency event;
(6) Part 392—Driving of Commercial (3) Principal place of business for the
Motor Vehicles; motor carrier or other entity (street
(7) Part 393—Parts and Accessories address, city, State, and zip code); and
Necessary for Safe Operation; (4) The USDOT identification number
(8) Part 395—Hours of Service of Driv- for the motor carrier, if applicable.
ers;
(c) You must provide a written state-
(9) Part 396—Inspection, Repair, and
ment that:
Maintenance (except § 396.25); and
(1) Describes the unique, non-emer-
(10) Part 399—Step, Handhold and
gency event for which the waiver would
Deck Requirements.
be used, including the time period dur-
§ 381.205 How do I determine when I ing which the waiver is needed;
may request a waiver? (2) Identifies the regulation that you
believe needs to be waived;
(a) You may request a waiver if one
or more FMCSR would prevent you (3) Provides an estimate of the total
from using or operating CMVs, or make number of drivers and CMVs that
it unreasonably difficult to do so, dur- would be operated under the terms and
ing a unique, non-emergency event conditions of the waiver; and
that will take no more than three (4) Explains how you would ensure
months to complete. that you could achieve a level of safety
(b) Before you decide to request a that is equivalent to, or greater than,
waiver, you should carefully review the the level of safety that would be ob-
regulation to determine whether there tained by complying with the regula-
are any practical alternatives already tion.
available that would allow your use or [63 FR 67608, Dec. 8, 1998, as amended at 72
operation of CMVs during the event. FR 55699, Oct. 1, 2007]
You should also determine whether you
need a waiver from all of the require- § 381.215 What will the FMCSA do
ments in one or more parts of the regu- after the agency receives my re-
lations, or whether a more limited quest for a waiver?
waiver of certain sections within one (a) The Federal Motor Carrier Safety
or more of the parts of the regulations Administration will review your re-
would provide an acceptable level of quest and make a recommendation to
regulatory relief. For example, if you the Administrator. The final decision
need relief from one of the record- whether to grant or deny the applica-
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keeping requirements concerning driv- tion for a waiver will be made by the
er qualifications, you should not re- Administrator.

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Federal Motor Carrier Safety Administration, DOT § 381.310

(b) After a decision is signed by the (4) Part 392—Driving of Commercial


Administrator, you will be sent a copy Motor Vehicles;
of the document, which will include the (5) Part 393—Parts and Accessories
terms and conditions for the waiver or Necessary for Safe Operation;
the reason for denying the application (6) Part 395—Hours of Service of Driv-
for a waiver. ers;
§ 381.220 How long will it take the (7) Part 396—Inspection, Repair, and
agency to respond to my request for Maintenance (except for § 396.25); and
a waiver? (8) Part 399—Step, Handhold and
You should receive a response from Deck Requirements.
the agency within 60 calendar days
from the date the Administrator re- § 381.305 How do I determine when I
may apply for an exemption?
ceives your request. However, depend-
ing on the complexity of the issues dis- (a) You may apply for an exemption
cussed in your application, and the if one or more FMCSR prevents you
availability of staff to review the ma- from implementing more efficient or
terial, a final decision may take up to effective operations that would main-
120 days. tain a level of safety equivalent to, or
greater than, the level achieved with-
§ 381.225 Who should I contact if I out the exemption.
have questions about the informa-
tion I am required to submit to the (b) Before you decide to apply for an
FMCSA or about the status of my exemption you should carefully review
request for a waiver? the regulation to determine whether
You should contact the Federal there are any practical alternatives al-
Motor Carrier Safety Administration, ready available that would allow you
Office of Bus and Truck Standards and to conduct your motor carrier oper-
Operations (MC–PS), 1200 New Jersey ations. You should also determine
Ave., SE., Washington, DC 20590–0001. whether you need an exemption from
all of the requirements in one or more
[63 FR 67608, Dec. 8, 1998, as amended at 72 parts of the regulations, or whether a
FR 55699, Oct. 1, 2007]
more limited exemption from certain
sections within one or more parts of
Subpart C—Procedures for the regulations would provide an ac-
Applying for Exemptions ceptable level of regulatory relief. For
example, if you need regulatory relief
§ 381.300 What is an exemption?
from one of the recordkeeping require-
(a) An exemption is temporary regu- ments concerning driver qualifications,
latory relief from one or more FMCSR you should not request regulatory re-
given to a person or class of persons lief from all of the requirements of
subject to the regulations, or who in- part 391.
tend to engage in an activity that
would make them subject to the regu- § 381.310 How do I apply for an exemp-
lations. tion?
(b) An exemption provides the person
(a) You must send a written request
or class of persons with relief from the
(for example, a typed or handwritten
regulations for up to two years, and
(printed) letter), which includes all of
may be renewed.
(c) Exemptions may only be granted the information required by this sec-
from one or more of the requirements tion, to the Administrator, Federal
contained in the following parts and Motor Carrier Safety Administration,
sections of the FMCSRs: 1200 New Jersey Ave., SE., Washington,
(1) Part 382—Controlled Substances DC 20590–0001.
and Alcohol Use and Testing; (b) You must identify the person or
(2) Part 383—Commercial Driver’s Li- class of persons who would be covered
cense Standards; Requirements and by the exemption. The application for
Penalties; an exemption must include:
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(3) Part 391—Qualifications of Driv- (1) Your name, job title, mailing ad-
ers; dress, and daytime telephone number;

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§ 381.315 49 CFR Ch. III (10–1–07 Edition)

(2) The name of the individual or ministrator to either to grant or deny


motor carrier that would be respon- the exemption. Notice of the Adminis-
sible for the use or operation of CMVs; trator’s decision will be published in
(3) Principal place of business for the the FEDERAL REGISTER.
motor carrier (street address, city, (c)(1) If the exemption is granted, the
State, and zip code); and notice will identify the provisions of
(4) The USDOT identification number the FMCSRs from which you will be ex-
for the motor carrier. empt, the effective period, and all
(c) You must provide a written state-
terms and conditions of the exemption.
ment that:
(1) Describes the reason the exemp- (2) If the exemption is denied, the no-
tion is needed, including the time pe- tice will explain the reason for the de-
riod during which it is needed; nial.
(2) Identifies the regulation from (d) A copy of your application for an
which you would like to be exempted; exemption and all comments received
(3) Provides an estimate of the total in response to the FEDERAL REGISTER
number of drivers and CMVs that notice will be included in a public
would be operated under the terms and docket and be available for review by
conditions of the exemption; interested parties.
(4) Assesses the safety impacts the (1) Interested parties may view the
exemption may have; information contained in the docket by
(5) Explains how you would ensure visiting the Department of Transpor-
that you could achieve a level a safety tation, Docket Management Facility,
that is equivalent to, or greater than, 1200 New Jersey Ave., SE., Washington,
the level of safety that would be ob- DC 20590–0001. All information in the
tained by complying with the regula- exemption docket will be available for
tion; and examination at this address from 10
(6) Describes the impacts (e.g., inabil-
a.m. to 5 p.m., e.t., Monday through
ity to test innovative safety manage-
Friday, except Federal holidays.
ment control systems, etc.) you could
experience if the exemption is not (2) Internet users can access all infor-
granted by the FMCSA. mation received by the Department of
(d) Your application must include a Transportation, Docket Management
copy of all research reports, technical Facility by using the Federal Docket
papers, and other publications and doc- Management System using the uniform
uments you reference. resources locator (URL): http://
www.regulations.gov.It is available 24
[63 FR 67608, Dec. 8, 1998, as amended at 72
FR 55700, Oct. 1, 2007] hours each day, 365 days each year.
Please follow the instructions online
§ 381.315 What will the FMCSA do for more information and help.
after the agency receives my appli-
cation for an exemption? [63 FR 67608, Dec. 8, 1998, as amended at 72
FR 55700, Oct. 1, 2007]
(a) The Federal Motor Carrier Safety
Administration will review your appli- § 381.320 How long will it take the
cation and prepare, for the Administra- agency to respond to my applica-
tor’s signature, a FEDERAL REGISTER tion for an exemption?
notice requesting public comment on
The agency will attempt to issue a
your application for an exemption. The
final decision within 180 days of the
notice will give the public an oppor-
tunity to review your request and your date it receives your application. How-
safety assessment or analysis (required ever, if you leave out important details
by § 381.310) and any other relevant in- or other information necessary for the
formation known to the agency. FMCSA to prepare a meaningful re-
(b) After a review of the comments quest for public comments, the agency
received in response to the FEDERAL will attempt to issue a final decision
REGISTER notice described in paragraph within 180 days of the date it receives
(a) of this section, the Federal Motor the additional information.
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Carrier Safety Administration will


make a recommendation(s) to the Ad-

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Federal Motor Carrier Safety Administration, DOT § 381.410

§ 381.325 Who should I contact if I (e) Pilot programs must include an


have questions about the informa- oversight plan to ensure that partici-
tion I am required to submit to the pants comply with the terms and con-
FMCSA or about the status of my ditions of participation, and procedures
application for an exemption? to protect the health and safety of
You should contact the Federal study participants and the general pub-
Motor Carrier Safety Administration, lic.
Office of Bus and Truck Standards and (f) Exemptions for pilot programs
Operations (MC–PS), 1200 New Jersey may be granted only from one or more
Ave., SE., Washington, DC 20590–0001. of the requirements contained in the
[63 FR 67608, Dec. 8, 1998, as amended at 72
following parts and sections of the
FR 55700, Oct. 1, 2007] FMCSRs:
(1) Part 382—Controlled Substances
§ 381.330 What am I required to do if and Alcohol Use and Testing;
the FMCSA grants my application (2) Part 383—Commercial Driver’s Li-
for an exemption? cense Standards; Requirements and
(a) You must comply with all the Penalties;
terms and conditions of the exemption. (3) Part 391—Qualifications of Driv-
(b) The FMCSA will immediately re- ers;
voke your exemption if: (4) Part 392—Driving of Commercial
(1) You fail to comply with the terms Motor Vehicles;
and conditions of the exemption; (5) Part 393—Parts and Accessories
(2) The exemption has resulted in a Necessary for Safe Operation;
lower level of safety than was main- (6) Part 395—Hours of Service of Driv-
tained before the exemption was grant- ers;
ed; or (7) Part 396—Inspection, Repair, and
(3) Continuation of the exemption is Maintenance (except for § 396.25); and
determined by the FMCSA to be incon- (8) Part 399—Step, Handhold and
sistent with the goals and objectives of Deck Requirements.
the FMCSRs.
§ 381.405 Who determines whether a
Subpart D—Initiation of Pilot pilot program should be initiated?
Programs (a) Generally, pilot programs are ini-
tiated by the FMCSA when the agency
§ 381.400 What is a pilot program? determines that there may be an effec-
(a) A pilot program is a study in tive alternative to one or more of the
which temporary regulatory relief from requirements in the FMCSRs, but does
one or more FMCSR is given to a per- not have sufficient research data to
son or class of persons subject to the support the development of a notice of
regulations, or a person or class of per- proposed rulemaking to change the
sons who intend to engage in an activ- regulation.
ity that would be subject to the regula- (b) You may request the FMCSA to
tions. initiate a pilot program. However, the
(b) During a pilot program, the par- decision of whether to propose a pilot
ticipants would be given an exemption program will be made at the discretion
from one or more sections or parts of of the FMCSA. The FMCSA is not re-
the regulations for a period of up to quired to publish a notice in the FED-
three years. ERAL REGISTER requesting public com-
(c) A pilot program is intended for ment on your ideas or suggestions for
use in collecting specific data for eval- pilot programs.
uating alternatives to the regulations
or innovative approaches to safety § 381.410 What may I do if I have an
while ensuring that the safety perform- idea or suggestion for a pilot pro-
ance goals of the regulations are satis- gram?
fied. (a) You may send a written state-
(d) The number of participants in the ment (for example, a typed or hand-
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pilot program must be large enough to written (printed) letter) to the Admin-
ensure statistically valid findings. istrator, Federal Motor Carrier Safety

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§ 381.415 49 CFR Ch. III (10–1–07 Edition)

Administration, 1200 New Jersey Ave., technical papers, publications and


SE., Washington, DC 20590–0001. other documents you reference.
(b) You should identify the persons or
[63 FR 67608, Dec. 8, 1998, as amended at 72
class of persons who would be covered FR 55700, Oct. 1, 2007]
by the pilot program exemptions. Your
letter should include: § 381.415 Who should I contact if I
(1) Your name, job title, mailing ad- have questions about the informa-
dress, and daytime telephone number; tion to be included in my sugges-
(2) The name of the individuals or tion?
motor carrier that would be respon- You should contact the Federal
sible for the use or operation of CMVs Motor Carrier Safety Administration,
covered by the pilot program, if there Office of Bus and Truck Standards and
are motor carriers that have expressed Operations (MC–PS), 1200 New Jersey
an interest in participating in the pro- Ave., SE., Washington, DC 20590–0001.
gram;
(3) Principal place of business for the [63 FR 67608, Dec. 8, 1998, as amended at 72
FR 55700, Oct. 1, 2007]
motor carrier (street address, city,
State, and zip code); and § 381.420 What will the FMCSA do
(4) The USDOT identification number after the agency receives my sug-
for the motor carrier. gestion for a pilot program?
(c) You should provide a written
(a) The Federal Motor Carrier Safety
statement that:
Administration will review your sug-
(1) Presents your estimate of the po-
gestion for a pilot program and make a
tential benefits to the motor carrier in-
recommendation to the Administrator.
dustry, the FMCSA, and the general
The final decision whether to propose
public if the pilot program is con-
the development of a pilot program
ducted, and describes how you devel-
based upon your recommendation will
oped your estimate;
be made by the Administrator.
(2) Estimates of the amount of time
that would be needed to conduct the (b) You will be sent a copy of the Ad-
pilot program (e.g., the time needed to ministrator’s decision. If the pilot pro-
complete the collection and analysis of gram is approved, the agency will fol-
data); low the administrative procedures con-
(3) Identifies the regulation from tained in subpart E of this part.
which the participants would need to
be exempted; Subpart E—Administrative
(4) Recommends a reasonable number Procedures for Pilot Programs
of participants necessary to yield sta-
tistically valid findings; § 381.500 What are the general require-
(5) Provides ideas or suggestions for a ments the agency must satisfy in
conducting a pilot program?
monitoring plan to ensure that partici-
pants comply with the terms and con- (a) The FMCSA may conduct pilot
ditions of participation; programs to evaluate alternatives to
(6) Provides ideas or suggestions for a regulations, or innovative approaches,
plan to protect the health and safety of concerning motor carrier, CMV, and
study participants and the general pub- driver safety.
lic. (b) Pilot programs may include ex-
(7) Assesses the safety impacts the emptions from the regulations listed in
pilot program exemption may have; § 381.400(f) of this part.
and (c) Pilot programs must, at a min-
(8) Provides recommendations on how imum, include all of the program ele-
the safety measures in the pilot project ments listed in § 381.505.
would be designed to achieve a level a (d) The FMCSA will publish in the
safety that is equivalent to, or greater FEDERAL REGISTER a detailed descrip-
than, the level of safety that would be tion of each pilot program, including
obtained by complying with the regula- the exemptions to be considered, and
tion. provide notice and an opportunity for
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(d) Your recommendation should in- public comment before the effective
clude a copy of all research reports, date of the pilot program.

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Federal Motor Carrier Safety Administration, DOT Pt. 382

§ 381.505 What are the minimum ele- failure to comply with the terms and
ments required for a pilot program? conditions of the pilot program, or if
(a) Safety measures. Before granting continued participation is inconsistent
exemptions for a pilot program, the with the goals and objectives of the
FMCSA will ensure that the safety safety regulations.
measures in a pilot program are de- § 381.520 What will the FMCSA do with
signed to achieve a level of safety that the results from a pilot program?
is equivalent to, or greater than, the
level of safety that would be achieved At the conclusion of each pilot pro-
by complying with the regulations. gram, the FMCSA will report to Con-
(b) Pilot program plan. Before initi- gress the findings and conclusions of
the program and any recommendations
ating a pilot program, the FMCSA will
it considers appropriate, including sug-
ensure that there is a pilot program
gested amendments to laws and regula-
plan which includes the following ele-
tions that would enhance motor car-
ments:
rier, CMV, and driver safety and im-
(1) A scheduled duration of three
prove compliance with the FMCSRs.
years or less;
(2) A specific data collection and
safety analysis plan that identifies a Subpart F—Preemption of State
method of comparing the safety per- Rules
formance for motor carriers, CMVs,
and drivers operating under the terms § 381.600 Do waivers, exemptions, and
pilot programs preempt State laws
and conditions of the pilot program, and regulations?
with the safety performance of motor
carriers, CMVs, and drivers that com- Yes. During the time period that a
ply with the regulation; waiver, exemption, or pilot program
(3) A reasonable number of partici- authorized by this part is in effect, no
pants necessary to yield statistically State shall enforce any law or regula-
valid findings; tion that conflicts with or is incon-
(4) A monitoring plan to ensure that sistent with the waiver, exemption, or
participants comply with the terms pilot program with respect to a person
and conditions of participation in the operating under the waiver or exemp-
pilot program; tion or participating in the pilot pro-
(5) Adequate safeguards to protect gram.
the health and safety of study partici-
pants and the general public; and PART 382—CONTROLLED SUB-
(6) A plan to inform the States and STANCES AND ALCOHOL USE
the public about the pilot program and AND TESTING
to identify approved participants to en-
forcement personnel and the general Subpart A—General
public.
Sec.
§ 381.510 May the FMCSA end a pilot 382.101 Purpose
program before its scheduled com- 382.103 Applicability.
pletion date? 382.105 Testing procedures.
382.107 Definitions.
The FMCSA will immediately termi- 382.109 Preemption of State and local laws.
nate a pilot program if there is reason 382.111 Other requirements imposed by em-
to believe the program is not achieving ployers.
a level of safety that is at least equiva- 382.113 Requirements for notice.
382.115 Starting date for testing programs.
lent to the level of safety that would be 382.117 Public interest exclusion.
achieved by complying with the regula- 382.119 Stand-down waiver provision.
tions. 382.121 Employee admission of alcohol and
controlled substances use.
§ 381.515 May the FMCSA remove ap-
proved participants from a pilot Subpart B—Prohibitions
program?
382.201 Alcohol concentration.
The Administrator will immediately
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382.205 On-duty use.


revoke participation in a pilot program 382.207 Pre-duty use.
of a motor carrier, CMV, or driver for 382.209 Use following an accident.

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§ 382.101 49 CFR Ch. III (10–1–07 Edition)
382.211 Refusal to submit to a required alco- § 382.103 Applicability.
hol or controlled substances test.
382.213 Controlled substances use. (a) This part applies to every person
382.215 Controlled substances testing. and to all employers of such persons
who operate a commercial motor vehi-
Subpart C—Tests Required cle in commerce in any State, and is
subject to:
382.301 Pre-employment testing.
382.303 Post-accident testing.
(1) The commercial driver’s license
382.305 Random testing. requirements of part 383 of this sub-
382.307 Reasonable suspicion testing. chapter;
382.309 Return-to-duty testing. (2) The Licencia Federal de Con-
382.311 Follow-up testing. ductor (Mexico) requirements; or
(3) The commercial drivers license re-
Subpart D—Handling of Test Results, quirements of the Canadian National
Record Retention, and Confidentiality Safety Code.
382.401 Retention of records. (b) An employer who employs him-
382.403 Reporting of results in a manage- self/herself as a driver must comply
ment information system. with both the requirements in this part
382.405 Access to facilities and records. that apply to employers and the re-
382.407 Medical review officer notifications quirements in this part that apply to
to the employer. drivers. An employer who employs only
382.409 Medical review officer record reten- himself/herself as a driver shall imple-
tion for controlled substances. ment a random alcohol and controlled
382.411 Employer notifications.
substances testing program of two or
382.413 Inquiries for alcohol and controlled
substances information from previous
more covered employees in the random
employers. testing selection pool.
(c) The exceptions contained in
Subpart E—Consequences for Drivers En- § 390.3(f) of this subchapter do not apply
gaging in Substance Use-Related Con- to this part. The employers and drivers
duct identified in § 390.3(f) of this subchapter
must comply with the requirements of
382.501 Removal from safety-sensitive func- this part, unless otherwise specifically
tion.
provided in paragraph (d) of this sec-
382.503 Required evaluation and testing.
382.505 Other alcohol-related conduct. tion.
382.507 Penalties. (d) Exceptions. This part shall not
apply to employers and their drivers:
Subpart F—Alcohol Misuse and Controlled (1) Required to comply with the alco-
Substances Use Information, Training, hol and/or controlled substances test-
and Referral ing requirements of part 655 of this
title (Federal Transit Administration
382.601 Employer obligation to promulgate
alcohol and controlled substances test-
a policy on the misuse of alcohol and use
of controlled substances. ing regulations); or
382.603 Training for supervisors. (2) Who a State must waive from the
382.605 Referral, evaluation, and treatment. requirements of part 383 of this sub-
chapter. These individuals include ac-
AUTHORITY: 49 U.S.C. 31133, 31136, 31301 et
seq., 31502; and 49 CFR 1.73.
tive duty military personnel; members
of the reserves; and members of the na-
SOURCE: 66 FR 43103, Aug. 17, 2001, unless tional guard on active duty, including
otherwise noted. personnel on full-time national guard
duty, personnel on part-time national
Subpart A—General guard training and national guard mili-
tary technicians (civilians who are re-
§ 382.101 Purpose. quired to wear military uniforms), and
The purpose of this part is to estab- active duty U.S. Coast Guard per-
lish programs designed to help prevent sonnel; or
accidents and injuries resulting from (3) Who a State has, at its discretion,
the misuse of alcohol or use of con- exempted from the requirements of
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trolled substances by drivers of com- part 383 of this subchapter. These indi-
mercial motor vehicles. viduals may be:

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Federal Motor Carrier Safety Administration, DOT § 382.107

(i) Operators of a farm vehicle which Alcohol concentration (or content)


is: means the alcohol in a volume of
(A) Controlled and operated by a breath expressed in terms of grams of
farmer; alcohol per 210 liters of breath as indi-
(B) Used to transport either agricul- cated by an evidential breath test
tural products, farm machinery, farm under this part.
supplies, or both to or from a farm; Alcohol use means the drinking or
(C) Not used in the operations of a swallowing of any beverage, liquid mix-
common or contract motor carrier; and ture or preparation (including any
(D) Used within 241 kilometers (150 medication), containing alcohol.
miles) of the farmer’s farm. Commerce means:
(ii) Firefighters or other persons who (1) Any trade, traffic or transpor-
operate commercial motor vehicles tation within the jurisdiction of the
which are necessary for the preserva- United States between a place in a
tion of life or property or the execution State and a place outside of such State,
of emergency governmental functions, including a place outside of the United
are equipped with audible and visual States; and
signals, and are not subject to normal
(2) Trade, traffic, and transportation
traffic regulation.
in the United States which affects any
§ 382.105 Testing procedures. trade, traffic, and transportation de-
scribed in paragraph (1) of this defini-
Each employer shall ensure that all tion.
alcohol or controlled substances test-
Commercial motor vehicle means a
ing conducted under this part complies
motor vehicle or combination of motor
with the procedures set forth in part 40
vehicles used in commerce to transport
of this title. The provisions of part 40
passengers or property if the vehicle—
of this title that address alcohol or
controlled substances testing are made (1) Has a gross combination weight
applicable to employers by this part. rating of 11,794 or more kilograms
(26,001 or more pounds) inclusive of a
§ 382.107 Definitions. towed unit with a gross vehicle weight
rating of more than 4,536 kilograms
Words or phrases used in this part
(10,000 pounds); or
are defined in §§ 386.2 and 390.5 of this
subchapter, and § 40.3 of this title, ex- (2) Has a gross vehicle weight rating
cept as provided in this section— of 11,794 or more kilograms (26,001 or
Actual knowledge for the purpose of more pounds); or
subpart B of this part, means actual (3) Is designed to transport 16 or
knowledge by an employer that a driv- more passengers, including the driver;
er has used alcohol or controlled sub- or
stances based on the employer’s direct (4) Is of any size and is used in the
observation of the employee, informa- transportation of materials found to be
tion provided by the driver’s previous hazardous for the purposes of the Haz-
employer(s), a traffic citation for driv- ardous Materials Transportation Act
ing a CMV while under the influence of (49 U.S.C. 5103(b)) and which require
alcohol or controlled substances or an the motor vehicle to be placarded
employee’s admission of alcohol or under the Hazardous Materials Regula-
controlled substance use, except as pro- tions (49 CFR part 172, subpart F).
vided in § 382.121. Direct observation as Confirmation (or confirmatory) drug
used in this definition means observa- test means a second analytical proce-
tion of alcohol or controlled substances dure performed on a urine specimen to
use and does not include observation of identify and quantify the presence of a
employee behavior or physical charac- specific drug or drug metabolite.
teristics sufficient to warrant reason- Confirmation (or confirmatory) validity
able suspicion testing under § 382.307. test means a second test performed on a
Alcohol means the intoxicating agent urine specimen to further support a va-
in beverage alcohol, ethyl alcohol, or lidity test result.
other low molecular weight alcohols Confirmed drug test means a confirma-
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including methyl and isopropyl alco- tion test result received by an MRO
hol. from a laboratory.

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§ 382.107 49 CFR Ch. III (10–1–07 Edition)

Consortium/Third party administrator parts 199, 219, 382, and 655), in accord-
(C/TPA) means a service agent that ance with part 40 of this title.
provides or coordinates one or more Driver means any person who oper-
drug and/or alcohol testing services to ates a commercial motor vehicle. This
DOT-regulated employers. C/TPAs includes, but is not limited to: Full
typically provide or coordinate the pro- time, regularly employed drivers; cas-
vision of a number of such services and ual, intermittent or occasional drivers;
perform administrative tasks con- leased drivers and independent owner-
cerning the operation of the employers’ operator contractors.
drug and alcohol testing programs. Employer means a person or entity
This term includes, but is not limited employing one or more employees (in-
to, groups of employers who join to- cluding an individual who is self-em-
gether to administer, as a single enti- ployed) that is subject to DOT agency
ty, the DOT drug and alcohol testing regulations requiring compliance with
programs of its members (e.g., having a this part. The term, as used in this
combined random testing pool). C/TPAs part, means the entity responsible for
are not ‘‘employers’’ for purposes of overall implementation of DOT drug
this part. and alcohol program requirements, in-
Controlled substances mean those sub- cluding individuals employed by the
stances identified in § 40.85 of this title. entity who take personnel actions re-
Designated employer representative sulting from violations of this part and
(DER) is an individual identified by the any applicable DOT agency regula-
employer as able to receive commu- tions. Service agents are not employers
nications and test results from service for the purposes of this part.
agents and who is authorized to take Licensed medical practitioner means a
immediate actions to remove employ- person who is licensed, certified, and/or
ees from safety-sensitive duties and to registered, in accordance with applica-
make required decisions in the testing ble Federal, State, local, or foreign
and evaluation processes. The indi- laws and regulations, to prescribe con-
vidual must be an employee of the trolled substances and other drugs.
company. Service agents cannot serve Performing (a safety-sensitive function)
as DERs. means a driver is considered to be per-
forming a safety-sensitive function
Disabling damage means damage
during any period in which he or she is
which precludes departure of a motor
actually performing, ready to perform,
vehicle from the scene of the accident
or immediately available to perform
in its usual manner in daylight after
any safety-sensitive functions.
simple repairs.
Positive rate for random drug testing
(1) Inclusions. Damage to motor vehi- means the number of verified positive
cles that could have been driven, but results for random drug tests con-
would have been further damaged if so ducted under this part plus the number
driven. of refusals of random drug tests re-
(2) Exclusions. (i) Damage which can quired by this part, divided by the
be remedied temporarily at the scene total number of random drug tests re-
of the accident without special tools or sults (i.e., positives, negatives, and re-
parts. fusals) under this part.
(ii) Tire disablement without other Refuse to submit (to an alcohol or con-
damage even if no spare tire is avail- trolled substances test) means that a
able. driver:
(iii) Headlight or taillight damage. (1) Fail to appear for any test (except
(iv) Damage to turn signals, horn, or a pre-employment test) within a rea-
windshield wipers which make them in- sonable time, as determined by the em-
operative. ployer, consistent with applicable DOT
DOT Agency means an agency (or agency regulations, after being di-
‘‘operating administration’’) of the rected to do so by the employer. This
United States Department of Transpor- includes the failure of an employee (in-
tation administering regulations re- cluding an owner-operator) to appear
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quiring alcohol and/or drug testing (14 for a test when called by a C/TPA (see
CFR parts 61, 63, 65, 121, and 135; 49 CFR § 40.61(a) of this title);

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Federal Motor Carrier Safety Administration, DOT § 382.107

(2) Fail to remain at the testing site (1) All time at an employer or shipper
until the testing process is complete. plant, terminal, facility, or other prop-
Provided, that an employee who leaves erty, or on any public property, wait-
the testing site before the testing proc- ing to be dispatched, unless the driver
ess commences (see § 40.63(c) of this has been relieved from duty by the em-
title) a pre-employment test is not ployer;
deemed to have refused to test; (2) All time inspecting equipment as
(3) Fail to provide a urine specimen required by §§ 392.7 and 392.8 of this sub-
for any drug test required by this part chapter or otherwise inspecting, serv-
or DOT agency regulations. Provided, icing, or conditioning any commercial
that an employee who does not provide motor vehicle at any time;
a urine specimen because he or she has (3) All time spent at the driving con-
left the testing site before the testing trols of a commercial motor vehicle in
process commences (see § 40.63(c) of this operation;
title) for a pre-employment test is not (4) All time, other than driving time,
deemed to have refused to test; in or upon any commercial motor vehi-
(4) In the case of a directly observed cle except time spent resting in a
or monitored collection in a drug test, sleeper berth (a berth conforming to
fails to permit the observation or mon- the requirements of § 393.76 of this sub-
itoring of the driver’s provision of a chapter);
specimen (see §§ 40.67(l) and 40.69(g) of (5) All time loading or unloading a
this title); vehicle, supervising, or assisting in the
(5) Fail to provide a sufficient loading or unloading, attending a vehi-
amount of urine when directed, and it cle being loaded or unloaded, remain-
has been determined, through a re- ing in readiness to operate the vehicle,
quired medical evaluation, that there or in giving or receiving receipts for
was no adequate medical explanation shipments loaded or unloaded; and
for the failure (see § 40.193(d)(2) of this (6) All time repairing, obtaining as-
title); sistance, or remaining in attendance
(6) Fail or declines to take a second upon a disabled vehicle.
test the employer or collector has di- Screening test (or initial test) means:
rected the driver to take; (1) In drug testing, a test to elimi-
(7) Fail to undergo a medical exam- nate ‘‘negative’’ urine specimens from
ination or evaluation, as directed by further analysis or to identify a speci-
the MRO as part of the verification men that requires additional testing
process, or as directed by the DER for the presence of drugs.
under § 40.193(d) of this title. In the (2) In alcohol testing, an analytical
case of a pre-employment drug test, procedure to determine whether an em-
the employee is deemed to have refused ployee may have a prohibited con-
to test on this basis only if the pre-em- centration of alcohol in a breath or sa-
ployment test is conducted following a liva specimen.
contingent offer of employment; Stand-down means the practice of
(8) Fail to cooperate with any part of temporarily removing an employee
the testing process (e.g., refuse to from the performance of safety-sen-
empty pockets when so directed by the sitive functions based only on a report
collector, behave in a confrontational from a laboratory to the MRO of a con-
way that disrupts the collection proc- firmed positive test for a drug or drug
ess); or metabolite, an adulterated test, or a
(9) Is reported by the MRO as having substituted test, before the MRO has
a verified adulterated or substituted completed verification of the test re-
test result. sults.
Safety-sensitive function means all Violation rate for random alcohol test-
time from the time a driver begins to ing means the number of 0.04 and above
work or is required to be in readiness random alcohol confirmation test re-
to work until the time he/she is re- sults conducted under this part plus
lieved from work and all responsibility the number of refusals of random alco-
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for performing work. Safety-sensitive hol tests required by this part, divided
functions shall include: by the total number of random alcohol

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§ 382.109 49 CFR Ch. III (10–1–07 Edition)

screening tests (including refusals) § 382.117 Public interest exclusion.


conducted under this part.
No employer shall use the services of
[66 FR 43103, Aug. 17, 2001, as amended at 68 a service agent who is subject to public
FR 75458, Dec. 31, 2003] interest exclusion in accordance with
49 CFR part 40, Subpart R.
§ 382.109 Preemption of State and
local laws. § 382.119 Stand-down waiver provi-
(a) Except as provided in paragraph sion.
(b) of this section, this part preempts (a) Employers are prohibited from
any State or local law, rule, regula- standing employees down, except con-
tion, or order to the extent that: sistent with a waiver from the Federal
(1) Compliance with both the State or Motor Carrier Safety Administration
local requirement in this part is not as required under this section.
possible; or (b) An employer subject to this part
(2) Compliance with the State or who seeks a waiver from the prohibi-
local requirement is an obstacle to the tion against standing down an em-
accomplishment and execution of any ployee before the MRO has completed
requirement in this part. the verification process shall follow
(b) This part shall not be construed
the procedures in 49 CFR 40.21. The em-
to preempt provisions of State crimi-
ployer must send a written request,
nal law that impose sanctions for reck-
which includes all of the information
less conduct leading to actual loss of
required by that section to the Admin-
life, injury, or damage to property,
istrator, Federal Motor Carrier Safety
whether the provisions apply specifi-
Administration, 1200 New Jersey Ave.,
cally to transportation employees, em-
SE., Washington, DC 20590–0001.
ployers, or the general public.
(c) The final decision whether to
§ 382.111 Other requirements imposed grant or deny the application for a
by employers. waiver will be made by the Adminis-
Except as expressly provided in this trator or the Administrator’s designee.
part, nothing in this part shall be con- (d) After a decision is signed by the
strued to affect the authority of em- Administrator or the Administrator’s
ployers, or the rights of drivers, with designee, the employer will be sent a
respect to the use of alcohol, or the use copy of the decision, which will include
of controlled substances, including au- the terms and conditions for the waiver
thority and rights with respect to test- or the reason for denying the applica-
ing and rehabilitation. tion for a waiver.
(e) Questions regarding waiver appli-
§ 382.113 Requirement for notice. cations should be directed to the Fed-
eral Motor Carrier Safety Administra-
Before performing each alcohol or
tion, Office of Enforcement and Com-
controlled substances test under this
pliance (MC–EC), 1200 New Jersey Ave.,
part, each employer shall notify a driv-
SE., Washington, DC 20590–0001.
er that the alcohol or controlled sub-
stances test is required by this part. No [66 FR 43103, Aug. 17, 2001, as amended at 72
employer shall falsely represent that a FR 55700, Oct. 1, 2007]
test is administered under this part.
§ 382.121 Employee admission of alco-
§ 382.115 Starting date for testing pro- hol and controlled substances use.
grams. (a) Employees who admit to alcohol
(a) All domestic-domiciled employers misuse or controlled substances use are
must implement the requirements of not subject to the referral, evaluation
this part on the date the employer be- and treatment requirements of this
gins commercial motor vehicle oper- part and part 40 of this title, provided
ations. that:
(b) All foreign-domiciled employers (1) The admission is in accordance
must implement the requirements of with a written employer-established
this part on the date the employer be- voluntary self-identification program
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gins commercial motor vehicle oper- or policy that meets the requirements
ations in the United States. of paragraph (b) of this section;

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Federal Motor Carrier Safety Administration, DOT § 382.211

(2) The driver does not self-identify Subpart B—Prohibitions


in order to avoid testing under the re-
quirements of this part; § 382.201 Alcohol concentration.
(3) The driver makes the admission of No driver shall report for duty or re-
alcohol misuse or controlled sub- main on duty requiring the perform-
stances use prior to performing a safe- ance of safety-sensitive functions while
ty sensitive function (i.e., prior to re- having an alcohol concentration of 0.04
porting for duty); and or greater. No employer having actual
(4) The driver does not perform a knowledge that a driver has an alcohol
safety sensitive function until the em- concentration of 0.04 or greater shall
ployer is satisfied that the employee permit the driver to perform or con-
has been evaluated and has success- tinue to perform safety-sensitive func-
fully completed education or treat- tions.
ment requirements in accordance with
the self-identification program guide- § 382.205 On-duty use.
lines. No driver shall use alcohol while per-
(b) A qualified voluntary self-identi- forming safety-sensitive functions. No
fication program or policy must con- employer having actual knowledge
tain the following elements: that a driver is using alcohol while per-
(1) It must prohibit the employer forming safety-sensitive functions
from taking adverse action against an shall permit the driver to perform or
employee making a voluntary admis- continue to perform safety-sensitive
sion of alcohol misuse or controlled functions.
substances use within the parameters
of the program or policy and paragraph § 382.207 Pre-duty use.
(a) of this section; No driver shall perform safety-sen-
(2) It must allow the employee suffi- sitive functions within four hours after
cient opportunity to seek evaluation, using alcohol. No employer having ac-
education or treatment to establish tual knowledge that a driver has used
control over the employee’s drug or al- alcohol within four hours shall permit
cohol problem; a driver to perform or continue to per-
(3) It must permit the employee to form safety-sensitive functions.
return to safety sensitive duties only
upon successful completion of an edu- § 382.209 Use following an accident.
cational or treatment program, as de- No driver required to take a post-ac-
termined by a drug and alcohol abuse cident alcohol test under § 382.303 shall
evaluation expert, i.e., employee as- use alcohol for eight hours following
sistance professional, substance abuse the accident, or until he/she undergoes
professional, or qualified drug and al- a post-accident alcohol test, whichever
cohol counselor; occurs first.
(4) It must ensure that:
§ 382.211 Refusal to submit to a re-
(i) Prior to the employee partici- quired alcohol or controlled sub-
pating in a safety sensitive function, stances test.
the employee shall undergo a return to
duty test with a result indicating an No driver shall refuse to submit to a
post-accident alcohol or controlled
alcohol concentration of less than 0.02;
substances test required under § 382.303,
and/or
a random alcohol or controlled sub-
(ii) Prior to the employee partici- stances test required under § 382.305, a
pating in a safety sensitive function, reasonable suspicion alcohol or con-
the employee shall undergo a return to trolled substances test required under
duty controlled substance test with a § 382.307, or a follow-up alcohol or con-
verified negative test result for con- trolled substances test required under
trolled substances use; and § 382.311. No employer shall permit a
(5) It may incorporate employee driver who refuses to submit to such
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monitoring and include non-DOT fol- tests to perform or continue to perform


low-up testing. safety-sensitive functions.

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§ 382.213 49 CFR Ch. III (10–1–07 Edition)

§ 382.213 Controlled substances use. (1) The driver has participated in a


controlled substances testing program
(a) No driver shall report for duty or
that meets the requirements of this
remain on duty requiring the perform-
part within the previous 30 days; and
ance of safety-sensitive functions when (2) While participating in that pro-
the driver uses any controlled sub- gram, either:
stance, except when the use is pursuant (i) Was tested for controlled sub-
to the instructions of a licensed med- stances within the past 6 months (from
ical practitioner, as defined in § 382.107, the date of application with the em-
who has advised the driver that the ployer), or
substance will not adversely affect the (ii) Participated in the random con-
driver’s ability to safely operate a trolled substances testing program for
commercial motor vehicle. the previous 12 months (from the date
(b) No employer having actual knowl- of application with the employer); and
edge that a driver has used a controlled (3) The employer ensures that no
substance shall permit the driver to prior employer of the driver of whom
perform or continue to perform a safe- the employer has knowledge has
ty-sensitive function. records of a violation of this part or
(c) An employer may require a driver the controlled substances use rule of
to inform the employer of any thera- another DOT agency within the pre-
peutic drug use. vious six months.
(c)(1) An employer who exercises the
§ 382.215 Controlled substances test- exception in paragraph (b) of this sec-
ing. tion shall contact the controlled sub-
No driver shall report for duty, re- stances testing program(s) in which the
main on duty or perform a safety-sen- driver participates or participated and
sitive function, if the driver tests posi- shall obtain and retain from the test-
tive or has adulterated or substituted a ing program(s) the following informa-
test specimen for controlled sub- tion:
stances. No employer having actual (i) Name(s) and address(es) of the
knowledge that a driver has tested program(s).
positive or has adulterated or sub- (ii) Verification that the driver par-
stituted a test specimen for controlled ticipates or participated in the pro-
substances shall permit the driver to gram(s).
perform or continue to perform safety- (iii) Verification that the program(s)
sensitive functions. conforms to part 40 of this title.
(iv) Verification that the driver is
qualified under the rules of this part,
Subpart C—Tests Required including that the driver has not re-
§ 382.301 Pre-employment testing. fused to be tested for controlled sub-
stances.
(a) Prior to the first time a driver (v) The date the driver was last test-
performs safety-sensitive functions for ed for controlled substances.
an employer, the driver shall undergo (vi) The results of any tests taken
testing for controlled substances as a within the previous six months and any
condition prior to being used, unless other violations of subpart B of this
the employer uses the exception in part.
paragraph (b) of this section. No em- (2) An employer who uses, but does
ployer shall allow a driver, who the not employ a driver more than once a
employer intends to hire or use, to per- year to operate commercial motor ve-
form safety-sensitive functions unless hicles must obtain the information in
the employer has received a controlled paragraph (c)(1) of this section at least
substances test result from the MRO or once every six months. The records
C/TPA indicating a verified negative prepared under this paragraph shall be
test result for that driver. maintained in accordance with § 382.401.
(b) An employer is not required to ad- If the employer cannot verify that the
minister a controlled substances test driver is participating in a controlled
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required by paragraph (a) of this sec- substances testing program in accord-


tion if: ance with this part and part 40 of this

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Federal Motor Carrier Safety Administration, DOT § 382.303

title, the employer shall conduct a pre- hicle, if the accident involved the loss
employment controlled substances of human life; or
test. (2) Who receives a citation within 8
(d) An employer may, but is not re- hours of the occurrence under State or
quired to, conduct pre-employment al- local law for a moving traffic violation
cohol testing under this part. If an em- arising from the accident, if the acci-
ployer chooses to conduct pre-employ- dent involved:
ment alcohol testing, it must comply (i) Bodily injury to any person who,
with the following requirements: as a result of the injury, immediately
(1) It must conduct a pre-employ- receives medical treatment away from
ment alcohol test before the first per- the scene of the accident; or
formance of safety-sensitive functions (ii) One or more motor vehicles in-
by every covered employee (whether a curring disabling damage as a result of
new employee or someone who has the accident, requiring the motor vehi-
transferred to a position involving the cle to be transported away from the
performance of safety-sensitive func- scene by a tow truck or other motor
tions). vehicle.
(2) It must treat all safety-sensitive
(b) As soon as practicable following
employees performing safety-sensitive
an occurrence involving a commercial
functions the same for the purpose of
motor vehicle operating on a public
pre-employment alcohol testing (i.e., it
road in commerce, each employer shall
must not test some covered employees
test for controlled substances for each
and not others).
(3) It must conduct the pre-employ- of its surviving drivers:
ment tests after making a contingent (1) Who was performing safety-sen-
offer of employment or transfer, sub- sitive functions with respect to the ve-
ject to the employee passing the pre- hicle, if the accident involved the loss
employment alcohol test. of human life; or
(4) It must conduct all pre-employ- (2) Who receives a citation within
ment alcohol tests using the alcohol thirty-two hours of the occurrence
testing procedures of 49 CFR part 40 of under State or local law for a moving
this title. traffic violation arising from the acci-
(5) It must not allow a covered em- dent, if the accident involved:
ployee to begin performing safety-sen- (i) Bodily injury to any person who,
sitive functions unless the result of the as a result of the injury, immediately
employee’s test indicates an alcohol receives medical treatment away from
concentration of less than 0.04. the scene of the accident; or
(ii) One or more motor vehicles in-
§ 382.303 Post-accident testing. curring disabling damage as a result of
(a) As soon as practicable following the accident, requiring the motor vehi-
an occurrence involving a commercial cle to be transported away from the
motor vehicle operating on a public scene by a tow truck or other motor
road in commerce, each employer shall vehicle.
test for alcohol for each of its sur- (c) The following table notes when a
viving drivers: post-accident test is required to be con-
(1) Who was performing safety-sen- ducted by paragraphs (a)(1), (a)(2),
sitive functions with respect to the ve- (b)(1), and (b)(2) of this section:
TABLE FOR § 382.303(A) AND (B)
Citation issued to the Test must be per-
Type of accident involved CMV driver formed by employer

i. Human fatality .................................................................................................... YES YES


NO YES
ii. Bodily injury with immediate medical treatment away from the scene ............. YES YES
NO NO
iii. Disabling damage to any motor vehicle requiring tow away ........................... YES YES
NO NO
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177

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§ 382.305 49 CFR Ch. III (10–1–07 Edition)

(d)(1) Alcohol tests. If a test required test, shall be considered to meet the re-
by this section is not administered quirements of this section, provided
within two hours following the acci- such tests conform to the applicable
dent, the employer shall prepare and Federal, State or local controlled sub-
maintain on file a record stating the stances testing requirements, and that
reasons the test was not promptly ad- the results of the tests are obtained by
ministered. If a test required by this the employer.
section is not administered within (h) Exception. This section does not
eight hours following the accident, the apply to:
employer shall cease attempts to ad- (1) An occurrence involving only
minister an alcohol test and shall pre- boarding or alighting from a stationary
pare and maintain the same record. motor vehicle; or
Records shall be submitted to the
(2) An occurrence involving only the
FMCSA upon request.
loading or unloading of cargo; or
(2) Controlled substance tests. If a test
required by this section is not adminis- (3) An occurrence in the course of the
tered within 32 hours following the ac- operation of a passenger car or a multi-
cident, the employer shall cease at- purpose passenger vehicle (as defined
tempts to administer a controlled sub- in § 571.3 of this title) by an employer
stances test, and prepare and maintain unless the motor vehicle is trans-
on file a record stating the reasons the porting passengers for hire or haz-
test was not promptly administered. ardous materials of a type and quan-
Records shall be submitted to the tity that require the motor vehicle to
FMCSA upon request. be marked or placarded in accordance
(e) A driver who is subject to post-ac- with § 177.823 of this title.
cident testing shall remain readily
available for such testing or may be § 382.305 Random testing.
deemed by the employer to have re- (a) Every employer shall comply with
fused to submit to testing. Nothing in the requirements of this section. Every
this section shall be construed to re- driver shall submit to random alcohol
quire the delay of necessary medical and controlled substance testing as re-
attention for injured people following quired in this section.
an accident or to prohibit a driver from (b)(1) Except as provided in para-
leaving the scene of an accident for the graphs (c) through (e) of this section,
period necessary to obtain assistance the minimum annual percentage rate
in responding to the accident, or to ob- for random alcohol testing shall be 10
tain necessary emergency medical percent of the average number of driver
care. positions.
(f) An employer shall provide drivers
(2) Except as provided in paragraphs
with necessary post-accident informa-
(f) through (h) of this section, the min-
tion, procedures and instructions, prior
imum annual percentage rate for ran-
to the driver operating a commercial
motor vehicle, so that drivers will be dom controlled substances testing shall
able to comply with the requirements be 50 percent of the average number of
of this section. driver positions.
(g)(1) The results of a breath or blood (c) The FMCSA Administrator’s deci-
test for the use of alcohol, conducted sion to increase or decrease the min-
by Federal, State, or local officials imum annual percentage rate for alco-
having independent authority for the hol testing is based on the reported
test, shall be considered to meet the re- violation rate for the entire industry.
quirements of this section, provided All information used for this deter-
such tests conform to the applicable mination is drawn from the alcohol
Federal, State or local alcohol testing management information system re-
requirements, and that the results of ports required by § 382.403. In order to
the tests are obtained by the employer. ensure reliability of the data, the
(2) The results of a urine test for the FMCSA Administrator considers the
use of controlled substances, conducted quality and completeness of the re-
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by Federal, State, or local officials ported data, may obtain additional in-
having independent authority for the formation or reports from employers,

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Federal Motor Carrier Safety Administration, DOT § 382.305

and may make appropriate modifica- (f) The FMCSA Administrator’s deci-
tions in calculating the industry viola- sion to increase or decrease the min-
tion rate. In the event of a change in imum annual percentage rate for con-
the annual percentage rate, the trolled substances testing is based on
FMCSA Administrator will publish in the reported positive rate for the entire
the FEDERAL REGISTER the new min- industry. All information used for this
imum annual percentage rate for ran- determination is drawn from the con-
dom alcohol testing of drivers. The new trolled substances management infor-
minimum annual percentage rate for mation system reports required by
random alcohol testing will be applica- § 382.403. In order to ensure reliability
ble starting January 1 of the calendar of the data, the FMCSA Administrator
year following publication in the FED- considers the quality and completeness
ERAL REGISTER. of the reported data, may obtain addi-
(d)(1) When the minimum annual per- tional information or reports from em-
centage rate for random alcohol test- ployers, and may make appropriate
ing is 25 percent or more, the FMCSA modifications in calculating the indus-
Administrator may lower this rate to try positive rate. In the event of a
10 percent of all driver positions if the change in the annual percentage rate,
FMCSA Administrator determines that the FMCSA Administrator will publish
the data received under the reporting in the FEDERAL REGISTER the new min-
requirements of § 382.403 for two con- imum annual percentage rate for con-
secutive calendar years indicate that trolled substances testing of drivers.
the violation rate is less than 0.5 per- The new minimum annual percentage
cent. rate for random controlled substances
(2) When the minimum annual per- testing will be applicable starting Jan-
centage rate for random alcohol test- uary 1 of the calendar year following
ing is 50 percent, the FMCSA Adminis- publication in the FEDERAL REGISTER.
trator may lower this rate to 25 per- (g) When the minimum annual per-
cent of all driver positions if the centage rate for random controlled
FMCSA Administrator determines that substances testing is 50 percent, the
the data received under the reporting FMCSA Administrator may lower this
requirements of § 382.403 for two con- rate to 25 percent of all driver positions
secutive calendar years indicate that if the FMCSA Administrator deter-
the violation rate is less than 1.0 per- mines that the data received under the
cent but equal to or greater than 0.5 reporting requirements of § 382.403 for
percent. two consecutive calendar years indi-
(e)(1) When the minimum annual per- cate that the positive rate is less than
centage rate for random alcohol test- 1.0 percent.
ing is 10 percent, and the data received (h) When the minimum annual per-
under the reporting requirements of centage rate for random controlled
§ 382.403 for that calendar year indicate substances testing is 25 percent, and
that the violation rate is equal to or the data received under the reporting
greater than 0.5 percent, but less than requirements of § 382.403 for any cal-
1.0 percent, the FMCSA Administrator endar year indicate that the reported
will increase the minimum annual per- positive rate is equal to or greater than
centage rate for random alcohol test- 1.0 percent, the FMCSA Administrator
ing to 25 percent for all driver posi- will increase the minimum annual per-
tions. centage rate for random controlled
(2) When the minimum annual per- substances testing to 50 percent of all
centage rate for random alcohol test- driver positions.
ing is 25 percent or less, and the data (i)(1) The selection of drivers for ran-
received under the reporting require- dom alcohol and controlled substances
ments of § 382.403 for that calendar year testing shall be made by a scientif-
indicate that the violation rate is ically valid method, such as a random
equal to or greater than 1.0 percent, number table or a computer-based ran-
the FMCSA Administrator will in- dom number generator that is matched
crease the minimum annual percentage with drivers’ Social Security numbers,
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rate for random alcohol testing to 50 payroll identification numbers, or


percent for all driver positions. other comparable identifying numbers.

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§ 382.307 49 CFR Ch. III (10–1–07 Edition)

(2) Each driver selected for random function and proceeds to the testing
alcohol and controlled substances test- site as soon as possible.
ing under the selection process used, (m) A driver shall only be tested for
shall have an equal chance of being alcohol while the driver is performing
tested each time selections are made. safety-sensitive functions, just before
(3) Each driver selected for testing the driver is to perform safety-sen-
shall be tested during the selection pe- sitive functions, or just after the driver
riod. has ceased performing such functions.
(j)(1)To calculate the total number of (n) If a given driver is subject to ran-
covered drivers eligible for random dom alcohol or controlled substances
testing throughout the year, as an em- testing under the random alcohol or
ployer, you must add the total number controlled substances testing rules of
of covered drivers eligible for testing more than one DOT agency for the
same employer, the driver shall be sub-
during each random testing period for
ject to random alcohol and/or con-
the year and divide that total by the
trolled substances testing at the an-
number of random testing periods. Cov-
nual percentage rate established for
ered employees, and only covered em-
the calendar year by the DOT agency
ployees, are to be in an employer’s ran-
regulating more than 50 percent of the
dom testing pool, and all covered driv-
driver’s function.
ers must be in the random pool. If you (o) If an employer is required to con-
are an employer conducting random duct random alcohol or controlled sub-
testing more often than once per stances testing under the alcohol or
month (e.g., daily, weekly, bi-weekly) controlled substances testing rules of
you do not need to compute this total more than one DOT agency, the em-
number of covered drivers rate more ployer may—
than on a once per month basis. (1) Establish separate pools for ran-
(2) As an employer, you may use a dom selection, with each pool con-
service agent (e.g., a C/TPA) to perform taining the DOT-covered employees
random selections for you, and your who are subject to testing at the same
covered drivers may be part of a larger required minimum annual percentage
random testing pool of covered employ- rate; or
ees. However, you must ensure that the (2) Randomly select such employees
service agent you use is testing at the for testing at the highest minimum an-
appropriate percentage established for nual percentage rate established for
your industry and that only covered the calendar year by any DOT agency
employees are in the random testing to which the employer is subject.
pool.
[66 FR 43103, Aug. 17, 2001, as amended at 67
(k)(1) Each employer shall ensure FR 61821, Oct. 2, 2002; 68 FR 75459, Dec. 31,
that random alcohol and controlled 2003]
substances tests conducted under this
part are unannounced. § 382.307 Reasonable suspicion testing.
(2) Each employer shall ensure that (a) An employer shall require a driver
the dates for administering random al- to submit to an alcohol test when the
cohol and controlled substances tests employer has reasonable suspicion to
conducted under this part are spread believe that the driver has violated the
reasonably throughout the calendar prohibitions of subpart B of this part
year. concerning alcohol. The employer’s de-
(l) Each employer shall require that termination that reasonable suspicion
each driver who is notified of selection exists to require the driver to undergo
for random alcohol and/or controlled an alcohol test must be based on spe-
substances testing proceeds to the test cific, contemporaneous, articulable ob-
site immediately; provided, however, servations concerning the appearance,
that if the driver is performing a safe- behavior, speech or body odors of the
ty-sensitive function, other than driv- driver.
ing a commercial motor vehicle, at the (b) An employer shall require a driver
time of notification, the employer to submit to a controlled substances
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shall instead ensure that the driver test when the employer has reasonable
ceases to perform the safety-sensitive suspicion to believe that the driver has

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Federal Motor Carrier Safety Administration, DOT § 382.401

violated the prohibitions of subpart B shown by the behavioral, speech, and


of this part concerning controlled sub- performance indicators of alcohol mis-
stances. The employer’s determination use, nor shall an employer permit the
that reasonable suspicion exists to re- driver to perform or continue to per-
quire the driver to undergo a con- form safety-sensitive functions, until:
trolled substances test must be based (i) An alcohol test is administered
on specific, contemporaneous, and the driver’s alcohol concentration
articulable observations concerning measures less than 0.02; or
the appearance, behavior, speech or (ii) Twenty four hours have elapsed
body odors of the driver. The observa- following the determination under
tions may include indications of the paragraph (a) of this section that there
chronic and withdrawal effects of con- is reasonable suspicion to believe that
trolled substances. the driver has violated the prohibitions
(c) The required observations for al- in this part concerning the use of alco-
cohol and/or controlled substances rea- hol.
sonable suspicion testing shall be made (3) Except as provided in paragraph
by a supervisor or company official (e)(2) of this section, no employer shall
who is trained in accordance with take any action under this part against
§ 382.603. The person who makes the de- a driver based solely on the driver’s be-
termination that reasonable suspicion havior and appearance, with respect to
exists to conduct an alcohol test shall
alcohol use, in the absence of an alco-
not conduct the alcohol test of the
hol test. This does not prohibit an em-
driver.
ployer with independent authority of
(d) Alcohol testing is authorized by
this part from taking any action other-
this section only if the observations re-
wise consistent with law.
quired by paragraph (a) of this section
are made during, just preceding, or just (f) A written record shall be made of
after the period of the work day that the observations leading to an alcohol
the driver is required to be in compli- or controlled substances reasonable
ance with this part. A driver may be di- suspicion test, and signed by the super-
rected by the employer to only undergo visor or company official who made the
reasonable suspicion testing while the observations, within 24 hours of the ob-
driver is performing safety-sensitive served behavior or before the results of
functions, just before the driver is to the alcohol or controlled substances
perform safety-sensitive functions, or tests are released, whichever is earlier.
just after the driver has ceased per-
§ 382.309 Return-to-duty testing.
forming such functions.
(e)(1) If an alcohol test required by The requirements for return-to-duty
this section is not administered within testing must be performed in accord-
two hours following the determination ance with 49 CFR part 40, Subpart O.
under paragraph (a) of this section, the
employer shall prepare and maintain § 382.311 Follow-up testing.
on file a record stating the reasons the The requirements for follow-up test-
alcohol test was not promptly adminis- ing must be performed in accordance
tered. If an alcohol test required by with 49 CFR part 40, Subpart O.
this section is not administered within
eight hours following the determina-
tion under paragraph (a) of this sec-
Subpart D—Handling of Test Re-
tion, the employer shall cease attempts sults, Records Retention, and
to administer an alcohol test and shall Confidentiality
state in the record the reasons for not
administering the test. § 382.401 Retention of records.
(2) Notwithstanding the absence of a (a) General requirement. Each em-
reasonable suspicion alcohol test under ployer shall maintain records of its al-
this section, no driver shall report for cohol misuse and controlled substances
duty or remain on duty requiring the use prevention programs as provided in
performance of safety-sensitive func- this section. The records shall be main-
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tions while the driver is under the in- tained in a secure location with con-
fluence of or impaired by alcohol, as trolled access.

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§ 382.401 49 CFR Ch. III (10–1–07 Edition)

(b) Period of retention. Each employer sonable suspicion alcohol or controlled


shall maintain the records in accord- substances tests;
ance with the following schedule: (vi) Documents generated in connec-
(1) Five years. The following records tion with decisions on post-accident
shall be maintained for a minimum of tests;
five years: (vii) Documents verifying existence
(i) Records of driver alcohol test re- of a medical explanation of the inabil-
sults indicating an alcohol concentra- ity of a driver to provide adequate
tion of 0.02 or greater, breath or to provide a urine specimen
(ii) Records of driver verified positive for testing; and
controlled substances test results, (viii) A copy of each annual calendar
(iii) Documentation of refusals to year summary as required by § 382.403.
take required alcohol and/or controlled
(2) Records related to a driver’s test
substances tests,
results:
(iv) Driver evaluation and referrals,
(i) The employer’s copy of the alco-
(v) Calibration documentation,
hol test form, including the results of
(vi) Records related to the adminis-
the test;
tration of the alcohol and controlled
substances testing programs, and (ii) The employer’s copy of the con-
(vii) A copy of each annual calendar trolled substances test chain of cus-
year summary required by § 382.403. tody and control form;
(2) Two years. Records related to the (iii) Documents sent by the MRO to
alcohol and controlled substances col- the employer, including those required
lection process (except calibration of by part 40, subpart G, of this title;
evidential breath testing devices). (iv) Documents related to the refusal
(3) One year. Records of negative and of any driver to submit to an alcohol or
canceled controlled substances test re- controlled substances test required by
sults (as defined in part 40 of this title) this part;
and alcohol test results with a con- (v) Documents presented by a driver
centration of less than 0.02 shall be to dispute the result of an alcohol or
maintained for a minimum of one year. controlled substances test adminis-
(4) Indefinite period. Records related tered under this part; and
to the education and training of breath (vi) Documents generated in connec-
alcohol technicians, screening test tion with verifications of prior employ-
technicians, supervisors, and drivers ers’ alcohol or controlled substances
shall be maintained by the employer test results that the employer:
while the individual performs the func- (A) Must obtain in connection with
tions which require the training and the exception contained in § 382.301, and
for two years after ceasing to perform
(B) Must obtain as required by
those functions.
§ 382.413.
(c) Types of records. The following
(3) Records related to other viola-
specific types of records shall be main-
tained. ‘‘Documents generated’’ are tions of this part.
documents that may have to be pre- (4) Records related to evaluations:
pared under a requirement of this part. (i) Records pertaining to a deter-
If the record is required to be prepared, mination by a substance abuse profes-
it must be maintained. sional concerning a driver’s need for
(1) Records related to the collection assistance; and
process: (ii) Records concerning a driver’s
(i) Collection logbooks, if used; compliance with recommendations of
(ii) Documents relating to the ran- the substance abuse professional.
dom selection process; (5) Records related to education and
(iii) Calibration documentation for training:
evidential breath testing devices; (i) Materials on alcohol misuse and
(iv) Documentation of breath alcohol controlled substance use awareness, in-
technician training; cluding a copy of the employer’s policy
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(v) Documents generated in connec- on alcohol misuse and controlled sub-


tion with decisions to administer rea- stance use;

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Federal Motor Carrier Safety Administration, DOT § 382.403

(ii) Documentation of compliance 382.401, 382.403, 382.405, 382.409, 382.411,


with the requirements of § 382.601, in- 382.601, 382.603.
cluding the driver’s signed receipt of [66 FR 43103, Aug. 17, 2001, as amended at 67
education materials; FR 61821, Oct. 2, 2002; 68 FR 75459, Dec. 31,
(iii) Documentation of training pro- 2003]
vided to supervisors for the purpose of
qualifying the supervisors to make a § 382.403 Reporting of results in a
management information system.
determination concerning the need for
alcohol and/or controlled substances (a) An employer shall prepare and
testing based on reasonable suspicion; maintain a summary of the results of
(iv) Documentation of training for its alcohol and controlled substances
breath alcohol technicians as required testing programs performed under this
by § 40.213(a) of this title; and part during the previous calendar year,
when requested by the Secretary of
(v) Certification that any training
Transportation, any DOT agency, or
conducted under this part complies
any State or local officials with regu-
with the requirements for such train-
latory authority over the employer or
ing.
any of its drivers.
(6) Administrative records related to (b) If an employer is notified, during
alcohol and controlled substances test- the month of January, of a request by
ing: the Federal Motor Carrier Safety Ad-
(i) Agreements with collection site ministration to report the employer’s
facilities, laboratories, breath alcohol annual calendar year summary infor-
technicians, screening test technicians, mation, the employer shall prepare and
medical review officers, consortia, and submit the report to the FMCSA by
third party service providers; March 15 of that year. The employer
(ii) Names and positions of officials shall ensure that the annual summary
and their role in the employer’s alcohol report is accurate and received by
and controlled substances testing pro- March 15 at the location that the
gram(s); FMCSA specifies in its request. The
(iii) Semi-annual laboratory statis- employer must use the Management
tical summaries of urinalysis required Information System (MIS) form and in-
by § 40.111(a) of this title; and structions as required by 49 CFR part
(iv) The employer’s alcohol and con- 40 (at § 40.26 and appendix H to part 40).
trolled substances testing policy and The employer may also use the elec-
procedures. tronic version of the MIS form pro-
(d) Location of records. All records re- vided by the DOT. The Administrator
quired by this part shall be maintained may designate means (e.g., electronic
as required by § 390.31 of this sub- program transmitted via the Internet),
chapter and shall be made available for other than hard-copy, for MIS form
inspection at the employer’s principal submission. For information on the
electronic version of the form, see:
place of business within two business
http://www.fmcsa.dot.gov/safetyprogs/
days after a request has been made by
drugs/engtesting.htm.
an authorized representative of the
(c) When the report is submitted to
Federal Motor Carrier Safety Adminis-
the FMCSA by mail or electronic
tration. transmission, the information re-
(e) OMB control number. (1) The infor- quested shall be typed, except for the
mation collection requirements of this signature of the certifying official.
part have been reviewed by the Office Each employer shall ensure the accu-
of Management and Budget pursuant to racy and timeliness of each report sub-
the Paperwork Reduction Act of 1995 mitted by the employer or a consor-
(44 U.S.C. 3501 et seq.) and have been tium.
assigned OMB control number 2126– (d) If you have a covered employee
0012. who performs multi-DOT agency func-
(2) The information collection re- tions (e.g., an employee drives a com-
quirements of this part are found in mercial motor vehicle and performs
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the following sections: Sections 382.105, pipeline maintenance duties for the
382.113, 382.301, 382.303, 382.305, 382.307, same employer), count the employee

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§ 382.405 49 CFR Ch. III (10–1–07 Edition)

only on the MIS report for the DOT with regulatory authority over the em-
agency under which he or she is ran- ployer or any of its drivers.
domly tested. Normally, this will be (e) When requested by the National
the DOT agency under which the em- Transportation Safety Board as part of
ployee performs more than 50% of his an accident investigation, employers
or her duties. Employers may have to shall disclose information related to
explain the testing data for these em- the employer’s administration of a
ployees in the event of a DOT agency post-accident alcohol and/or controlled
inspection or audit. substance test administered following
(e) A service agent (e.g., Consortia/ the accident under investigation.
Third party administrator as defined in (f) Records shall be made available to
49 CFR 382.107) may prepare the MIS a subsequent employer upon receipt of
report on behalf of an employer. How- a written request from a driver. Disclo-
ever, a company official (e.g., Des- sure by the subsequent employer is per-
ignated employer representative) must mitted only as expressly authorized by
certify the accuracy and completeness the terms of the driver’s request.
of the MIS report, no matter who pre- (g) An employer may disclose infor-
pares it. mation required to be maintained
[66 FR 43103, Aug. 17, 2001, as amended at 68 under this part pertaining to a driver
FR 75459, Dec. 31, 2003] to the decision maker in a lawsuit,
grievance, or administrative pro-
§ 382.405 Access to facilities and ceeding initiated by or on behalf of the
records. individual, and arising from a positive
(a) Except as required by law or ex- DOT drug or alcohol test or a refusal to
pressly authorized or required in this test (including, but not limited to,
section, no employer shall release driv- adulterated or substituted test results)
er information that is contained in of this part (including, but not limited
records required to be maintained to, a worker’s compensation, unem-
under § 382.401. ployment compensation, or other pro-
(b) A driver is entitled, upon written ceeding relating to a benefit sought by
request, to obtain copies of any records the driver). Additionally, an employer
pertaining to the driver’s use of alcohol may disclose information in criminal
or controlled substances, including any or civil actions in accordance with
records pertaining to his or her alcohol § 40.323(a)(2) of this title.
or controlled substances tests. The em- (h) An employer shall release infor-
ployer shall promptly provide the mation regarding a driver’s records as
records requested by the driver. Access directed by the specific written consent
to a driver’s records shall not be con- of the driver authorizing release of the
tingent upon payment for records other information to an identified person.
than those specifically requested. Release of such information by the per-
(c) Each employer shall permit ac- son receiving the information is per-
cess to all facilities utilized in com- mitted only in accordance with the
plying with the requirements of this terms of the employee’s specific writ-
part to the Secretary of Transpor- ten consent as outlined in § 40.321(b) of
tation, any DOT agency, or any State this title.
or local officials with regulatory au-
thority over the employer or any of its § 382.407 Medical review officer notifi-
cations to the employer.
drivers.
(d) Each employer shall make avail- Medical review officers shall report
able copies of all results for employer the results of controlled substances
alcohol and/or controlled substances tests to employers in accordance with
testing conducted under this part and the requirements of part 40, Subpart G,
any other information pertaining to of this title.
the employer’s alcohol misuse and/or
controlled substances use prevention § 382.409 Medical review officer record
program, when requested by the Sec- retention for controlled substances.
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retary of Transportation, any DOT (a) A medical review officer or third


agency, or any State or local officials party administrator shall maintain all

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Federal Motor Carrier Safety Administration, DOT § 382.503

dated records and notifications, identi- (c) The designated employer rep-
fied by individual, for a minimum of resentative shall immediately notify
five years for verified positive con- the medical review officer that the
trolled substances test results. driver has been notified to contact the
(b) A medical review officer or third medical review officer within 72 hours.
party administrator shall maintain all
dated records and notifications, identi- § 382.413 Inquiries for alcohol and con-
trolled substances information from
fied by individual, for a minimum of previous employers.
one year for negative and canceled con-
trolled substances test results. Employers shall request alcohol and
controlled substances information
(c) No person may obtain the indi-
from previous employers in accordance
vidual controlled substances test re-
with the requirements of § 40.25 of this
sults retained by a medical review offi-
title.
cer or third party administrator, and
no medical review officer or third
party administrator shall release the Subpart E—Consequences for
individual controlled substances test Drivers Engaging in Substance
results of any driver to any person, Use-Related Conduct
without first obtaining a specific, writ-
§ 382.501 Removal from safety-sen-
ten authorization from the tested driv- sitive function.
er. Nothing in this paragraph (c) shall
prohibit a medical review officer or (a) Except as provided in subpart F of
third party administrator from releas- this part, no driver shall perform safe-
ing, to the employer or to officials of ty-sensitive functions, including driv-
the Secretary of Transportation, any ing a commercial motor vehicle, if the
DOT agency, or any State or local offi- driver has engaged in conduct prohib-
cials with regulatory authority over ited by subpart B of this part or an al-
the controlled substances testing pro- cohol or controlled substances rule of
gram under this part, the information another DOT agency.
delineated in part 40, Subpart G, of this (b) No employer shall permit any
title. driver to perform safety-sensitive func-
tions; including driving a commercial
§ 382.411 Employer notifications. motor vehicle, if the employer has de-
termined that the driver has violated
(a) An employer shall notify a driver this section.
of the results of a pre-employment con- (c) For purposes of this subpart, com-
trolled substances test conducted mercial motor vehicle means a com-
under this part, if the driver requests mercial motor vehicle in commerce as
such results within 60 calendar days of defined in § 382.107, and a commercial
being notified of the disposition of the motor vehicle in interstate commerce
employment application. An employer as defined in part 390 of this sub-
shall notify a driver of the results of chapter.
random, reasonable suspicion and post-
accident tests for controlled substances § 382.503 Required evaluation and test-
conducted under this part if the test ing.
results are verified positive. The em- No driver who has engaged in con-
ployer shall also inform the driver duct prohibited by subpart B of this
which controlled substance or sub- part shall perform safety-sensitive
stances were verified as positive. functions, including driving a commer-
(b) The designated employer rep- cial motor vehicle, unless the driver
resentative shall make reasonable ef- has met the requirements of part 40,
forts to contact and request each driv- subpart O, of this title. No employer
er who submitted a specimen under the shall permit a driver who has engaged
employer’s program, regardless of the in conduct prohibited by subpart B of
driver’s employment status, to contact this part to perform safety-sensitive
and discuss the results of the con- functions, including driving a commer-
trolled substances test with a medical cial motor vehicle, unless the driver
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review officer who has been unable to has met the requirements of part 40,
contact the driver. subpart O, of this title.

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§ 382.505 49 CFR Ch. III (10–1–07 Edition)

§ 382.505 Other alcohol-related con- position requiring driving a commer-


duct. cial motor vehicle.
(a) No driver tested under the provi- (2) Each employer shall provide writ-
sions of subpart C of this part who is ten notice to representatives of em-
found to have an alcohol concentration ployee organizations of the availability
of 0.02 or greater but less than 0.04 of this information.
shall perform or continue to perform (b) Required content. The materials to
safety-sensitive functions for an em- be made available to drivers shall in-
ployer, including driving a commercial clude detailed discussion of at least the
motor vehicle, nor shall an employer following:
permit the driver to perform or con- (1) The identity of the person des-
tinue to perform safety-sensitive func- ignated by the employer to answer
tions, until the start of the driver’s driver questions about the materials;
next regularly scheduled duty period, (2) The categories of drivers who are
but not less than 24 hours following ad- subject to the provisions of this part;
ministration of the test. (3) Sufficient information about the
(b) Except as provided in paragraph safety-sensitive functions performed by
(a) of this section, no employer shall those drivers to make clear what pe-
take any action under this part against riod of the work day the driver is re-
a driver based solely on test results quired to be in compliance with this
showing an alcohol concentration less part;
than 0.04. This does not prohibit an em-
(4) Specific information concerning
ployer with authority independent of
driver conduct that is prohibited by
this part from taking any action other-
this part;
wise consistent with law.
(5) The circumstances under which a
§ 382.507 Penalties. driver will be tested for alcohol and/or
controlled substances under this part,
Any employer or driver who violates
including post-accident testing under
the requirements of this part shall be
§ 382.303(d);
subject to the civil and/or criminal
penalty provisions of 49 U.S.C. 521(b). (6) The procedures that will be used
In addition, any employer or driver to test for the presence of alcohol and
who violates the requirements of 49 controlled substances, protect the driv-
CFR part 40 shall be subject to the civil er and the integrity of the testing proc-
and/or criminal penalty provisions of 49 esses, safeguard the validity of the test
U.S.C. 521(b). results, and ensure that those results
are attributed to the correct driver, in-
cluding post-accident information, pro-
Subpart F—Alcohol Misuse and cedures and instructions required by
Controlled Substances Use In- § 382.303(d);
formation, Training, and Refer- (7) The requirement that a driver
ral submit to alcohol and controlled sub-
stances tests administered in accord-
§ 382.601 Employer obligation to pro-
mulgate a policy on the misuse of ance with this part;
alcohol and use of controlled sub- (8) An explanation of what con-
stances. stitutes a refusal to submit to an alco-
(a) General requirements. Each em- hol or controlled substances test and
ployer shall provide educational mate- the attendant consequences;
rials that explain the requirements of (9) The consequences for drivers
this part and the employer’s policies found to have violated subpart B of
and procedures with respect to meeting this part, including the requirement
these requirements. that the driver be removed imme-
(1) The employer shall ensure that a diately from safety-sensitive functions,
copy of these materials is distributed and the procedures under part 40, sub-
to each driver prior to the start of al- part O, of this title;
cohol and controlled substances testing (10) The consequences for drivers
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under this part and to each driver sub- found to have an alcohol concentration
sequently hired or transferred into a of 0.02 or greater but less than 0.04;

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Federal Motor Carrier Safety Administration, DOT Pt. 383

(11) Information concerning the ef- PART 383—COMMERCIAL DRIVER’S


fects of alcohol and controlled sub- LICENSE STANDARDS; REQUIRE-
stances use on an individual’s health, MENTS AND PENALTIES
work, and personal life; signs and
symptoms of an alcohol or a controlled Subpart A—General
substances problem (the driver’s or a
co-worker’s); and available methods of Sec.
intervening when an alcohol or a con- 383.1 Purpose and scope.
trolled substances problem is sus- 383.3 Applicability.
383.5 Definitions.
pected, including confrontation, refer-
383.7 Validity of CDL issued by decertified
ral to any employee assistance pro- State.
gram and or referral to management.
(c) Optional provision. The materials Subpart B—Single License Requirement
supplied to drivers may also include in-
formation on additional employer poli- 383.21 Number of drivers’ licenses.
383.23 Commercial driver’s license.
cies with respect to the use of alcohol
or controlled substances, including any Subpart C—Notification Requirements and
consequences for a driver found to have Employer Responsibilities
a specified alcohol or controlled sub-
stances level, that are based on the em- 383.31 Notification of convictions for driver
ployer’s authority independent of this violations.
part. Any such additional policies or 383.33 Notification of driver’s license sus-
pensions.
consequences must be clearly and obvi- 383.35 Notification of previous employment.
ously described as being based on inde- 383.37 Employer responsibilities.
pendent authority.
(d) Certificate of receipt. Each em- Subpart D—Driver Disqualifications and
ployer shall ensure that each driver is Penalties
required to sign a statement certifying
383.51 Disqualification of drivers.
that he or she has received a copy of
383.52 Disqualification of drivers deter-
these materials described in this sec- mined to constitute an imminent hazard.
tion. Each employer shall maintain the 383.53 Penalties.
original of the signed certificate and
may provide a copy of the certificate Subpart E—Testing and Licensing
to the driver. Procedures
§ 382.603 Training for supervisors. 383.71 Driver application procedures.
383.72 Implied consent to alcohol testing.
Each employer shall ensure that all 383.73 State procedures.
persons designated to supervise drivers 383.75 Third party testing.
receive at least 60 minutes of training 383.77 Substitute for driving skills tests.
on alcohol misuse and receive at least
an additional 60 minutes of training on Subpart F—Vehicle Groups and
controlled substances use. The training Endorsements
will be used by the supervisors to de- 383.91 Commercial motor vehicle groups.
termine whether reasonable suspicion 383.93 Endorsements.
exists to require a driver to undergo 383.95 Air brake restrictions.
testing under § 382.307. The training
shall include the physical, behavioral, Subpart G—Required Knowledge and Skills
speech, and performance indicators of 383.110 General requirement.
probable alcohol misuse and use of con- 383.111 Required knowledge.
trolled substances. Recurrent training 383.113 Required skills.
for supervisory personnel is not re- 383.115 Requirements for double/triple trail-
quired. ers endorsement.
383.117 Requirements for passenger endorse-
§ 382.605 Referral, evaluation, and ment.
treatment. 383.119 Requirements for tank vehicle en-
dorsement.
The requirements for referral, eval- 383.121 Requirements for hazardous mate-
uation, and treatment must be per-
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rials endorsement.
formed in accordance with 49 CFR part 383.123 Requirements for a school bus en-
40, Subpart O. dorsement.

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§ 383.1 49 CFR Ch. III (10–1–07 Edition)
APPENDIX TO SUBPART G—REQUIRED KNOWL- convicted of certain criminal and other
EDGE AND SKILLS—SAMPLE GUIDELINES offenses and serious traffic violations,
or subject to any suspensions, revoca-
Subpart H—Tests tions, or cancellations of certain driv-
383.131 Test procedures. ing privileges;
383.133 Testing methods. (6) Establishes testing and licensing
383.135 Minimum passing scores. requirements for commercial motor ve-
hicle operators;
Subpart I—Requirement for Transportation (7) Requires States to give knowledge
Security Administration approval of and skills tests to all qualified appli-
hazardous materials endorsement cants for commercial drivers’ licenses
issuances which meet the Federal standard;
383.141 General.
(8) Sets forth commercial motor ve-
hicle groups and endorsements;
Subpart J—Commercial Driver’s License (9) Sets forth the knowledge and
Document skills test requirements for the motor
vehicle groups and endorsements;
383.151 General. (10) Sets forth the Federal standards
383.153 Information on the document and for procedures, methods, and minimum
application. passing scores for States and others to
383.155 Tamperproofing requirements.
use in testing and licensing commer-
AUTHORITY: 49 U.S.C. 521, 31136, 31301 et seq., cial motor vehicle operators; and
31502; sec. 214 of Pub. L. 106–159, 113 Stat. (11) Establishes requirements for the
1766, 1767; sec. 1012(b) of Pub. L. 107–56, 115 State issued commercial license docu-
Stat. 397; sec. 4140 of Pub. L. 109-59, 119 Stat.
mentation.
1144; and 49 CFR 1.73.
SOURCE: 52 FR 20587, June 1, 1987, unless [52 FR 20587, June 1, 1987, as amended at 53
otherwise noted. FR 27648, July 21, 1988; 54 FR 40787, Oct. 3,
1989]
EDITORIAL NOTE: Nomenclature changes to
part 383 appear at 66 FR 49872, Oct. 1, 2001. § 383.3 Applicability.
(a) The rules in this part apply to
Subpart A—General every person who operates a commer-
cial motor vehicle (CMV) in interstate,
§ 383.1 Purpose and scope. foreign, or intrastate commerce, to all
(a) The purpose of this part is to help employers of such persons, and to all
reduce or prevent truck and bus acci- States.
dents, fatalities, and injuries by requir- (b) The exceptions contained in
ing drivers to have a single commercial § 390.3(f) of this subchapter do not apply
motor vehicle driver’s license and by to this part. The employers and drivers
disqualifying drivers who operate com- identified in § 390.3(f) must comply with
mercial motor vehicles in an unsafe the requirements of this part, unless
manner. otherwise provided in this section.
(b) This part: (c) Exception for certain military driv-
(1) Prohibits a commercial motor ve- ers. Each State must exempt from the
hicle driver from having more than one requirements of this part individuals
commercial motor vehicle driver’s li- who operate CMVs for military pur-
cense; poses. This exception is applicable to
(2) Requires a driver to notify the active duty military personnel; mem-
driver’s current employer and the driv- bers of the military reserves; member
er’s State of domicile of certain convic- of the national guard on active duty,
tions; including personnel on full-time na-
(3) Requires that a driver provide pre- tional guard duty, personnel on part-
vious employment information when time national guard training, and na-
applying for employment as an oper- tional guard military technicians (ci-
ator of a commercial motor vehicle; vilians who are required to wear mili-
(4) Prohibits an employer from allow- tary uniforms); and active duty U.S.
ing a person with a suspended license Coast Guard personnel. This exception
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to operate a commercial motor vehicle; is not applicable to U.S. Reserve tech-


(5) Establishes periods of disquali- nicians.
fication and penalties for those persons
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Federal Motor Carrier Safety Administration, DOT § 383.3

(d) Exception for farmers, firefighters, CDL to each driver that meets the con-
emergency response vehicle drivers, and ditions set forth in paragraphs (e) (2)
drivers removing snow and ice. A State and (3) of this section:
may, at its discretion, exempt individ- (i) The knowledge tests standards for
uals identified in paragraphs (d)(1), testing procedures and methods of sub-
(d)(2), and (d)(3) of this section from part H, but must continue to admin-
the requirements of this part. The use ister knowledge tests that fulfill the
of this waiver is limited to the driver’s content requirements of subpart G for
home State unless there is a reci- all applicants;
procity agreement with adjoining (ii) All the skills test requirements;
States. and
(1) Operators of a farm vehicle which (iii) The requirement under
is: § 383.153(a)(4) to have a photograph on
(i) Controlled and operated by a the license document.
farmer, including operation by employ- (2) Drivers of CMVs in the State of
ees or family members; Alaska must operate exclusively over
(ii) Used to transport either agricul- roads that meet both of the following
tural products, farm machinery, farm criteria to be eligible for the exception
supplies, or both to or from a farm; in paragraph (e)(1) of this section:
(iii) Not used in the operations of a (i) Such roads are not connected by
common or contract motor carrier; and land highway or vehicular way to the
(iv) Used within 241 kilometers (150 land-connected State highway system;
miles) of the farmer’s farm. and
(2) Firefighters and other persons (ii) Such roads are not connected to
who operate CMVs which are necessary any highway or vehicular way with an
to the preservation of life or property average daily traffic volume greater
or the execution of emergency govern- than 499.
mental functions, are equipped with
(3) Any CDL issued under the terms
audible and visual signals and are not
of this paragraph must carry two re-
subject to normal traffic regulation.
strictions:
These vehicles include fire trucks,
(i) Holders may not operate CMVs
hook and ladder trucks, foam or water
over roads other than those specified in
transport trucks, police SWAT team
paragraph (e)(2) of this section; and
vehicles, ambulances, or other vehicles
that are used in response to emer- (ii) The license is not valid for CMV
gencies. operation outside the State of Alaska.
(3)(i) A driver, employed by an eligi- (f) Restricted CDL for certain drivers in
ble unit of local government, operating farm-related service industries. (1) A
a commercial motor vehicle within the State may, at its discretion, waive the
boundaries of that unit for the purpose required knowledge and skills tests of
of removing snow or ice from a road- subpart H of this part and issue re-
way by plowing, sanding, or salting, if stricted CDLs to employees of these
(A) The properly licensed employee designated farm-related service indus-
who ordinarily operates a commercial tries:
motor vehicle for these purposes is un- (i) Agri-chemical businesses;
able to operate the vehicle; or (ii) Custom harvesters;
(B) The employing governmental en- (iii) Farm retail outlets and sup-
tity determines that a snow or ice pliers;
emergency exists that requires addi- (iv) Livestock feeders.
tional assistance. (2) A restricted CDL issued pursuant
(ii) This exemption shall not preempt to this paragraph shall meet all the re-
State laws and regulations concerning quirements of this part, except subpart
the safe operation of commercial H of this part. A restricted CDL issued
motor vehicles. pursuant to this paragraph shall be ac-
(e) Restricted commercial drivers license corded the same reciprocity as a CDL
(CDL) for certain drivers in the State of meeting all of the requirements of this
Alaska. (1) The State of Alaska may, at part. The restrictions imposed upon
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its discretion, waive only the following the issuance of this restricted CDL
requirements of this part and issue a shall not limit a person’s use of the

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§ 383.3 49 CFR Ch. III (10–1–07 Edition)

CDL in a non-CMV during either vali- ment at a time. The good driving
dated or non-validated periods, nor record must be confirmed prior to any
shall the CDL affect a State’s power to renewal or revalidation.
administer its driver licensing program (iii) Restricted CDL holders are lim-
for operators of vehicles other than ited to operating Group B and C vehi-
CMVs. cles, as described in subpart F of this
(3) A State issuing a CDL under the part.
terms of this paragraph must restrict (iv) Restricted CDLs shall not be
issuance as follows: issued with any endorsements on the li-
(i) Applicants must have a good driv- cense document. Only the limited tank
ing record as defined in this paragraph. vehicle and hazardous materials en-
Drivers who have not held any motor dorsement privileges that the re-
vehicle operator’s license for at least stricted CDL automatically confers
one year shall not be eligible for this and are described in paragraph (f)(3)(v)
CDL. Drivers who have between one of this section are permitted.
and two years of driving experience (v) Restricted CDL holders may not
must demonstrate a good driving drive vehicles carrying any placardable
record for their entire driving history. quantities of hazardous materials, ex-
Drivers with more than two years of cept for diesel fuel in quantities of 3,785
driving experience must have a good liters (1,000 gallons) or less; liquid fer-
driving record for the two most recent tilizers (i.e., plant nutrients) in vehi-
years. For the purposes of this para- cles or implements of husbandry in
graph, the term good driving record total quantities of 11,355 liters (3,000
means that an applicant: gallons) or less; and solid fertilizers
(A) Has not had more than one li- (i.e., solid plant nutrients) that are not
cense (except in the instances specified transported with any organic sub-
in § 383.21); stance.
(B) Has not had any license sus- (vi) Restricted CDL holders may not
pended, revoked, or canceled; hold an unrestricted CDL at the same
(C) Has not had any conviction for time.
any type of motor vehicle for the dis- (vii) Restricted CDL holders may not
qualifying offenses contained in operate a commercial motor vehicle
§ 383.51(b); beyond 241 kilometers (150 miles) from
(D) Has not had any conviction for the place of business or the farm cur-
any type of motor vehicle for serious rently being served.
traffic violations; and (g) Restricted CDL for certain drivers in
(E) Has not had any conviction for a the pyrotechnic industry. (1) A State
violation of State or local law relating may, at its discretion, waive the re-
to motor vehicle traffic control (other quired hazardous materials knowledge
than a parking violation) arising in tests of subpart H of this part and issue
connection with any traffic accident, restricted CDLs to part-time drivers
and has no record of an accident in operating commercial motor vehicles
which he/she was at fault. transporting less than 227 kilograms
(ii) Restricted CDLs shall have the (500 pounds) of fireworks classified as
same renewal cycle as unrestricted DOT Class 1.3G explosives.
CDLs, but shall be limited to the sea- (2) A State issuing a CDL under the
sonal period or periods as defined by terms of this paragraph must restrict
the State of licensure, provided that issuance as follows:
the total number of calendar days in (i) The GVWR of the vehicle to be op-
any 12-month period for which the re- erated must be less than 4,537 kilo-
stricted CDL is valid does not exceed grams (10,001 pounds);
180. If a State elects to provide for (ii) If a State believes, at its discre-
more than one seasonal period, the re- tion, that the training required by
stricted CDL is valid for commercial § 172.704 of this title adequately pre-
motor vehicle operation only during pares part-time drivers meeting the
the currently approved season, and other requirements of this paragraph
must be revalidated for each successive to deal with fireworks and the other
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season. Only one seasonal period of va- potential dangers posed by fireworks
lidity may appear on the license docu- transportation and use, the State may

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Federal Motor Carrier Safety Administration, DOT § 383.5

waive the hazardous materials knowl- § 383.5 Definitions.


edge tests of subpart H of this part. As used in this part:
The State may impose any require- Administrator means the Federal
ments it believes is necessary to ensure Motor Carrier Safety Administrator,
itself that a driver is properly trained the chief executive of the Federal
pursuant to § 172.704 of this title. Motor Carrier Safety Administration,
(iii) A restricted CDL document an agency within the Department of
issued pursuant to this paragraph shall Transportation.
have a statement clearly imprinted on Alcohol or alcoholic beverage means:
the face of the document that is sub- (a) Beer as defined in 26 U.S.C. 5052(a),
stantially similar as follows: ‘‘For use of the Internal Revenue Code of 1954,
as a CDL only during the period from (b) wine of not less than one-half of one
June 30 through July 6 for purposes of per centum of alcohol by volume, or (c)
transporting less than 227 kilograms distilled spirits as defined in section
(500 pounds) of fireworks classified as 5002(a)(8), of such Code.
DOT Class 1.3G explosives in a vehicle Alcohol concentration (AC) means the
with a GVWR of less than 4,537 kilo- concentration of alcohol in a person’s
grams (10,001 pounds). blood or breath. When expressed as a
percentage it means grams of alcohol
(3) A restricted CDL issued pursuant
per 100 milliliters of blood or grams of
to this paragraph shall meet all the re- alcohol per 210 liters of breath.
quirements of this part, except those Alien means any person not a citizen
specifically identified. A restricted or national of the United States.
CDL issued pursuant to this paragraph Commerce means (a) any trade, traffic
shall be accorded the same reciprocity or transportation within the jurisdic-
as a CDL meeting all of the require- tion of the United States between a
ments of this part. The restrictions im- place in a State and a place outside of
posed upon the issuance of this re- such State, including a place outside of
stricted CDL shall not limit a person’s the United States and (b) trade, traffic,
use of the CDL in a non-CMV during ei- and transportation in the United
ther validated or non-validated peri- States which affects any trade, traffic,
ods, nor shall the CDL affect a State’s and transportation described in para-
power to administer its driver licensing graph (a) of this definition.
program for operators of vehicles other Commercial driver’s license (CDL)
than CMVs. means a license issued by a State or
(4) Restricted CDLs shall have the other jurisdiction, in accordance with
same renewal cycle as unrestricted the standards contained in 49 CFR part
CDLs, but shall be limited to the sea- 383, to an individual which authorizes
sonal period of June 30 through July 6 the individual to operate a class of a
of each year or a lesser period as de- commercial motor vehicle.
fined by the State of licensure. Commercial driver’s license information
(5) Persons who operate commercial system (CDLIS) means the CDLIS estab-
motor vehicles during the period from lished by FMCSA pursuant to section
12007 of the Commercial Motor Vehicle
July 7 through June 29 for purposes of
Safety Act of 1986.
transporting less than 227 kilograms
Commercial motor vehicle (CMV) means
(500 pounds) of fireworks classified as
a motor vehicle or combination of
DOT Class 1.3G explosives in a vehicle
motor vehicles used in commerce to
with a GVWR of less than 4,537 kilo- transport passengers or property if the
grams (10,001 pounds) and who also op- motor vehicle—
erate such vehicles for the same pur- (a) Has a gross combination weight
poses during the period June 30 rating of 11,794 kilograms or more
through July 6 shall not be issued a re- (26,001 pounds or more) inclusive of a
stricted CDL pursuant to this para- towed unit(s) with a gross vehicle
graph. weight rating of more than 4,536 kilo-
[61 FR 9564, Mar. 8, 1996, as amended at 61 FR grams (10,000 pounds); or
14679, Apr. 3, 1996; 62 FR 1296, Jan. 9, 1997; 67 (b) Has a gross vehicle weight rating
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FR 49755, July 31, 2002; 67 FR 61821, Oct. 2, of 11,794 or more kilograms (26,001
2002] pounds or more); or

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§ 383.5 49 CFR Ch. III (10–1–07 Edition)

(c) Is designed to transport 16 or (b) Driving under the influence of al-


more passengers, including the driver; cohol, as prescribed by State law; or
or (c) Refusal to undergo such testing as
(d) Is of any size and is used in the is required by any State or jurisdiction
transportation of hazardous materials as in the enforcement of § 383.51(b) or
defined in this section. § 392.5(a)(2) of this subchapter.
Controlled substance has the meaning Eligible unit of local government means
such term has under 21 U.S.C. 802(6) a city, town, borough, county, parish,
and includes all substances listed on district, or other public body created
schedules I through V of 21 CFR 1308 by or pursuant to State law which has
(§§ 1308.11 through 1308.15), as they may a total population of 3,000 individuals
be amended by the United States De- or less.
partment of Justice. Employee means any operator of a
Conviction means an unvacated adju- commercial motor vehicle, including
dication of guilt, or a determination full time, regularly employed drivers;
that a person has violated or failed to casual, intermittent or occasional driv-
comply with the law in a court of origi- ers; leased drivers and independent,
nal jurisdiction or by an authorized ad- owner-operator contractors (while in
ministrative tribunal, an unvacated the course of operating a commercial
forfeiture of bail or collateral depos- motor vehicle) who are either directly
ited to secure the person’s appearance employed by or under lease to an em-
in court, a plea of guilty or nolo ployer.
contendere accepted by the court, the Employer means any person (includ-
payment of a fine or court cost, or vio- ing the United States, a State, District
lation of a condition of release without of Columbia or a political subdivision
bail, regardless of whether or not the of a State) who owns or leases a com-
penalty is rebated, suspended, or pro- mercial motor vehicle or assigns em-
bated.’’ ployees to operate such a vehicle.
Disqualification means any of the fol- Endorsement means an authorization
lowing three actions: to an individual’s CDL required to per-
mit the individual to operate certain
(a) The suspension, revocation, or
types of commercial motor vehicles.
cancellation of a CDL by the State or
Fatality means the death of a person
jurisdiction of issuance.
as a result of a motor vehicle accident.
(b) Any withdrawal of a person’s Felony means an offense under State
privileges to drive a CMV by a State or or Federal law that is punishable by
other jurisdiction as the result of a vio- death or imprisonment for a term ex-
lation of State or local law relating to ceeding 1 year.
motor vehicle traffic control (other Foreign means outside the fifty
than parking, vehicle weight or vehicle United States and the District of Co-
defect violations). lumbia.
(c) A determination by the FMCSA Gross combination weight rating
that a person is not qualified to oper- (GCWR) means the value specified by
ate a commercial motor vehicle under the manufacturer as the loaded weight
part 391 of this chapter. of a combination (articulated) vehicle.
Driver applicant means an individual In the absence of a value specified by
who applies to a State to obtain, trans- the manufacturer, GCWR will be deter-
fer, upgrade, or renew a CDL. mined by adding the GVWR of the
Driver’s license means a license issued power unit and the total weight of the
by a State or other jurisdiction, to an towed unit and any load thereon.
individual which authorizes the indi- Gross vehicle weight rating (GVWR)
vidual to operate a motor vehicle on means the value specified by the manu-
the highways. facturer as the loaded weight of a sin-
Driving a commercial motor vehicle gle vehicle.
while under the influence of alcohol Hazardous materials means any mate-
means committing any one or more of rial that has been designated as haz-
the following acts in a CMV— ardous under 49 U.S.C. 5103 and is re-
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(a) Driving a CMV while the person’s quired to be placarded under subpart F
alcohol concentration is 0.04 or more; of 49 CFR part 172 or any quantity of a

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Federal Motor Carrier Safety Administration, DOT § 383.5

material listed as a select agent or per hour or more above the posted
toxin in 42 CFR part 73. speed limit;
Imminent hazard means the existence (b) Reckless driving, as defined by
of a condition that presents a substan- State or local law or regulation, in-
tial likelihood that death, serious ill- cluding but not limited to offenses of
ness, severe personal injury, or a sub- driving a CMV in willful or wanton dis-
stantial endangerment to health, prop- regard for the safety of persons or
erty, or the environment may occur be- property;
fore the reasonably foreseeable comple- (c) Improper or erratic traffic lane
tion date of a formal proceeding begun changes;
to lessen the risk of that death, illness, (d) Following the vehicle ahead too
injury or endangerment. closely;
Motor vehicle means a vehicle, ma- (e) A violation, arising in connection
chine, tractor, trailer, or semitrailer with a fatal accident, of State or local
propelled or drawn by mechanical law relating to motor vehicle traffic
power used on highways, except that control;
such term does not include a vehicle, (f) Driving a CMV without obtaining
machine, tractor, trailer, semitrailer a CDL;
operated exclusively on a rail.
(g) Driving a CMV without a CDL in
Nonresident CDL means a CDL issued
the driver’s possession. Any individual
by a State under either of the following
who provides proof to the enforcement
two conditions:
authority that issued the citation, by
(a) To an individual domiciled in a
the date the individual must appear in
foreign country meeting the require-
court or pay any fine for such a viola-
ments of § 383.23(b)(1).
tion, that the individual held a valid
(b) To an individual domiciled in an-
CDL on the date the citation was
other State meeting the requirements
issued, shall not be guilty of this of-
of § 383.23(b)(2).
fense; or
Non-CMV means a motor vehicle or
combination of motor vehicles not de- (h) Driving a CMV without the proper
fined by the term ‘‘commercial motor class of CDL and/or endorsements for
vehicle (CMV)’’ in this section. the specific vehicle group being oper-
Out-of-service order means a declara- ated or for the passengers or type of
tion by an authorized enforcement offi- cargo being transported.
cer of a Federal, State, Canadian, State means a State of the United
Mexican, or local jurisdiction that a States and the District of Columbia.
driver, a commercial motor vehicle, or State of domicile means that State
a motor carrier operation, is out-of- where a person has his/her true, fixed,
service pursuant to §§ 386.72, 392.5, and permanent home and principal res-
395.13, 396.9, or compatible laws, or the idence and to which he/she has the in-
North American Uniform Out-of-Serv- tention of returning whenever he/she is
ice Criteria. absent.
Representative vehicle means a motor Tank vehicle means any commercial
vehicle which represents the type of motor vehicle that is designed to trans-
motor vehicle that a driver applicant port any liquid or gaseous materials
operates or expects to operate. within a tank that is either perma-
School bus means a CMV used to nently or temporarily attached to the
transport pre-primary, primary, or sec- vehicle or the chassis. Such vehicles
ondary school students from home to include, but are not limited to, cargo
school, from school to home, or to and tanks and portable tanks, as defined in
from school-sponsored events. School part 171 of this title. However, this def-
bus does not include a bus used as a inition does not include portable tanks
common carrier. having a rated capacity under 1,000 gal-
Serious traffic violation means convic- lons.
tion of any of the following offenses United States the term United States
when operating a CMV, except weight, means the 50 States and the District of
defect and parking violations: Columbia.
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(a) Excessive speeding, involving any Vehicle means a motor vehicle unless
single offense for any speed of 15 miles otherwise specified.

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§ 383.7 49 CFR Ch. III (10–1–07 Edition)

Vehicle group means a class or type of contained in such subparts F, G, and H


vehicle with certain operating charac- of this part.1
teristics. (2) If an individual is domiciled in a
[52 FR 20587, June 1, 1987, as amended at 53 State while that State is prohibited
FR 27648, July 21, 1988; 53 FR 39050, Oct. 4, from issuing CDLs in accordance with
1988; 54 FR 40787, Oct. 3, 1989; 59 FR 26028, § 384.405 of this subchapter, that indi-
May 18, 1994; 61 FR 9566, Mar. 8, 1996; 61 FR vidual is eligible to obtain a Non-
14679, Apr. 3, 1996; 62 FR 37151, July 11, 1997; resident CDL from any State that
67 FR 49756, July 31, 2002; 68 FR 23849, May 5,
2003] elects to issue a Nonresident CDL and
which complies with the testing and li-
§ 383.7 Validity of CDL issued by de- censing standards contained in sub-
certified State. parts F, G, and H of this part.
A CDL issued by a State prior to the (c) Learner’s permit. State learners’
date the State is notified by the Ad- permits, issued for limited time periods
ministrator, in accordance with the according to State requirements, shall
provisions of § 384.405 of this sub- be considered valid commercial drivers’
chapter, that the State is prohibited licenses for purposes of behind-the-
from issuing CDLs, will remain valid wheel training on public roads or high-
until its stated expiration date. ways, if the following minimum condi-
[67 FR 49756, July 31, 2002] tions are met:
(1) The learner’s permit holder is at
Subpart B—Single License all times accompanied by the holder of
Requirement a valid CDL;
(2) He/she either holds a valid auto-
§ 383.21 Number of drivers’ licenses. mobile driver’s license, or has passed
No person who operates a commercial such vision, sign/symbol, and knowl-
motor vehicle shall at any time have edge tests as the State issuing the
more than one driver’s license. learner’s permit ordinarily administers
to applicants for automotive drivers’
[64 FR 48110, Sept. 2, 1999]
licenses; and
§ 383.23 Commercial driver’s license. (3) He/she does not operate a commer-
(a) General rule. (1) Effective April 1, cial motor vehicle transporting haz-
1992, no person shall operate a commer- ardous materials as defined in § 383.5.
cial motor vehicle unless such person [53 FR 27649, July 21, 1988, as amended at 54
has taken and passed written and driv- FR 22285, May 23, 1989; 57 FR 31457, July 16,
ing tests which meet the Federal 1992; 67 FR 49756, July 31, 2002; 68 FR 23849,
standards contained in subparts F, G, May 5, 2003]
and H of this part for the commercial
motor vehicle that person operates or
expects to operate. 1 Effective December 29, 1988, the Adminis-

(2) Except as provided in paragraph trator determined that commercial drivers’


(b) of this section, no person may le- licensees issued by Canadian Provinces and
gally operate a CMV unless such person Territories in conformity with the Canadian
possesses a CDL which meets the National Safety Code are in accordance with
standards contained in subpart J of the standards of this part. Effective Novem-
this part, issued by his/her State or ju- ber 21, 1991, the Administrator determined
risdiction of domicile. that the new Licencias Federales de Con-
(b) Exception. (1) If a CMV operator is ductor issued by the United Mexican States
are in accordance with the standards of this
not domiciled in a foreign jurisdiction
part. Therefore, under the single license pro-
which the Administrator has deter-
vision of § 383.21, a driver holding a commer-
mined tests drivers and issues CDLs in cial driver’s license issued under the Cana-
accordance with, or under standards dian National Safety Code or a new Licencia
similar to, the standards contained in Federal de Conductor issued by Mexico is
subparts F, G, and H of this part, the prohibited from obtaining nonresident CDL,
person may obtain a Nonresident CDL or any other type of driver’s license, from a
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from a State which does comply with State or other jurisdiction in the United
the testing and licensing standards States.

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Federal Motor Carrier Safety Administration, DOT § 383.35

Subpart C—Notification Require- (7) Driver’s signature.


ments and Employer Respon- [52 FR 20587, June 1, 1987, as amended at 54
sibilities FR 40787, Oct. 3, 1989]

§ 383.31 Notification of convictions for § 383.33 Notification of driver’s license


driver violations. suspensions.
(a) Each person who operates a com- Each employee who has a driver’s li-
mercial motor vehicle, who has a com- cense suspended, revoked, or canceled
mercial driver’s license issued by a by a State or jurisdiction, who loses
State or jurisdiction, and who is con- the right to operate a commercial
victed of violating, in any type of motor vehicle in a State or jurisdiction
motor vehicle, a State or local law re- for any period, or who is disqualified
lating to motor vehicle traffic control from operating a commercial motor ve-
hicle for any period, shall notify his/
(other than a parking violation) in a
her current employer of such suspen-
State or jurisdiction other than the
sion, revocation, cancellation, lost
one which issued his/her license, shall
privilege, or disqualification. The noti-
notify an official designated by the
fication must be made before the end of
State or jurisdiction which issued such
the business day following the day the
license, of such conviction. The notifi- employee received notice of the suspen-
cation must be made within 30 days sion, revocation, cancellation, lost
after the date that the person has been privilege, or disqualification.
convicted.
(b) Each person who operates a com- [54 FR 40788, Oct. 3, 1989]
mercial motor vehicle, who has a com-
mercial driver’s license issued by a § 383.35 Notification of previous em-
ployment.
State or jurisdiction, and who is con-
victed of violating, in any type of (a) Any person applying for employ-
motor vehicle, a State or local law re- ment as an operator of a commercial
lating to motor vehicle traffic control motor vehicle shall provide at the time
(other than a parking violation), shall of application for employment, the in-
notify his/her current employer of such formation specified in paragraph (c) of
conviction. The notification must be this section.
made within 30 days after the date that (b) All employers shall request the
the person has been convicted. If the information specified in paragraph (c)
driver is not currently employed, he/ of this section from all persons apply-
she must notify the State or jurisdic- ing for employment as a commercial
tion which issued the license according motor vehicle operator. The request
to § 383.31(a). shall be made at the time of applica-
(c) Notification. The notification to tion for employment.
the State official and employer must (c) The following employment his-
be made in writing and contain the fol- tory information for the 10 years pre-
lowing information: ceding the date the application is sub-
mitted shall be presented to the pro-
(1) Driver’s full name;
spective employer by the applicant:
(2) Driver’s license number; (1) A list of the names and addresses
(3) Date of conviction; of the applicant’s previous employers
(4) The specific criminal or other of- for which the applicant was an oper-
fense(s), serious traffic violation(s), ator of a commercial motor vehicle;
and other violation(s) of State or local (2) The dates the applicant was em-
law relating to motor vehicle traffic ployed by these employers; and
control, for which the person was con- (3) The reason for leaving such em-
victed and any suspension, revocation, ployment.
or cancellation of certain driving privi- (d) The applicant shall certify that
leges which resulted from such convic- all information furnished is true and
tion(s); complete.
(5) Indication whether the violation (e) An employer may require an ap-
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was in a commercial motor vehicle; plicant to provide additional informa-


(6) Location of offense; and tion.

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§ 383.37 49 CFR Ch. III (10–1–07 Edition)

(f) Before an application is sub- driver who is disqualified to drive a


mitted, the employer shall inform the CMV.
applicant that the information he/she (3) A driver is subject to disqualifica-
provides in accordance with paragraph tion sanctions designated in para-
(c) of this section may be used, and the graphs (b) and (c) of this section, if the
applicant’s previous employers may be holder of a CDL drives a CMV or non-
contacted for the purpose of inves- CMV and is convicted of the violations.
tigating the applicant’s work history.
(4) Determining first and subsequent
§ 383.37 Employer responsibilities. violations. For purposes of determining
first and subsequent violations of the
No employer may knowingly allow,
offenses specified in this subpart, each
require, permit, or authorize a driver
to operate a CMV in the United States: conviction for any offense listed in Ta-
(a) During any period in which the bles 1 through 4 to this section result-
driver has a CMV driver’s license sus- ing from a separate incident, whether
pended, revoked, or canceled by a committed in a CMV or non-CMV,
State, has lost the right to operate a must be counted.
CMV in a State, or has been disquali- (5) Reinstatement after lifetime dis-
fied from operating a CMV; qualification. A State may reinstate
(b) During any period in which the any driver disqualified for life for of-
driver has more than one CMV driver’s fenses described in paragraphs (b)(1)
license; through (b)(8) of this section (Table 1
(c) During any period in which the to § 383.51) after 10 years if that person
driver, or the CMV he or she is driving, has voluntarily entered and success-
or the motor carrier operation, is sub- fully completed an appropriate reha-
ject to an out-of-service order; or bilitation program approved by the
(d) In violation of a Federal, State, or State. Any person who has been rein-
local law or regulation pertaining to stated in accordance with this provi-
railroad-highway grade crossings. sion and who is subsequently convicted
[64 FR 48110, Sept. 2, 1999] of a disqualifying offense described in
paragraphs (b)(1) through (b)(8) of this
Subpart D—Driver Disqualifications section (Table 1 to § 383.51) must not be
and Penalties reinstated.
(b) Disqualification for major offenses.
§ 383.51 Disqualification of drivers. Table 1 to § 383.51 contains a list of the
(a) General. (1) A driver or holder of a offenses and periods for which a driver
CDL who is disqualified must not drive must be disqualified, depending upon
a CMV. the type of vehicle the driver is oper-
(2) An employer must not knowingly ating at the time of the violation, as
allow, require, permit, or authorize a follows:
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Federal Motor Carrier Safety Administration, DOT § 383.51

TABLE 1 TO § 383.51
For a first con-
viction or refusal
to be tested For a second
while operating conviction or re- For a second
For a first con- a CMV trans- fusal to be test- conviction or re-
viction or refusal For a first con- porting haz- ed in a separate fusal to be test-
to be tested viction or refusal ardous materials incident of any ed in a separate
while operating to be tested required to be combination of incident of any
a CMV, a per- while operating placarded under offenses in this combination of
If a driver operates a motor vehi- son required to a non-CMV, a the Hazardous Table while op- offenses in this
cle and is convicted of: have a CDL and CDL holder Materials Regu- erating a CMV, Table while op-
a CDL holder must be dis- lations (49 CFR a person re- erating a non-
must be dis- qualified from part 172, sub- quired to have a CMV, a CDL
qualified from operating a part F), a person CDL and a CDL holder must be
operating a CMV for . . . required to have holder must be disqualified from
CMV for . . . a CDL and CDL disqualified from operating a
holder must be operating a CMV for . . .
disqualified from CMV for . . .
operating a
CMV for . . .

(1) Being under the influence of 1 year ............... 1 year ............... 3 years .............. Life .................... Life.
alcohol as prescribed by State
law * * *.

(2) Being under the influence of 1 year ............... 1 year ............... 3 years .............. Life .................... Life.
a controlled substance * * *.

(3) Having an alcohol concentra- 1 year ............... Not applicable ... 3 years .............. Life .................... Not applicable.
tion of 0.04 or greater while
operating a CMV * * *.

(4) Refusing to take an alcohol 1 year ............... 1 year ............... 3 years .............. Life .................... Life.
test as required by a State or
jurisdiction under its implied
consent laws or regulations as
defined in § 383.72 of this part
* * *.

(5) Leaving the scene of an ac- 1 year ............... 1 year ............... 3 years .............. Life .................... Life.
cident * * *.

(6) Using the vehicle to commit 1 year ............... 1 year ............... 3 years .............. Life .................... Life.
a felony, other than a felony
described in paragraph (b)(9)
of this table * * *.

(7) Driving a CMV when, as a 1 year ............... Not applicable ... 3 years .............. Life .................... Not applicable.
result of prior violations com-
mitted operating a CMV, the
driver’s CDL is revoked, sus-
pended, or canceled, or the
driver is disqualified from op-
erating a CMV.

(8) Causing a fatality through the 1 year ............... Not applicable ... 3 years .............. Life .................... Not applicable.
negligent operation of a CMV,
including but not limited to the
crimes of motor vehicle man-
slaughter, homicide by motor
vehicle and negligent homi-
cide.

(9) Using the vehicle in the com- Life-not eligible Life-not eligible Life-not eligible Life-not eligible Life-not eligible
mission of a felony involving for 10-year re- for 10-year re- for 10-year re- for 10-year re- for 10-year re-
manufacturing, distributing, or instatement. instatement. instatement. instatement. instatement
dispensing a controlled sub-
stance * * *.

(c) Disqualification for serious traffic pending upon the type of vehicle the
violations. Table 2 to § 383.51 contains a driver is operating at the time of the
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list of the offenses and the periods for violation, as follows:


which a driver must be disqualified, de-

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§ 383.51 49 CFR Ch. III (10–1–07 Edition)

TABLE 2 TO § 383.51
For a third or subse-
For a second conviction quent conviction of any
of any combination of combination of offenses
For a second conviction offenses in this Table in For a third or subse- in this Table in a sepa-
of any combination of a separate incident quent conviction of any rate incident within a 3-
offenses in this Table in within a 3-year period combination of offenses year period while oper-
a separate incident while operating a non- in this Table in a sepa- ating a non-CMV, a
If the driver operates a within a 3-year period CMV, a CDL holder rate incident within a 3- CDL holder must be
motor vehicle and is while operating a CMV, must be disqualified year period while oper- disqualified from oper-
convicted of: a person required to from operating a CMV, ating a CMV, a person ating a CMV, if the con-
have a CDL and a CDL if the conviction results required to have a CDL viction results in the
holder must be dis- in the revocation, can- and a CDL holder must revocation, cancella-
qualified from operating cellation, or suspension be disqualified from op- tion, or suspension of
a CMV for . . . of the CDL holder’s li- erating a CMV for . . . the CDL holder’s li-
cense or non-CMV driv- cense or non-CMV driv-
ing privileges, for . . . ing privileges, for . . .

(1) Speeding exces- 60 days ........................ 60 days ........................ 120 days ...................... 120 days.
sively, involving any
speed of 24.1 kmph
(15 mph) or more
above the posted
speed limit.
(2) driving recklessly, 60 days ........................ 60 days ........................ 120 days ...................... 120 days.
as defined by State
or local law or regu-
lation, including but,
not limited to, of-
fenses of driving a
motor vehicle in will-
ful or wanton dis-
regard for the safety
of persons or prop-
erty.
(3) making improper or 60 days ........................ 60 days ........................ 120 days ...................... 120 days.
erratic traffic lane
changes.
(4) following the vehicle 60 days ........................ 60 days ........................ 120 days ...................... 120 days.
ahead too closely.
(5) Violating State or 60 days ........................ 60 days ........................ 120 days ...................... 120 days.
local law relating to
motor vehicle traffic
control (other than a
parking violation)
arising in connection
with a fatal accident.
(6) driving a CMV with- 60 days ........................ Not applicable .............. 120 days ...................... Not applicable.
out obtaining a CDL.
(7) driving a CMV with- 60 days ........................ Not applicable .............. 120 days ...................... Not applicable.
out a CDL in the driv-
er’s possession1.
(8) driving a CMV with- 60 days ........................ Not applicable .............. 120 days ...................... Not applicable.
out the proper class
of CDL and/or en-
dorsements for the
specific vehicle group
being operated or for
the passengers or
type of cargo being
transported.
1Any individual who provides proof to the enforcement authority that issued the citation, by the date the individual must appear
in court or pay any fine for such a violation, that the individual held a valid CDL on the date the citation was issued, shall not be
guilty of this offense.

(d) Disqualification for railroad-high- be disqualified, when the driver is oper-


way grade crossing offenses. Table 3 to ating a CMV at the time of the viola-
§ 383.51 contains a list of the offenses tion, as follows:
and the periods for which a driver must
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Federal Motor Carrier Safety Administration, DOT § 383.51

TABLE 3 TO § 383.51
For a second conviction of For a third or subsequent
any combination of of- conviction of any combina-
For a first conviction a per- fenses in this Table in a tion of offenses in this
If the driver is convicted of operating son required to have a CDL separate incident within a Table in a separate incident
a CMV in violation of a Federal, State and a CDL holder must be 3-year period, a person re- within a 3-year period, a
or local law because . . . disqualified from operating quired to have a CDL and a person required to have a
a CMV for . . . CDL holder must be dis- CDL and a CDL holder
qualified from operating a must be disqualified from
CMV for . . . operating a CMV for . . .

(1) The driver is not required to al- No less than 60 days ......... No less than 120 days ....... No less than 1 year.
ways stop, but fails to slow down
and check that tracks are clear of
an approaching train * * *.

(2) The driver is not required to al- No less than 60 days ......... No less than 120 days ....... No less than 1 year.
ways stop, but fails to stop before
reaching the crossing, if the tracks
are not clear * * *.

(3) The driver is always required to No less than 60 days ......... No less than 120 days ....... No less than 1 year.
stop, but fails to stop before driving
onto the crossing * * *.

(4) The driver fails to have sufficient No less than 60 days ......... No less than 120 days ....... No less than 1 year.
space to drive completely through
the crossing without stopping * * *.

(5) The driver fails to obey a traffic No less than 60 days ......... No less than 120 days ....... No less than 1 year.
control device or the directions of
an enforcement official at the
crossing * * *.

(6) The driver fails to negotiate a No less than 60 days ......... No less than 120 days ....... No less than 1 year.
crossing because of insufficient un-
dercarriage clearance * * *.

(e) Disqualification for violating out-of- for which a driver must be disqualified
service orders. Table 4 to § 383.51 con- when the driver is operating a CMV at
tains a list of the offenses and periods the time of the violation, as follows:
TABLE 4 TO § 383.51
For a third or subse-
For a second conviction quent conviction in a
For a first conviction in a separate incident separate incident within
while operating a CMV, within a 10-year period a 10-year period while
a person required to while operating a CMV,
If a driver operates a CMV and is convicted operating a CMV, a per-
have a CDL and a CDL a person required to
of . . . son required to have a
holder must be disquali- have a CDL and a CDL CDL and a CDL holder
fied from operating a holder must be disquali- must be disqualified
CMV for . . . fied from operating a from operating a CMV
CMV for . . . for . . .

(1) Violating a driver or vehicle out-of-service No less than 180 days No less than 2 years or No less than 3 years or
order while transporting nonhazardous mate- or more than 1 year. more than 5 years. more than 5 years.
rials.
(2) Violating a driver or vehicle out-of-service No less than 180 days No less than 3 years or No less than 3 years or
order while transporting hazardous materials or more than 2 years. more than 5 years. more than 5 years.
required to be placarded under part 172, sub-
part F of this title, or while operating a vehicle
designed to transport 16 or more passengers,
including the driver.

[67 FR 49756, July 31, 2002, as amended at 68 FR 4396, Jan. 29, 2003; 72 FR 36787, July 5, 2007]
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§ 383.52 49 CFR Ch. III (10–1–07 Edition)

§ 383.52 Disqualification of drivers de- be subject to a civil penalty of not less


termined to constitute an imminent than $2,500 for a first conviction and
hazard. not less than $5,000 for a second or sub-
(a) The Assistant Administrator or sequent conviction, in addition to dis-
his/her designee must disqualify from qualification under § 383.51(e).
operating a CMV any driver whose (2) Employer violations. An employer
driving is determined to constitute an who is convicted of a violation of
imminent hazard, as defined in § 383.5. § 383.37(c) shall be subject to a civil pen-
(b) The period of the disqualification alty of not less than $2,750 nor more
may not exceed 30 days unless the than $25,000.
FMCSA complies with the provisions of (c) Special penalties pertaining to rail-
paragraph (c) of this section. road-highway grade crossing violations.
(c) The Assistant Administrator or An employer who is convicted of a vio-
his/her delegate may provide the driver lation of § 383.37(d) must be subject to a
an opportunity for a hearing after civil penalty of not more than $10,000.
issuing a disqualification for a period
[59 FR 26028, May 18, 1994, as amended at 64
of 30 days or less. The Assistant Ad- FR 48111, Sept. 2, 1999; 67 FR 49759, July 31,
ministrator or his/her delegate must 2002; 72 FR 36788, July 5, 2007]
provide the driver notice of a proposed
disqualification period of more than 30
days and an opportunity for a hearing Subpart E—Testing and Licensing
to present a defense to the proposed Procedures
disqualification. A disqualification im-
posed under this paragraph may not ex- SOURCE: 53 FR 27649, July 21, 1988, unless
ceed one year in duration. The driver, otherwise noted.
or a representative on his/her behalf,
may file an appeal of the disqualifica- § 383.71 Driver application procedures.
tion issued by the Assistant Adminis- (a) Initial Commercial Driver’s License.
trator’s delegate with the Assistant Prior to obtaining a CDL, a person
Administrator, Adjudications Counsel must meet the following requirements:
(MC–CC), Federal Motor Carrier Safety (1) A person who operates or expects
Administration, 1200 New Jersey Ave., to operate in interstate or foreign com-
SE., Washington, DC 20590–0001. merce, or is otherwise subject to part
(d) Any disqualification imposed in 391 of this title, shall certify that he/
accordance with the provisions of this she meets the qualification require-
section must be transmitted by the ments contained in part 391 of this
FMCSA to the jurisdiction where the title. A person who operates or expects
driver is licensed and must become a to operate entirely in intrastate com-
part of the driver’s record maintained merce and is not subject to part 391, is
by that jurisdiction. subject to State driver qualification re-
(e) A driver who is simultaneously quirements and must certify that he/
disqualified under this section and she is not subject to part 391;
under other provisions of this subpart, (2) Pass a knowledge test in accord-
or under State law or regulation, shall ance with the standards contained in
serve those disqualification periods subparts G and H of this part for the
concurrently. type of motor vehicle the person oper-
[67 FR 49759, July 31, 2002, as amended at 72 ates or expects to operate;
FR 55700, Oct. 1, 2007] (3) Pass a driving or skills test in ac-
cordance with the standards contained
§ 383.53 Penalties. in subparts G and H of this part taken
(a) General rule. Any person who vio- in a motor vehicle which is representa-
lates the rules set forth in subparts B tive of the type of motor vehicle the
and C of this part may be subject to person operates or expects to operate;
civil or criminal penalties as provided or provide evidence that he/she has suc-
for in 49 U.S.C. 521(b). cessfully passed a driving test adminis-
(b) Special penalties pertaining to viola- tered by an authorized third party;
tion of out-of-service orders—(1) Driver (4) Certify that the motor vehicle in
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violations. A driver who is convicted of which the person takes the driving
violating an out-of-service order shall skills test is representative of the type

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Federal Motor Carrier Safety Administration, DOT § 383.71

of motor vehicle that person operates cant shall apply for a CDL from the
or expects to operate; new State of domicile within no more
(5) Provide to the State of issuance than 30 days after establishing his/her
the information required to be included new domicile. The applicant shall:
on the CDL as specified in subpart J of (1) Provide to the new State of domi-
this part; cile the certifications contained in
(6) Certify that he/she is not subject § 383.71(a) (1) and (6):
to any disqualification under § 383.51, or (2) Provide to the new State of domi-
any license suspension, revocation, or cile updated information as specified in
cancellation under State law, and that subpart J of this part;
he/she does not have a driver’s license (3) If the applicant wishes to retain a
from more than one State or jurisdic- hazardous materials endorsement, he/
tion; she must comply with the require-
(7) Surrender the applicant’s non- ments for such endorsement specified
CDL driver’s licenses to the State; and in § 383.71(a)(9) and State requirements
(8) Provide the names of all States as specified in § 383.73(b)(4);
where the applicant has previously (4) Surrender the CDL from the old
been licensed to drive any type of State of domicile to the new State of
motor vehicle during the previous 10 domicile; and
years. (5) Provide the names of all States
(9) If applying for a hazardous mate- where the applicant has previously
rials endorsement, comply with Trans- been licensed to drive any type of
portation Security Administration re- motor vehicle during the previous 10
quirements codified in 49 CFR Part years.
1572, and provide proof of citizenship or (c) License renewal. When applying for
immigration status as specified in a renewal of a CDL, all applicants
Table 1 to this section. A lawful perma- shall:
nent resident of the United States re- (1) Provide certification contained in
questing a hazardous materials en- § 383.71(a)(1);
dorsement must additionally provide (2) Provide update information as
his or her Bureau of Citizenship and specified in subpart J of this part; and
Immigration Services (BCIS) Alien reg- (3) If a person wishes to retain a haz-
istration number. ardous materials endorsement, he/she
must comply with the requirements
TABLE 1 TO § 383.71—LIST OF ACCEPTABLE specified in § 383.71(a)(9) and pass the
PROOFS OF CITIZENSHIP OR IMMIGRATION test specified in § 383.121 for such en-
Status Proof of status dorsement.
(4) Provide the names of all States
U.S. Citizen ............... • U.S. Passport where the applicant has previously
• Certificate of birth that bears an of-
ficial seal and was issued by a been licensed to drive any type of
State, county, municipal authority, motor vehicle during the previous 10
or outlying possession of the years.
United States
• Certification of Birth Abroad issued
(d) License upgrades. When applying
by the U.S. Department of State to operate a commercial motor vehicle
(Form FS–545 or DS 1350) in a different group or endorsement
• Certificate of Naturalization (Form from the group or endorsement in
N–550 or N–570)
• Certificate of U.S. Citizenship which the applicant already has a CDL,
(Form N–560 or N–561) all persons shall:
Lawful Permanent • Permanent Resident Card, Alien (1) Provide the necessary certifi-
Resident. Registration Receipt Card (Form I–
551)
cations as specified in § 383.71(a)(1) and
• Temporary I–551 stamp in foreign (a)(4);
passport (2) Pass all tests specified in
• Temporary I–551 stamp on Form § 383.71(a)(2) and (a)(3) for the new vehi-
I–94, Arrival/Departure Record,
with photograph of the bearer cle group and/or different endorse-
• Reentry Permit (Form I–327) ments; and
(3) To obtain a hazardous materials
(b) License transfer. When applying to endorsement, comply with the require-
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transfer a CDL from one State of domi- ments for such endorsement specified
cile to a new State domicile, an appli- in § 383.71(a)(9).

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§ 383.72 49 CFR Ch. III (10–1–07 Edition)

(e) Nonresident CDL. When an appli- (2) Check that the vehicle in which
cant is domiciled in a foreign jurisdic- the applicant takes his/her test is rep-
tion, as defined in § 383.5, where the resentative of the vehicle group the ap-
commercial motor vehicle operator plicant has certified that he/she oper-
testing and licensing standards do not ates or expects to operate;
meet the standards contained in sub- (3) Initiate and complete a check of
parts G and H of this part, as deter- the applicant’s driving record to ensure
mined by the Administrator, such ap- that the person is not subject to any
plicant shall obtain a Nonresident CDL disqualification under § 383.51, or any
from a State which meets such stand- license suspension, revocation, or can-
ards. Such applicant shall: cellation under State law, and that the
(1) Complete the requirements to ob- person does not have a driver’s license
tain a CDL contained in § 383.71(a); and from more than one State or jurisdic-
(2) After receipt of the CDL, and for tion. The record check must include,
as long as it is valid, notify the State but is not limited to, the following:
which issued the CDL of any adverse (i) A check of the applicant’s driving
action taken by any jurisdiction or record as maintained by his/her current
governmental agency, foreign or do- State of licensure, if any;
mestic, against his/her driving privi- (ii) A check with the CDLIS to deter-
leges. Such adverse actions would in- mine whether the driver applicant al-
clude but not be limited to license sus- ready has been issued a CDL, whether
pension or revocation, or disqualifica- the applicant’s license has been sus-
tion from operating a commercial pended, revoked, or canceled, or if the
motor vehicle for the convictions de- applicant has been disqualified from
scribed in § 383.51. Notifications shall be operating a commercial motor vehicle;
made within the time periods specified (iii) A check with the National Driv-
in § 383.33. er Register (NDR) to determine wheth-
(f) If a State uses the alternative er the driver applicant has:
method described in § 383.73(i) to (A) Been disqualified from operating
achieve the objectives of the certifi- a motor vehicle (other than a commer-
cations in § 383.71(a), then the driver cial motor vehicle);
applicant shall satisfy such alternative (B) Had a license (other than CDL)
methods as are applicable to him/her suspended, revoked, or canceled for
with respect to initial licensing, li- cause in the 3-year period ending on
cense transfer, license renewal, and li- the date of application; or
cense upgrades. (C) Been convicted of any offenses
contained in section 205(a)(3) of the Na-
[53 FR 27649, July 21, 1988, as amended at 67
FR 49759, July 31, 2002; 68 FR 23849, May 5,
tional Driver Register Act of 1982 (23
2003] U.S.C. 401 note); and
(iv) A request for the applicant’s
§ 383.72 Implied consent to alcohol complete driving record from all States
testing. where the applicant was previously li-
Any person who holds a CDL is con- censed over the last 10 years to drive
sidered to have consented to such test- any type of motor vehicle. Exception: A
ing as is required by any State or juris- State is only required to make the
diction in the enforcement of driving record check specified in this
§ § 383.51(b)(2)(i) and 392.5(a)(2) of this paragraph (a)(3) for drivers renewing a
chapter. Consent is implied by driving CDL for the first time after September
a commercial motor vehicle. 30, 2002, provided a notation is made on
the driver’s record confirming that the
[66 FR 49872, Oct. 1, 2001] driver record check required by this
paragraph (a)(3) has been made and
§ 383.73 State procedures. noting the date it was done; and
(a) Initial licensure. Prior to issuing a (4) Require the driver applicant to
CDL to a person, a State shall: surrender his/her driver’s license issued
(1) Require the driver applicant to by another State, if he/she has moved
certify, pass tests, and provide infor- from another State.
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mation as described in §§ 383.71(a) (1) (5) For persons applying for a haz-
through (6); ardous materials endorsement, require

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Federal Motor Carrier Safety Administration, DOT § 383.73

compliance with the standards for such domiciled in a foreign country if the
endorsement specified in § 383.71(a)(9). Administrator has determined that the
(b) License transfers. Prior to issuing commercial motor vehicle testing and
a CDL to a person who has a CDL from licensing standards in the foreign juris-
another State, a State shall: diction of domicile do not meet the
(1) Require the driver applicant to standards contained in this part. State
make the certifications contained in procedures for the issuance of a non-
§ 383.71(a); resident CDL, for any modifications
(2) Complete a check of the driver ap- thereto, and for notifications to the
plicant’s record as contained in CDLIS shall at a minimum be identical
§ 383.73(a)(3); to those pertaining to any other CDL,
(3) Request and receive updates of in- with the following exceptions:
formation specified in subpart J of this (1) If the applicant is requesting a
part; transfer of his/her Nonresident CDL,
(4) If such applicant wishes to retain the State shall obtain the Nonresident
a hazardous materials endorsement, re- CDL currently held by the applicant
quire compliance with standards for and issued by another State;
such endorsement specified in (2) The State shall add the word
§ 383.71(a)(9) and ensure that the driver ‘‘Nonresident’’ to the face of the CDL,
has, within the 2 years preceding the in accordance with § 383.153(b); and
transfer, either:
(3) The State shall have established,
(i) Passed the test for such endorse-
prior to issuing any Nonresident CDL,
ment specified in § 383.121; or
the practical capability of disquali-
(ii) Successfully completed a haz-
fying the holder of any Nonresident
ardous materials test or training that
CDL, by withdrawing, suspending, can-
is given by a third party and that is
celing, and revoking his/her Non-
deemed by the State to substantially
resident CDL as if the Nonresident
cover the same knowledge base as that
CDL were a CDL issued to a resident of
described in § 383.121; and
the State.
(5) Obtain the CDL issued by the ap-
plicant’s previous State of domicile. (f) License issuance. After the State
(c) License Renewals. Prior to renew- has completed the procedures described
ing any CDL a State shall: in § 383.73 (a), (b), (c), (d) or (e), it may
(1) Require the driver applicant to issue a CDL to the driver applicant.
make the certifications contained in The State shall notify the operator of
§ 383.71(a); the CDLIS of such issuance, transfer,
(2) Complete a check of the driver ap- renewal, or upgrade within the 10-day
plicant’s record as contained in period beginning on the date of license
§ 383.73(a)(3); issuance.
(3) Request and receive updates of in- (g) Penalties for false information. If a
formation specified in subpart J of this State determines, in its check of an ap-
part; and plicant’s license status and record
(4) If such applicant wishes to retain prior to issuing a CDL, or at any time
a hazardous materials endorsement, re- after the CDL is issued, that the appli-
quire the driver to pass the test speci- cant has falsified information con-
fied in § 383.121 and comply with the tained in subpart J of this part or any
standards specified in § 383.71(a)(9) for of the certifications required in
such endorsement. § 383.71(a), the State shall at a min-
(d) License upgrades. Prior to issuing imum suspend, cancel, or revoke the
an upgrade of a CDL, a State shall: person’s CDL or his/her pending appli-
(1) Require such driver applicant to cation, or disqualify the person from
provide certifications, pass tests, and operating a commercial motor vehicle
meet applicable hazardous materials for a period of at least 60 consecutive
standards specified in § 383.71(d); and days.
(2) Complete a check of the driver ap- (h) Reciprocity. A State shall allow
plicant’s record as described in any person who has a valid CDL which
§ 383.73(a)(3). is not suspended, revoked, or canceled,
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(e) Nonresident CDL. A State may and who is not disqualified from oper-
issue a Nonresident CDL to a person ating a commercial motor vehicle, to

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§ 383.75 49 CFR Ch. III (10–1–07 Edition)

operate a commercial motor vehicle in driving tests administered by an au-


the State. thorized third party shall provide evi-
(i) Alternative procedures. A State dence to the State licensing agency
may implement alternative procedures that he/she has successfully passed the
to the certification requirements of driving tests administered by the third
§ 383.71(a) (1), (4), and (6), provided those party.
procedures ensure that the driver
meets the requirements of those para- § 383.77 Substitute for driving skills
graphs. tests.
[53 FR 27649, July 21, 1988, as amended at 54 At the discretion of a State, the driv-
FR 40788, Oct. 3, 1989; 67 FR 49760, July 31, ing skill test as specified in § 383.113
2002; 68 FR 23850, May 5, 2003] may be waived for a CMV operator who
is currently licensed at the time of his/
§ 383.75 Third party testing. her application for a CDL, and sub-
(a) Third party tests. A State may au- stituted with either an applicant’s
thorize a person (including another driving record and previous passage of
State, an employer, a private driver an acceptable skills test, or an appli-
training facility or other private insti- cant’s driving record in combination
tution, or a department, agency or in- with certain driving experience. The
strumentality of a local government) State shall impose conditions and limi-
to administer the skills tests as speci- tations to restrict the applicants from
fied in subparts G and H of this part, if whom a State may accept alternative
the following conditions are met: requirements for the skills test de-
(1) The tests given by the third party scribed in § 383.113. Such conditions
are the same as those which would oth- must require at least the following:
erwise be given by the State; and (a) An applicant must certify that,
(2) The third party as an agreement during the two-year period imme-
with the State containing, at a min- diately prior to applying for a CDL, he/
imum, provisions that: she:
(i) Allow the FMCSA, or its rep- (1) Has not had more than one license
resentative, and the State to conduct (except in the instances specified in
random examinations, inspections and § 383.21(b));
audits without prior notice; (2) Has not had any license sus-
(ii) Require the State to conduct on- pended, revoked, or canceled;
site inspections at least annually;
(3) Has not had any convictions for
(iii) Require that all third party ex-
any type of motor vehicle for the dis-
aminers meet the same qualification
qualifying offenses contained in
and training standards as State exam-
§ 383.51(b);
iners, to the extent necessary to con-
duct skills tests in compliance with (4) Has not had more than one con-
subparts G and H; viction for any type of motor vehicle
(iv) Require that, at least on an an- for serious traffic violations; and
nual basis, State employees take the (5) Has not had any conviction for a
tests actually administered by the violation of State or local law relating
third party as if the State employee to motor vehicle traffic control (other
were a test applicant, or that States than a parking violation) arising in
test a sample of drivers who were ex- connection with any traffic accident,
amined by the third party to compare and has no record of an accident in
pass/fail results; and which he/she was at fault; and
(v) Reserve unto the State the right (b) An applicant must provide evi-
to take prompt and appropriate reme- dence and certify that:
dial action against the third-party (1) He/she is regularly employed in a
testers in the event that the third- job requiring operation of a CMV, and
party fails to comply with State or that either:
Federal standards for the CDL testing (2) He/she has previously taken and
program, or with any other terms of passed a skills test given by a State
the third-party contract. with a classified licensing and testing
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(b) Proof of testing by a third party. A system, and that the test was behind-
driver applicant who takes and passes the-wheel in a representative vehicle

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Federal Motor Carrier Safety Administration, DOT § 383.91

for that applicant’s driver’s license that meets neither the definition of
classification; or Group A nor that of Group B as con-
(3) He/she has operated, for at least 2 tained in this section, but that either
years immediately preceding applica- is designed to transport 16 or more pas-
tion for a CDL, a vehicle representative sengers including the driver, or is used
of the commercial motor vehicle the in the transportation of materials
driver applicant operates or expects to found to be hazardous for the purposes
operate. of the Hazardous Materials Transpor-
[53 FR 27649, July 21, 1988, as amended at 55 tation Act and which require the motor
FR 25606, June 22, 1990; 67 FR 49760, July 31, vehicle to be placarded under the Haz-
2002] ardous Materials Regulations (49 CFR
part 172, subpart F).
Subpart F—Vehicle Groups and (b) Representative vehicle. For pur-
Endorsements poses of taking the driving test in ac-
cordance with § 383.113, a representative
SOURCE: 53 FR 27651, July 21, 1988, unless vehicle for a given vehicle group con-
otherwise noted. tained in § 383.91(a), is any commercial
motor vehicle which meets the defini-
§ 383.91 Commercial motor vehicle tion of that vehicle group.
groups.
(c) Relation between vehicle groups.
(a) Vehicle group descriptions. Each Each driver applicant who desires to
driver applicant must possess and be operate in a different commercial
tested on his/her knowledge and skills, motor vehicle group from the one
described in subpart G of this part, for which his/her CDL authorizes shall be
the commercial motor vehicle group(s) required to retake and pass all related
for which he/she desires a CDL. The tests, except the following:
commercial motor vehicle groups are (1) A driver who has passed the
as follows:
knowledge and skills tests for a com-
(1) Combination vehicle (Group A)—
bination vehicle (Group A) may operate
Any combination of vehicles with a
a heavy straight vehicle (Group B) or a
gross combination weight rating
(GCWR) of 11,794 kilograms or more small vehicle (Group C), provided that
(26,001 pounds or more) provided the he/she possesses the requisite endorse-
GVWR of the vehicle(s) being towed is ment(s); and
in excess of 4,536 kilograms (10,000 (2) A driver who has passed the
pounds). knowledge and skills tests for a heavy
(2) Heavy Straight Vehicle (Group straight vehicle (Group B) may operate
B)—Any single vehicle with a GVWR of any small vehicle (Group C), provided
11,794 kilograms or more (26,001 pounds that he/she possesses the requisite en-
or more), or any such vehicle towing a dorsement(s).
vehicle not in excess of 4,536 kilograms (d) Vehicle group illustration. Figure 1
(10,000 pounds) GVWR. illustrates typical vehicles within each
(3) Small Vehicle (Group C)—Any sin- of the vehicle groups defined in this
gle vehicle, or combination of vehicles, section.
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§ 383.91 49 CFR Ch. III (10–1–07 Edition)

[53 FR 27651, July 21, 1988, as amended at 54 FR 47989, Nov. 20, 1989; 61 FR 9566, Mar. 8, 1996]
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206
EC01AP91.039</GPH>

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Federal Motor Carrier Safety Administration, DOT § 383.111

§ 383.93 Endorsements. Subpart G—Required Knowledge


(a) General. In addition to taking and and Skills
passing the knowledge and skills tests
described in subpart G of this part, all SOURCE: 53 FR 27654, July 21, 1988, unless
persons who operate or expect to oper- otherwise noted.
ate the type(s) of motor vehicles de-
scribed in paragraph (b) of this section § 383.110 General requirement.
shall take and pass specialized tests to All drivers of commercial motor ve-
obtain each endorsement. The State hicles shall have knowledge and skills
shall issue CDL endorsements only to necessary to operate a commercial
drivers who successfully complete the motor vehicle safely as contained in
tests. this subpart. A sample of the specific
(b) Endorsement descriptions. An oper- types of items which a State may wish
ator must obtain State-issued endorse- to include in the knowledge and skills
ments to his/her CDL to operate com- tests that it administers to CDL appli-
mercial motor vehicles which are: cants is included in the appendix to
(1) Double/triple trailers; this subpart G.
(2) Passenger vehicles;
§ 383.111 Required knowledge.
(3) Tank vehicles;
(4) Used to transport hazardous mate- All commercial motor vehicle opera-
rials as defined in § 383.5, or tors must have knowledge of the fol-
(5) School buses. lowing general areas:
(c) Endorsement testing requirements. (a) Safe operations regulations. Driver-
The following tests are required for the related elements of the regulations
contained in 49 CFR parts 382, 391, 392,
endorsements contained in paragraph
393, 395, 396, and 397, such as: Motor ve-
(b) of this section:
hicle inspection, repair, and mainte-
(1) Double/Triple Trailers—a knowl- nance requirements; procedures for
edge test; safe vehicle operations; the effects of
(2) Passenger—a knowledge and a fatigue, poor vision, hearing, and gen-
skills test; eral health upon safe commercial
(3) Tank vehicle—a knowledge test; motor vehicle operation; the types of
(4) Hazardous Materials—a knowledge motor vehicles and cargoes subject to
test; and the requirements; and the effects of al-
(5) School bus—a knowledge and a cohol and drug use upon safe commer-
skills test. cial motor vehicle operations.
[53 FR 27651, July 21, 1988, as amended at 67
(b) Commercial motor vehicle safety
FR 49760, July 31, 2002; 68 FR 23850, May 5, control systems. Proper use of the motor
2003] vehicle’s safety system, including
lights, horns, side and rear-view mir-
§ 383.95 Air brake restrictions. rors, proper mirror adjustments, fire
extinguishers, symptoms of improper
(a) If an applicant either fails the air
operation revealed through instru-
brake component of the knowledge ments, motor vehicle operation charac-
test, or performs the skills test in a ve- teristics, and diagnosing malfunctions.
hicle not equipped with air brakes, the Commercial motor vehicle drivers shall
State shall indicate on the CDL, if have knowledge on the correct proce-
issued, that the person is restricted dures needed to use these safety sys-
from operating a CMV equipped with tems in an emergency situation, e.g.,
air brakes. skids and loss of brakes.
(b) For the purposes of the skills test (c) Safe vehicle control—(1) Control sys-
and the restriction, air brakes shall in- tems The purpose and function of the
clude any braking system operating controls and instruments commonly
fully or partially on the air brake prin- found on commercial motor vehicles.
ciple. (2) Basic control. The proper proce-
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dures for performing various basic ma-


neuvers.

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§ 383.113 49 CFR Ch. III (10–1–07 Edition)

(3) Shifting. The basic shifting rules (g) Air brake knowledge as follows:
and terms, as well as shift patterns and (1) Air brake system nomenclature;
procedures for common transmissions. (2) The dangers of contaminated air
(4) Backing. The procedures and rules supply;
for various backing maneuvers. (3) Implications of severed or discon-
(5) Visual search. The importance of nected air lines between the power unit
proper visual search, and proper visual and the trailer(s);
search methods. (4) Implications of low air pressure
(6) Communication. The principles and readings;
procedures for proper communications
(5) Procedures to conduct safe and ac-
and the hazards of failure to signal
curate pre-trip inspections.
properly.
(7) Speed management. The impor- (6) Procedures for conducting enroute
tance of understanding the effects of and post-trip inspections of air actu-
speed. ated brake systems, including ability
(8) Space management. The procedures to detect defects which may cause the
and techniques for controlling the system to fail.
space around the vehicle. (h) Operators for the combination vehi-
(9) Night operation. Preparations and cle group shall also have knowledge of:
procedures for night driving. (1) Coupling and uncoupling—The
(10) Extreme driving conditions. The procedures for proper coupling and un-
basic information on operating in ex- coupling a tractor to semi-trailer.
treme driving conditions and the haz- (2) Vehicle inspection—The objec-
ards that are encountered in extreme tives and proper procedures that are
conditions. unique for performing vehicle safety in-
(11) Hazard perceptions. The basic in- spections on combination vehicles.
formation on hazard perception and
[53 FR 27654, July 21, 1988, as amended at 62
clues for recognition of hazards. FR 37151, July 11, 1997]
(12) Emergency maneuvers. The basic
information concerning when and how § 383.113 Required skills.
to make emergency maneuvers.
(13) Skid control and recovery. The in- (a) Basic vehicle control skills. All ap-
formation on the causes and major plicants for a CDL must possess and
types of skids, as well as the proce- demonstrate basic motor vehicle con-
dures for recovering from skids. trol skills for each vehicle group which
(d) Relationship of cargo to vehicle con- the driver operates or expects to oper-
trol. The principles and procedures for ate. These skills should include the
the proper handling of cargo. ability to start, to stop, and to move
(e) Vehicle inspections: The objectives the vehicle forward and backward in a
and proper procedures for performing safe manner.
vehicle safety inspections, as follows: (b) Safe driving skills. All applicants
(1) The importance of periodic inspec- for a CDL must possess and dem-
tion and repair to vehicle safety. onstrate the safe driving skills for
(2) The effect of undiscovered mal- their vehicle group. These skills should
functions upon safety. include proper visual search methods,
(3) What safety-related parts to look appropriate use of signals, speed con-
for when inspecting vehicles. trol for weather and traffic conditions,
(4) Pre-trip/enroute/post-trip inspec- and ability to position the motor vehi-
tion procedures. cle correctly when changing lanes or
(5) Reporting findings. turning.
(f) Hazardous materials knowledge, (c) Air brake skills. Except as provided
such as: What constitutes hazardous in § 393.95, all applicants shall dem-
material requiring an endorsement to onstrate the following skills with re-
transport; classes of hazardous mate- spect to inspection and operation of air
rials; labeling/placarding requirements; brakes:
and the need for specialized training as (1) Pre-trip inspection skills. Appli-
a prerequisite to receiving the endorse- cants shall demonstrate the skills nec-
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ment and transporting hazardous car- essary to conduct a pre-trip inspection


goes. which includes the ability to:

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Federal Motor Carrier Safety Administration, DOT § 383.119

(i) Locate and verbally identify air dynamic buffeting, view blockages, and
brake operating controls and moni- lateral placement.
toring devices;
(ii) Determine the motor vehicle’s § 383.117 Requirements for passenger
brake system condition for proper ad- endorsement.
justments and that air system connec- An applicant for the passenger en-
tions between motor vehicles have been dorsement must satisfy both of the fol-
properly made and secured; lowing additional knowledge and skills
(iii) Inspect the low pressure warning test requirements.
device(s) to ensure that they will acti- (a) Knowledge test. All applicants for
vate in emergency situations; the passenger endorsement must have
(iv) Ascertain, with the engine run- knowledge covering at least the fol-
ning, that the system maintains an lowing topics:
adequate supply of compressed air;
(1) Proper procedures for loading/un-
(v) Determine that required min-
loading passengers;
imum air pressure build up time is
(2) Proper use of emergency exits, in-
within acceptable limits and that re-
quired alarms and emergency devices cluding push-out windows;
automatically deactivate at the proper (3) Proper responses to such emer-
pressure level; and gency situations as fires and unruly
(vi) Operationally check the brake passengers;
system for proper performance. (4) Proper procedures at railroad
(2) Driving skills. Applicants shall suc- crossings and drawbridges; and
cessfully complete the skills tests con- (5) Proper braking procedures.
tained in § 383.113 in a representative (b) Skills test. To obtain a passenger
vehicle equipped with air brakes. endorsement applicable to a specific
(d) Test area. Skills tests shall be con- vehicle group, an applicant must take
ducted in on-street conditions or under his/her skills test in a passenger vehi-
a combination of on-street and off- cle satisfying the requirements of that
street conditions. group as defined in § 383.91.
(e) Simulation technology. A State
may utilize simulators to perform § 383.119 Requirements for tank vehi-
skills testing, but under no cir- cle endorsement.
cumstances as a substitute for the re- In order to obtain a Tank Vehicle En-
quired testing in on-street conditions. dorsement, each applicant must have
knowledge covering the following:
§ 383.115 Requirements for double/tri-
ple trailers endorsement. (a) Causes, prevention, and effects of
cargo surge on motor vehicle handling;
In order to obtain a Double/Triple (b) Proper braking procedures for the
Trailers endorsement each applicant
motor vehicle when it is empty, full
must have knowledge covering:
and partially full;
(a) Procedures for assembly and
(c) Differences in handling of baffled/
hookup of the units;
compartmental tank interiors versus
(b) Proper placement of heaviest
non-baffled motor vehicles;
trailer;
(d) Differences in tank vehicle type
(c) Handling and stability character-
istics including off-tracking, response and construction;
to steering, sensory feedback, braking, (e) Differences in cargo surge for liq-
oscillatory sway, rollover in steady uids of varying product densities;
turns, yaw stability in steady turns; (f) Effects of road grade and cur-
and vature on motor vehicle handling with
(d) Potential problems in traffic op- filled, half-filled and empty tanks;
erations, including problems the motor (g) Proper use of emergency systems;
vehicle creates for other motorists due and
to slower speeds on steep grades, longer (h) For drivers of DOT specification
passing times, possibility for blocking tank vehicles, retest and marking re-
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entry of other motor vehicles on free- quirements.


ways, splash and spray impacts, aero-

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§ 383.121 49 CFR Ch. III (10–1–07 Edition)

§ 383.121 Requirements for hazardous (4) Existence of special requirements


materials endorsement. for transporting Class A and B explo-
In order to obtain a Hazardous Mate- sives.
rial Endorsement each applicant must § 383.123 Requirements for a school
have such knowledge as is required of a bus endorsement.
driver of a hazardous materials laden
vehicle, from information contained in (a) An applicant for a school bus en-
49 CFR parts 171, 172, 173, 177, 178, and dorsement must satisfy the following
397 on the following: three requirements:
(a) Hazardous materials regulations (1) Qualify for passenger vehicle en-
including: dorsement. Pass the knowledge and
(1) Hazardous materials table; skills test for obtaining a passenger ve-
(2) Shipping paper requirements; hicle endorsement.
(2) Knowledge test. Must have knowl-
(3) Marking;
edge covering at least the following
(4) Labeling;
three topics:
(5) Placarding requirements;
(i) Loading and unloading children,
(6) Hazardous materials packaging;
including the safe operation of stop sig-
(7) Hazardous materials definitions
nal devices, external mirror systems,
and preparation;
flashing lights and other warning and
(8) Other regulated material (e.g., passenger safety devices required for
ORM-D); school buses by State or Federal law or
(9) Reporting hazardous materials ac- regulation.
cidents; and (ii) Emergency exits and procedures
(10) Tunnels and railroad crossings. for safely evacuating passengers in an
(b) Hazardous materials handling in- emergency.
cluding: (iii) State and Federal laws and regu-
(1) Forbidden Materials and Pack- lations related to safely traversing
ages; highway rail grade crossings.
(2) Loading and Unloading Materials; (3) Skills test. Must take a driving
(3) Cargo Segregation; skills test in a school bus of the same
(4) Passenger Carrying Buses and vehicle group (see § 383.91(a)) as the
Hazardous Materials; school bus applicant will drive.
(5) Attendance of Motor Vehicles; (4) Exception. Knowledge and skills
(6) Parking; tests administered before September
(7) Routes; 30, 2002 and approved by FMCSA as
(8) Cargo Tanks; and meeting the requirements of this sec-
(9) ‘‘Safe Havens.’’ tion, meet the requirements of para-
(c) Operation of emergency equip- graphs (a)(2) and (a)(3) of this section.
ment including: (b) Substitute for driving skills test. (1)
(1) Use of equipment to protect the At the discretion of a State, the driv-
public; ing skills test required in paragraph
(2) Special precautions for equipment (a)(3) of this section may be waived for
to be used in fires; an applicant who is currently licensed,
(3) Special precautions for use of has experience driving a school bus,
emergency equipment when loading or has a good driving record, and meets
unloading a hazardous materials laden the conditions set forth in paragraph
motor vehicle; and (b)(2) of this section.
(4) Use of emergency equipment for (2) An applicant must certify and the
tank vehicles. State must verify that, during the two-
(d) Emergency response procedures year period immediately prior to ap-
including: plying for the school bus endorsement,
(1) Special care and precautions for the applicant:
different types of accidents; (i) Held a valid CDL with a passenger
(2) Special precautions for driving vehicle endorsement to operate a
near a fire and carrying hazardous ma- school bus representative of the group
terials, and smoking and carrying haz- he or she will be driving;
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ardous materials; (ii) Has not had his or her driver’s li-
(3) Emergency procedures; and cense or CDL suspended, revoked or

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Federal Motor Carrier Safety Administration, DOT Pt. 383, Subpt. G, App.

canceled or been disqualified from op- (4) The types of motor vehicles and cargoes
erating a CMV; subject to the requirements contained in
part 397 of this title; and
(iii) Has not been convicted of any of (5) The effects of alcohol and drug use upon
the disqualifying offenses in § 383.51(b) safe commercial motor vehicle operations as
while operating a CMV or of any of- contained in parts 391 and 395 of this title.
fense in a non-CMV that would be dis- (b) Commercial motor vehicle safety control
qualifying under § 383.51(b) if com- systems. Proper use of the motor vehicle’s
mitted in a CMV; safety system, including lights, horns, side
and rear-view mirrors, proper mirror adjust-
(iv) Has not had more than one con- ments, fire extinguishers, symptoms of im-
viction of any of the serious traffic vio- proper operation revealed through instru-
lations defined in § 383.5, while oper- ments, motor vehicle operation characteris-
ating any type motor vehicle; tics, and diagnosing malfunctions. Commer-
(v) Has not had any conviction for a cial motor vehicle drivers shall have knowl-
violation of State or local law relating edge on the correct procedures needed to use
to motor vehicle traffic control (other these safety systems in an emergency situa-
tion, e.g., skids and loss of brakes.
than a parking violation) arising in (c) Safe vehicle control—(1) Control systems.
connection with any traffic accident; The purpose and function of the controls and
(vi) Has not been convicted of any instruments commonly found on commercial
motor vehicle traffic violation that re- motor vehicles.
sulted in an accident; and (2) Basic control. The proper procedures for
performing various basic maneuvers, includ-
(vii) Has been regularly employed as
ing:
a school bus driver, has operated a (i) Starting, warming up, and shutting
school bus representative of the group down the engine;
the applicant seeks to drive, and pro- (ii) Putting the vehicle in motion and stop-
vides evidence of such employment. ping;
(3) After September 30, 2006, the pro- (iii) Backing in a straight line; and
(iv) Turning the vehicle, e.g., basic rules,
visions in paragraph (b) of this section
off-tracking, right/left turns and right
do not apply. curves.
[67 FR 49760, July 31, 2002, as amended at 70 (3) Shifting. The basic shifting rules and
FR 56593, Sept. 28, 2005] terms, as well as shift patterns and proce-
dures for common transmissions, including:
(i) Key elements of shifting, e.g., controls,
APPENDIX TO SUBPART G OF PART 383— when to shift and double clutching;
REQUIRED KNOWLEDGE AND SKILLS— (ii) Shift patterns and procedures; and
SAMPLE GUIDELINES (iii) Consequences of improper shifting.
(4) Backing. The procedures and rules for
The following is a sample of the specific various backing maneuvers, including:
types of items which a State may wish to in- (i) Backing principles and rules; and
clude in the knowledge and skills tests that (ii) Basic backing maneuvers, e.g.,
it administers to CDL applicants. This ap- straight-line backing, and backing on a
pendix closely follows the framework of curved path.
§§ 383.111 and 383.113. It is intended to provide (5) Visual search. The importance of proper
more specific guidance and suggestion to visual search, and proper visual search meth-
States. Additional detail in this appendix is ods, including:
not binding and States may depart from it at (i) Seeing ahead and to the sides;
their discretion provided their CDL program (ii) Use of mirrors; and
tests for the general areas of knowledge and (iii) Seeing to the rear.
skill specified in §§ 383.111 and 383.113. (6) Communication. The principles and pro-
cedures for proper communications and the
EXAMPLES OF SPECIFIC KNOWLEDGE ELEMENTS hazards of failure to signal properly, includ-
ing:
(a) Safe operations regulations. Driver-re-
(i) Signaling intent, e.g., signaling when
lated elements of the following regulations:
changing speed or direction in traffic;
(1) Motor vehicle inspection, repair, and (ii) Communicating presence, e.g., using
maintenance requirements as contained in horn or lights to signal presence; and
parts 393 and 396 of this title; (iii) Misuse of communications.
(2) Procedures for safe vehicle operations (7) Speed management. The importance of
as contained in part 392 of this title; understanding the effects of speed, including:
(3) The effects of fatigue, poor vision, hear- (i) Speed and stopping distance;
ing, and general health upon safe commer-
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(ii) Speed and surface conditions;


cial motor vehicle operation as contained in (iii) Speed and the shape of the road;
parts 391, 392, and 395 of this title; (iv) Speed and visibility; and

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Pt. 383, Subpt. G, App. 49 CFR Ch. III (10–1–07 Edition)
(v) Speed and traffic flow. and rim defects, braking system defects,
(8) Space management. The procedures and steering system defects, suspension system
techniques for controlling the space around defects, exhaust system defects, coupling
the vehicle, including: system defects, and cargo problems.
(i) The importance of space management; (4) Pre-trip/enroute/post-trip inspection
(ii) Space cushions, e.g., controlling space procedures.
ahead/to the rear; (5) Reporting findings.
(iii) Space to the sides; and (f) Hazardous materials knowledge, as fol-
(iv) Space for traffic gaps. lows:
(9) Night operation. Preparations and proce- (1) What constitutes hazardous material
dures for night driving, including: requiring an endorsement to transport; and
(i) Night driving factors, e.g., driver fac- (2) Classes of hazardous materials, label-
tors, (vision, glare, fatigue, inexperience), ing/placarding requirements, and the need
roadway factors, (low illumination, vari- for specialized training as a prerequisite to
ation in illumination, familiarity with receiving the endorsement and transporting
roads, other road users, especially drivers ex- hazardous cargoes.
hibiting erratic or improper driving), vehicle
(g) Air brake knowledge as follows:
factors (headlights, auxiliary lights, turn
(1) General air brake system nomenclature;
signals, windshields and mirrors); and
(ii) Night driving procedures, e.g., pre- (2) The dangers of contaminated air (dirt,
paring to drive at night and driving at night. moisture and oil) supply;
(10) Extreme driving conditions. The basic in- (3) Implications of severed or disconnected
formation on operating in extreme driving air lines between the power unit and the
conditions and the hazards that are encoun- trailer(s);
tered in extreme conditions, including: (4) Implications of low air pressure read-
(i) Adverse weather; ings;
(ii) Hot weather; and (5) Procedures to conduct safe and accurate
(iii) Mountain driving. pre-trip inspections, including knowledge
(11) Hazard perceptions. The basic informa- about:
tion on hazard perception and clues for rec- (i) Automatic fail-safe devices;
ognition of hazards, including: (ii) System monitoring devices; and
(i) Importance of hazards recognition; (iii) Low pressure warning alarms.
(ii) Road characteristics; and (6) Procedures for conducting enroute and
(iii) Road user activities. post-trip inspections of air actuated brake
(12) Emergency maneuvers. The basic infor- systems, including ability to detect defects
mation concerning when and how to make which may cause the system to fail, includ-
emergency maneuvers, including: ing:
(i) Evasive steering; (i) Tests which indicate the amount of air
(ii) Emergency stop; loss from the braking system within a speci-
(iii) Off-road recovery; fied period, with and without the engine run-
(iv) Brake failure; and ning; and
(v) Blowouts. (ii) Tests which indicate the pressure lev-
(13) Skid control and recovery. The informa- els at which the low air pressure warning de-
tion on the causes and major types of skids, vices and the tractor protection valve should
as well as the procedures for recovering from activate.
skids. (h) Operators for the combination vehicle
(d) Relationship of cargo to vehicle control.
group shall also have knowledge of:
The principles and procedures for the proper
(1) Coupling and uncoupling. The procedures
handling of cargo, including:
for proper coupling and uncoupling a tractor
(1) The importance of proper cargo han-
to semi-trailer.
dling, e.g., consequences of improperly se-
(2) Vehicle inspection—The objectives and
cured cargo, drivers’ responsibilities, Fed-
proper procedures that are unique for per-
eral/State and local regulations.
forming vehicle safety inspections on com-
(2) Principles of weight distribution.
bination vehicles.
(3) Principles and methods of cargo secure-
ment. EXAMPLES OF SPECIFIC SKILLS ELEMENTS
(e) Vehicle inspections: The objectives and
proper procedures for performing vehicle These examples relate to paragraphs (a)
safety inspections, as follows: and (b) of § 383.113 only.
(1) The importance of periodic inspection (a) Basic vehicle control skills. All applicants
and repair to vehicle safety and to preven- for a CDL must possess and demonstrate the
tion of enroute breakdowns. following basic motor vehicle control skills
(2) The effect of undiscovered malfunctions for each vehicle group which the driver oper-
upon safety. ates or expects to operate. These skills shall
(3) What safety-related parts to look for include:
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when inspecting vehicles, e.g., fluid leaks, (1) Ability to start, warm-up, and shut
interference with visibility, bad tires, wheel down the engine;

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Federal Motor Carrier Safety Administration, DOT § 383.131
(2) Ability to put the motor vehicle in mo- sent to alcohol testing described in
tion and accelerate smoothly, forward and § 383.72, the procedures and penalties,
backward; contained in § 383.51(b) to which a CDL
(3) Ability to bring the motor vehicle to a
smooth stop;
holder is exposed for refusal to comply
(4) Ability to back the motor vehicle in a with such alcohol testing, State proce-
straight line, and check path and clearance dures described in § 383.73, and other ap-
while backing; propriate driver information contained
(5) Ability to position the motor vehicle to in subpart E of this part;
negotiate and then make left and right (2) Information on vehicle groups and
turns; endorsements as specified in subpart F
(6) Ability to shift as required and select
of this part;
appropriate gear for speed and highway con-
ditions; (3) The substance of the knowledge
(7) Ability to back along a curved path; and skills which drivers shall have as
and outlined in subpart G of this part for
(8) Ability to observe the road and the be- the different vehicle groups and en-
havior of other motor vehicles, particularly dorsements;
before changing speed and direction. (4) Details of testing procedures, in-
(b) Safe driving skills. All applicants for a
cluding the purpose of the tests, how to
CDL must possess and demonstrate the fol-
lowing safe driving skills for any vehicle respond, any time limits for taking the
group. These skills shall include: test, and any other special procedures
(1) Ability to use proper visual search determined by the State of issuance;
methods. and
(2) Ability to signal appropriately when (5) Directions for taking the tests.
changing speed or direction in traffic. (b) Examiner procedures. A State shall
(3) Ability to adjust speed to the configura-
provide to test examiners details on
tion and condition of the roadway, weather
and visibility conditions, traffic conditions, testing and any other State-imposed
and motor vehicle, cargo and driver condi- requirements in the examiner’s man-
tions; ual, and shall ensure that examiners
(4) Ability to choose a safe gap for chang- are qualified to administer tests on the
ing lanes, passing other vehicles, as well as basis of training and/or other experi-
for crossing or entering traffic; ence. States shall provide standardized
(5) Ability to position the motor vehicle scoring sheets for the skills tests, as
correctly before and during a turn to prevent
well as standardized driving instruc-
other vehicles from passing on the wrong
side as well as to prevent problems caused by tions for the applicants. Such exam-
off-tracking; iners’ manuals shall contain the fol-
(6) Ability to maintain a safe following dis- lowing:
tance depending on the condition of the road, (1) Information on driver application
on visibility, and on vehicle weight; and procedures contained in § 383.71, State
(7) Ability to adjust operation of the motor procedures described in § 383.73, and
vehicle to prevailing weather conditions in- other appropriate driver information
cluding speed selection, braking, direction
changes and following distance to maintain
contained in subpart E of this part;
control. (2) Details on information which
must be given to the applicant;
Subpart H—Tests (3) Details on how to conduct the
tests;
(4) Scoring procedures and minimum
SOURCE: 53 FR 27657, July 21, 1988, unless
passing scores;
otherwise noted.
(5) Information for selecting driving
§ 383.131 Test procedures. test routes;
(6) List of the skills to be tested;
(a) Driver information manuals. Infor-
(7) Instructions on where and how the
mation on how to obtain a CDL and en-
skills will be tested;
dorsements shall be included in manu-
als and made available by States to (8) How performance of the skills will
CDL applicants. All information pro- be scored; and
vided to the applicant shall include the (9) Causes for automatic failure of
following: skills tests.
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(1) Information on the requirements [53 FR 27657, July 21, 1988, as amended at 53
described in § 383.71, the implied con- FR 39051, Oct. 4, 1988]

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§ 383.133 49 CFR Ch. III (10–1–07 Edition)

§ 383.133 Testing methods. during the test, he/she shall automati-


cally fail the test.
(a) All tests shall be constructed in
(d) The scoring of the basic knowl-
such a way as to determine if the appli-
edge and skills tests shall be adjusted
cant possesses the required knowledge
as follows to allow for the air brake re-
and skills contained in subpart G of
striction (§ 383.95):
this part for the type of motor vehicle
or endorsement the applicant wishes to (1) If the applicant scores less than 80
obtain. percent on the air brake component of
the basic knowledge test as described
(b) States shall develop their own
in § 383.111(g), the driver will have
specifications for the tests for each ve-
failed the air brake component and, if
hicle group and endorsement which
the driver is issued a CDL, an air brake
must be at least as stringent as the
restriction shall be indicated on the li-
Federal standards.
cense; and
(c) States shall determine specific
(2) If the applicant performs the
methods for scoring the knowledge and
skills test in a vehicle not equipped
skills tests.
with air brakes, the driver will have
(d) Passing scores must meet those
omitted the air brake component as de-
standards contained in § 383.135.
scribed in § 383.113(c) and, if the driver
(e) Knowledge and skills tests shall
is issued a CDL, the air brake restric-
be based solely on the information con-
tion shall be indicated on the license.
tained in the driver manuals referred
to in § 383.131(a).
(f) Each knowledge test shall be valid Subpart I—Requirement for Trans-
and reliable so as to assure that driver portation Security Administra-
applicants possess the knowledge re- tion approval of hazardous
quired under § 383.111. materials endorsement
(g) Each basic knowledge test, i.e., issuances
the test covering the areas referred to
in § 383.111 for the applicable vehicle § 383.141 General.
group, shall contain at least 30 items, (a) Applicability date. Beginning on
exclusive of the number of items test- the date(s) listed in 49 CFR 1572.13(b),
ing air brake knowledge. Each endorse- this section applies to State agencies
ment knowledge test, and the air brake responsible for issuing hazardous mate-
component of the basic knowledge test rials endorsements for a CDL, and ap-
as described in § 383.111(g), shall con- plicants for such endorsements.
tain a number of questions that is suf- (b) Prohibition. A State may not
ficient to test the driver applicant’s issue, renew, upgrade, or transfer a
knowledge of the required subject mat- hazardous materials endorsement for a
ter with validity and reliability. CDL to any individual authorizing that
(h) The skills tests shall have admin- individual to operate a commercial
istrative procedures, designed to motor vehicle transporting a hazardous
achieve interexaminer reliability, that material in commerce unless the
are sufficient to ensure fairness of pass/ Transportation Security Administra-
fail rates. tion has determined that the individual
does not pose a security risk war-
§ 383.135 Minimum passing scores. ranting denial of the endorsement.
(a) The driver applicant must cor- (c) Individual notification. At least 60
rectly answer at least 80 percent of the days prior to the expiration date of the
questions on each knowledge test in CDL or hazardous materials endorse-
order to achieve a passing score on ment, a State must notify the holder of
such knowledge test. a hazardous materials endorsement
(b) To achieve a passing score on the that the individual must pass a Trans-
skills test, the driver applicant must portation Security Administration se-
demonstrate that he/she can success- curity threat assessment process as
fully perform all of the skills listed in part of any application for renewal of
§ 383.113. the hazardous materials endorsement.
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(c) If the driver applicant does not The notice must advise a driver that,
obey traffic laws, or causes an accident in order to expedite the security

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Federal Motor Carrier Safety Administration, DOT § 383.155

screening process, he or she should file authorized to operate, indicated as fol-


a renewal application as soon as pos- lows:
sible, but not later than 30 days before (i) A for Combination Vehicle;
the date of expiration of the endorse- (ii) B for Heavy Straight Vehicle; and
ment. An individual who does not suc- (iii) C for Small Vehicle.
cessfully complete the Transportation
(9) The endorsement(s) for which the
Security Administration security
driver has qualified, if any, indicated
threat assessment process referenced in
paragraph (b) of this section may not as follows:
be issued a hazardous materials en- (i) T for double/triple trailers;
dorsement. (ii) P for passenger;
(d) Hazardous materials endorsement (iii) N for tank vehicle;
renewal cycle. Each State must require (iv) H for hazardous materials;
that hazardous materials endorsements (v) X for a combination of tank vehi-
be renewed every 5 years or less so that cle and hazardous materials endorse-
individuals are subject to a Transpor- ments;
tation Security Administration secu- (vi) S for school bus; and
rity screening requirement referenced (vii) At the discretion of the State,
in paragraph (b) of this section at least
additional codes for additional
every 5 years.
groupings of endorsements, as long as
[68 FR 24850, May 5, 2003, as amended at 68 each such discretionary code is fully
FR 63033, Nov. 7, 2003; 69 FR 51393, Aug. 19, explained on the front or back of the
2004; 70 FR 22271, Apr. 29, 2005]
CDL document.
(b) If the CDL is a Nonresident CDL,
Subpart J—Commercial Driver’s it shall contain the prominent state-
License Document ment that the license is a ‘‘Nonresident
Commercial Driver’s License’’ or
SOURCE: 53 FR 27657, July 21, 1988, unless ‘‘Nonresident CDL.’’ The word ‘‘Non-
otherwise noted.
resident’’ must be conspicuously and
§ 383.151 General. unmistakably displayed, but may be
noncontiguous with the words ‘‘Com-
The CDL shall be a document that is
mercial Driver’s License’’ or ‘‘CDL.’’
easy to recognize as a CDL. At a min-
imum, the document shall contain in- (c) If the State has issued the appli-
formation specified in § 383.153. cant an air brake restriction as speci-
fied in § 383.95, that restriction must be
§ 383.153 Information on the document indicated on the license.
and application. (d) Except in the case of a Non-
(a) All CDLs shall contain the fol- resident CDL:
lowing information: (1) A driver applicant must provide
(1) The prominent statement that the his/her Social Security Number on the
license is a ‘‘Commercial Driver’s Li- application of a CDL; and
cense’’ or ‘‘CDL,’’ except as specified in (2) The State must provide the Social
§ 383.153(b). Security Number to the CDLIS.
(2) The full name, signature, and
mailing address of the person to whom [53 FR 27657, July 21, 1988, as amended at 67
such license is issued; FR 49760, July 31, 2002]
(3) Physical and other information to
identify and describe such person in- § 383.155 Tamperproofing require-
cluding date of birth (month, day, and ments.
year), sex, and height; States shall make the CDL
(4) Color photograph of the driver; tamperproof to the maximum extent
(5) The driver’s State license number; practicable. At a minimum, a State
(6) The name of the State which shall use the same tamperproof method
issued the license; used for noncommercial drivers’ li-
(7) The date of issuance and the date censes.
of expiration of the license;
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(8) The group or groups of commer-


cial motor vehicle(s) that the driver is

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Pt. 384 49 CFR Ch. III (10–1–07 Edition)

PART 384—STATE COMPLIANCE Subpart D—Consequences of State


WITH COMMERCIAL DRIVER’S LI- Noncompliance
CENSE PROGRAM 384.401 Withholding of funds based on non-
compliance.
Subpart A—General 384.403 Period of availability; effect of com-
pliance and noncompliance.
Sec. 384.405 Decertification of State CDL pro-
384.101 Purpose and scope. gram.
384.103 Applicability. 384.407 Emergency CDL grants.
384.105 Definitions. AUTHORITY: 49 U.S.C. 31136, 31301 et seq.,
384.107 Matter incorporated by reference. 31502; sec. 103 of Pub. L. 106–159, 113 Stat.
1753, 1767; sec. 4140 of Pub. L. 109-59, 119 Stat.
Subpart B—Minimum Standards for 1144; and 49 CFR 1.73.
Substantial Compliance by States
SOURCE: 59 FR 26039, May 18, 1994, unless
384.201 Testing program. otherwise noted.
384.202 Test standards. EDITORIAL NOTE: Nomenclature changes to
384.203 Driving while under the influence. part 384 appear at 66 FR 49872, Oct. 1, 2001.
384.204 CDL issuance and information.
384.205 CDLIS information.
384.206 State record checks.
Subpart A—General
384.207 Notification of licensing. § 384.101 Purpose and scope.
384.208 Notification of disqualification.
384.209 Notification of traffic violations. (a) Purpose. The purpose of this part
384.210 Limitation on licensing. is to ensure that the States comply
384.211 Return of old licenses. with the provisions of section 12009(a)
384.212 Domicile requirement. of the Commercial Motor Vehicle Safe-
384.213 Penalties for driving without a prop- ty Act of 1986 (49 U.S.C. 31311(a)).
er CDL. (b) Scope. This part:
384.214 Reciprocity. (1) Includes the minimum standards
384.215 First offenses. for the actions States must take to be
384.216 Second offenses.
in substantial compliance with each of
384.217 Drug offenses.
384.218 Second serious traffic violation. the 22 requirements of 49 U.S.C.
384.219 Third serious traffic violation. 31311(a);
384.220 National Driver Register informa- (2) Establishes procedures for deter-
tion. minations to be made of such compli-
384.221 Out-of-service regulations (intoxi- ance by States; and
cating beverage). (3) Specifies the consequences of
384.222 Violation of out-of-service orders. State noncompliance.
384.223 Railroad-highway grade crossing
violation. [62 FR 37152, July 11, 1997]
384.224 Noncommercial motor vehicle viola-
tions. § 384.103 Applicability.
384.225 Record of violations. The rules in this part apply to all
384.226 Prohibition on masking convictions. States.
384.227–384.230 [Reserved]
384.231 Satisfaction of State disqualifica- § 384.105 Definitions.
tion requirement.
384.232 Required timing of record checks. (a) The definitions in part 383 of this
384.233 Background records checks. title apply to this part, except where
otherwise specifically noted.
Subpart C—Procedures for Determining (b) As used in this part:
State Compliance Issue and issuance mean initial licen-
sure, license transfers, license renew-
384.301 Substantial compliance—general re- als, license upgrades, and nonresident
quirement. commercial driver’s licenses (CDLs), as
384.303 [Reserved]
described in § 383.73 of this title.
384.305 State certifications for Federal fis-
cal years after FY 1994. Licensing entity means the agency of
384.307 FMCSA program reviews of State State government that is authorized to
compliance. issue drivers’ licenses.
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384.309 Results of compliance determina- Year of noncompliance means any Fed-


tion. eral fiscal year during which—

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Federal Motor Carrier Safety Administration, DOT § 384.204

(1) A State fails to submit timely cer- Administrators, Inc., 4301 Wilson Blvd,
tification as prescribed in subpart C of Suite 400, Arlington, VA 22203.
this part; or [67 FR 49761, July 31, 2002; as amended at 72
(2) The State does not meet one or FR 55700, Oct. 1, 2007]
more of the standards of subpart B of
this part, based on a final determina- Subpart B—Minimum Standards
tion by the FMCSA under § 384.307(c) of for Substantial Compliance by
this part. States
§ 384.107 Matter incorporated by ref- § 384.201 Testing program.
erence.
The State shall adopt and administer
(a) Incorporation by reference. This a program for testing and ensuring the
part includes references to certain fitness of persons to operate commer-
matter or materials. The text of the cial motor vehicles (CMVs) in accord-
materials is not included in the regula- ance with the minimum Federal stand-
tions contained in this part. The mate- ards contained in part 383 of this title.
rials are hereby made a part of the reg-
ulations in this part. The Director of § 384.202 Test standards.
the Office of the Federal Register has No State shall authorize a person to
approved the materials incorporated by operate a CMV unless such person
reference in accordance with 5 U.S.C. passes a knowledge and driving skills
552(a) and 1 CFR part 51. For materials test for the operation of a CMV in ac-
subject to change, only the specific cordance with part 383 of this title.
version approved by the Director of the
§ 384.203 Driving while under the in-
Office of the Federal Register and spec- fluence.
ified in the regulation are incor-
porated. Material is incorporated as it (a) The State must have in effect and
exists on the date of the approval and enforce through licensing sanctions the
a notice of any change in these mate- disqualifications prescribed in
rials will be published in the FEDERAL § 383.51(b) of this subchapter for driving
REGISTER. a CMV with a 0.04 alcohol concentra-
tion.
(b) Materials incorporated. The
(b) Nothing in this section shall be
AAMVAnet, Inc.’s ‘‘Commercial Driver
construed to require a State to apply
License Information System (CDLIS) its criminal or other sanctions for driv-
State Procedures,’’ Version 2.0, October ing under the influence to a person
1998, IBR approved for § 384.231(d). found to have operated a CMV with an
(c) Addresses. (1) All of the materials alcohol concentration of 0.04, except li-
incorporated by reference are available censing sanctions including suspension,
for inspection at: revocation, or cancellation.
(i) The Department of Transportation (c) A State that enacts and enforces
Library, 1200 New Jersey Ave., SE., through licensing sanctions the dis-
Washington, DC 20590–0001. These docu- qualifications prescribed in § 383.51(b)
ments are also available for inspection of this subchapter for driving a CMV
and copying as provided in 49 CFR part with a 0.04 alcohol concentration and
7. gives full faith and credit to the dis-
(ii) The National Archives and qualification of CMV drivers by other
Records Administration (NARA). For States shall be deemed in substantial
information on the availability of this compliance with section 12009(a)(3) of
material at NARA, call 202–741–6030, or the Commercial Motor Vehicle Safety
go to: http://www.archives.gov/ Act of 1986 (49 U.S.C. 31311(a)(3)).
federallregister/ [67 FR 49761, July 31, 2002]
codeloflfederallregulations/
ibrllocations.html. § 384.204 CDL issuance and informa-
(2) Information and copies of all of tion.
the materials incorporated by ref- (a) General rule. The State shall au-
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erence may be obtained by writing to: thorize a person to operate a CMV only
American Association of Motor Vehicle by issuance of a CDL, unless a waiver

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§ 384.205 49 CFR Ch. III (10–1–07 Edition)

under the provisions of § 383.7 applies, vious 10 years to operate any type of
which contains, at a minimum, the in- motor vehicle.
formation specified in part 383, subpart (iii) States receiving a request for
J, of this title. the driving record of a person currently
(b) Exceptions—(1) Training. The State or previously licensed by the State
may authorize a person, who does not must provide the information within 30
hold a CDL valid in the type of vehicle days.
in which training occurs, to undergo (b) Required action. Based on the find-
behind-the-wheel training in a CMV ings of the State record checks pre-
only by means of a learner’s permit scribed in this section, the State shall
issued and used in accordance with issue the license, or, in the case of ad-
§ 383.23(c) of this title. verse information, promptly imple-
(2) Confiscation of CDL pending en- ment the disqualifications, licensing
forcement. A State may allow a CDL limitations, denials, and/or penalties
holder whose CDL is held in trust by that are called for in any applicable
that State or any other State in the section(s) of this subpart.
course of enforcement of the motor ve-
[59 FR 26039, May 18, 1994, as amended at 67
hicle traffic code, but who has not been FR 49761, July 31, 2002]
convicted of a disqualifying offense
under § 383.51 based on such enforce- § 384.207 Notification of licensing.
ment, to drive a CMV while holding a
dated receipt for such CDL. Within the period defined in § 383.73(f)
of this title, the State shall:
§ 384.205 CDLIS information. (a) Notify the operator of the CDLIS
of each CDL issuance;
Before issuing a CDL to any person,
(b) Notify the operator of the CDLIS
the State shall, within the period of
of any changes in driver identification
time specified in § 384.232, perform the
information; and
check of the Commercial Driver’s Li-
(c) In the case of transfer issuances,
cense Information System (CDLIS) in
implement the Change State of Record
accordance with § 383.73(a)(3)(ii) of this
transaction, as specified by the oper-
title, and, based on that information,
ator of the CDLIS, in conjunction with
shall issue the license, or, in the case
the previous State of record and the
of adverse information, promptly im-
operator of the CDLIS.
plement the disqualifications, licensing
limitations, denials, and/or penalties § 384.208 Notification of disqualifica-
that are called for in any applicable tion.
section(s) of this subpart.
(a) No later than 10 days after dis-
§ 384.206 State record checks. qualifying a CDL holder licensed by an-
other State, or revoking, suspending,
(a) Required checks—(1) Issuing State’s
or canceling an out-of-State CDL hold-
records. Before issuing a CDL to any
er’s privilege to operate a commercial
person, the State shall, within the pe-
motor vehicle for at least 60 days, the
riod of time specified in § 384.232, check
State must notify the State that issued
its own driving record for such person
the license of the disqualification, rev-
in accordance with § 383.73(a)(3) of this
ocation, suspension, or cancellation.
title.
(b) The notification must include
(2) Other States’ records. Before the
both the disqualification and the viola-
initial or transfer issuance of a CDL to
tion that resulted in the disqualifica-
a person, and before renewing a CDL
tion, revocation, suspension, or can-
held by any person, the issuing State
cellation. The notification and the in-
must:
formation it provides must be recorded
(i) Require the applicant to provide
on the driver’s record.
the names of all States where the ap-
plicant has previously been licensed to [67 FR 49761, July 31, 2002]
operate any type of motor vehicle.
(ii) Within the time period specified § 384.209 Notification of traffic viola-
in § 384.232, request the complete driv- tions.
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ing record from all States where the (a) Required notification with respect to
applicant was licensed within the pre- CDL holders. Whenever a person who

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Federal Motor Carrier Safety Administration, DOT § 384.215

holds a CDL from another State is con- § 384.211 Return of old licenses.
victed of a violation of any State or The State shall not issue a CDL to a
local law relating to motor vehicle person who possesses a driver’s license
traffic control (other than a parking issued by another State or jurisdiction
violation), in any type of vehicle, the unless such person first surrenders the
licensing entity of the State in which driver’s license issued by such other
the conviction occurs must notify the State or jurisdiction in accordance
licensing entity in the State where the with §§ 383.71(a)(7) and (b)(4) of this
driver is licensed of this conviction title.
within the time period established in
paragraph (c) of this section. § 384.212 Domicile requirement.
(b) Required notification with respect to (a) The State shall issue CDLs only
non-CDL holders. Whenever a person to those persons for whom such State
who does not hold a CDL, but who is li- is the State of domicile as defined in
censed to drive by another State, is § 383.5 of this title; except that the
convicted of a violation in a CMV of State may issue a nonresident CDL
any State or local law relating to under the conditions specified in
motor vehicle traffic control (other §§ 383.23(b), 383.71(e), and 383.73(e) of this
than a parking violation), the licensing title.
entity of the State in which the convic- (b) The State shall require any per-
tion occurs must notify the licensing son holding a CDL issued by another
entity in the State where the driver is State to apply for a transfer CDL from
licensed of this conviction within the the State within 30 days after estab-
time period established in paragraph lishing domicile in the State, as speci-
(c) of this section. fied in § 383.71(b) of this title.
(c) Time period for notification of traf-
fic violations. (1) Beginning on Sep- § 384.213 State penalties for drivers of
tember 30, 2005, the notification must CMVs.
be made within 30 days of the convic- The State must impose on drivers of
tion. CMVs appropriate civil and criminal
(2) Beginning on September 30, 2008, penalties that are consistent with the
the notification must be made within penalties prescribed under part 383,
10 days of the conviction. subpart D, of this subchapter.
[67 FR 49761, July 31, 2002] [67 FR 49761, July 31, 2002]

§ 384.210 Limitation on licensing. § 384.214 Reciprocity.


A State must not knowingly issue a The State shall allow any person to
CDL or a commercial special license or operate a CMV in the State who is not
permit (including a provisional or tem- disqualified from operating a CMV and
porary license) permitting a person to who holds a CDL which is—
drive a CMV during a period in which: (a) Issued to him or her by any other
(a) A person is disqualified from oper- State or jurisdiction in accordance
ating a CMV, as disqualification is de- with part 383 of this title;
fined by § 383.5 of this subchapter, or (b) Not suspended, revoked, or can-
under the provisions of § 383.73(g) or celed; and
§ 384.231(b)(2) of this subchapter; (c) Valid, under the terms of part 383,
subpart F, of this title, for the type of
(b) The CDL holder’s noncommercial
vehicle being driven.
driving privilege has been revoked, sus-
pended, or canceled; or § 384.215 First offenses.
(c) Any type of driver’s license held
(a) General rule. The State must dis-
by such person is suspended, revoked,
qualify from operating a CMV each
or canceled by the State where the
person who is convicted, as defined in
driver is licensed for any State or local
§ 383.5 of this subchapter, in any State
law related to motor vehicle traffic
or jurisdiction, of a disqualifying of-
control (other than parking viola-
fense specified in items (1) through (8)
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tions).
of Table 1 to § 383.51 of this subchapter,
[67 FR 49761, July 31, 2002] for no less than one year.

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§ 384.216 49 CFR Ch. III (10–1–07 Edition)

(b) Special rule for hazardous materials § 384.219 Third serious traffic viola-
offenses. If the offense under paragraph tion.
(a) of this section occurred while the The State must disqualify from oper-
driver was operating a vehicle trans-
ating a CMV for a period of not less
porting hazardous materials required
than 120 days each person who, in a
to be placarded under the Hazardous
three-year period, is convicted, as de-
Materials Transportation Act (imple-
menting regulations at 49 CFR 177.823), fined in § 383.5 of this subchapter, in
the State shall disqualify the person any State(s) or jurisdiction(s), of three
for no less than three years. serious traffic violations as specified in
Table 2 to § 383.51. This disqualification
[59 FR 26039, May 18, 1994, as amended at 67 period must be in addition to any other
FR 49762, July 31, 2002] previous period of disqualification.
§ 384.216 Second offenses. [67 FR 49762, July 31, 2002]
(a) General rule. The State must dis- § 384.220 National Driver Register in-
qualify for life from operating a CMV formation.
each person who is convicted, as de-
fined in § 383.5 of this subchapter, in Before issuing a CDL to any person,
any State or jurisdiction, of a subse- the State shall, within the period of
quent offense as described in Table 1 to time specified in § 384.232, perform the
§ 383.51 of this subchapter. check of the National Driver Register
(b) Special rule for certain lifetime dis- in accordance with § 383.73(a)(3)(iii) of
qualifications. A driver disqualified for this title, and, based on that informa-
life under Table 1 to § 383.51 may be re- tion, promptly implement the disquali-
instated after 10 years by the driver’s fications, licensing limitations, and/or
State of residence if the requirements penalties that are called for in any ap-
of § 383.51(a)(5) have been met. plicable section(s) of this subpart.
[67 FR 49762, July 31, 2002]
§ 384.221 Out-of-service regulations
(intoxicating beverage).
§ 384.217 Drug offenses.
The State shall adopt, and enforce on
The State must disqualify from oper-
operators of CMVs as defined in §§ 383.5
ating a CMV for life each person who is
convicted, as defined in § 383.5 of this and 390.5 of this title, the provisions of
subchapter, in any State or jurisdic- § 392.5 (a) and (c) of this title in accord-
tion of a first offense, of using a CMV ance with the Motor Carrier Safety As-
in the commission of a felony described sistance Program as contained in 49
in item (9) of Table 1 to § 383.51 of this CFR part 350 and applicable policy and
subchapter. The State shall not apply guidelines.
the special rule in § 384.216(b) to life-
time disqualifications imposed for con- § 384.222 Violation of out-of-service or-
trolled substance felonies as detailed in ders.
item (9) of Table 1 to § 383.51 of this The State must have and enforce
subchapter. laws and/or regulations applicable to
[67 FR 49762, July 31, 2002]
drivers of CMVs and their employers,
as defined in § 383.5 of this subchapter,
§ 384.218 Second serious traffic viola- which meet the minimum require-
tion. ments of §§ 383.37(c), Table 4 to 383.51,
The State must disqualify from oper- and 383.53(b) of this subchapter.
ating a CMV for a period of not less [67 FR 49762, July 31, 2002]
than 60 days each person who, in a
three-year period, is convicted, as de- § 384.223 Railroad-highway grade
fined in § 383.5 of this subchapter, in crossing violation.
any State(s) or jurisdiction(s), of two The State must have and enforce
serious traffic violations as specified in laws and/or regulations applicable to
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Table 2 to § 383.51. CMV drivers and their employers, as


[67 FR 49762, July 31, 2002] defined in § 383.5 of this subchapter,

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Federal Motor Carrier Safety Administration, DOT § 384.231

which meet the minimum require- (4) Motor Carrier or Prospective Motor
ments of §§ 383.37(d), Table 3 to 383.51, Carrier—After notification to a driver,
and 383.53(c) of this subchapter. all information related to that driver’s,
or prospective driver’s, record.
[67 FR 49762, July 31, 2002]
[67 FR 49762, July 31, 2002]
§ 384.224 Noncommercial motor vehi-
cle violations. § 384.226 Prohibition on masking con-
The State must have and enforce victions.
laws and/or regulations applicable to The State must not mask, defer im-
drivers of non-CMVs, as defined in position of judgment, or allow an indi-
§ 383.5 of this subchapter, which meet vidual to enter into a diversion pro-
the minimum requirements of Tables 1 gram that would prevent a CDL driv-
and 2 to § 383.51 of this subchapter. er’s conviction for any violation, in
[67 FR 49762, July 31, 2002] any type of motor vehicle, of a State or
local traffic control law (except a park-
§ 384.225 Record of violations. ing violation) from appearing on the
The State must: driver’s record, whether the driver was
(a) CDL holders. Record and maintain convicted for an offense committed in
as part of the driver history all convic- the State where the driver is licensed
tions, disqualifications and other li- or another State.
censing actions for violations of any [67 FR 49762, July 31, 2002]
State or local law relating to motor ve-
hicle traffic control (other than a park- §§ 384.227–384.230 [Reserved]
ing violation) committed in any type
of vehicle. § 384.231 Satisfaction of State disquali-
(b) A person required to have a CDL. fication requirement.
Record and maintain as part of the (a) Applicability. The provisions of
driver history all convictions, disquali- §§ 384.203, 384.206(b), 384.210, 384.213,
fications and other licensing actions 384.215 through 384.219, 384.221 through
for violations of any State or local law 384.224, and 384.231 of this part apply to
relating to motor vehicle traffic con- the State of licensure of the person af-
trol (other than a parking violation) fected by the provision. The provisions
committed while the driver was oper- of § 384.210 of this part also apply to any
ating a CMV. State to which a person makes applica-
(c) Make driver history information tion for a transfer CDL.
required by this section available to (b) Required action—(1) CDL holders. A
the users designated in paragraph (e) of State must satisfy the requirement of
this section, or to their authorized this part that the State disqualify a
agent, within 10 days of: person who holds a CDL by, at a min-
(1) Receiving the conviction or dis- imum, suspending, revoking, or can-
qualification information from another celing the person’s CDL for the applica-
State; or ble period of disqualification.
(2) The date of the conviction, if it (2) A person required to have a CDL. A
occurred in the same State. State must satisfy the requirement of
(d) Retain on the driver history this subpart that the State disqualify a
record all convictions, disqualifica- person required to have a CDL who is
tions and other licensing actions for convicted of an offense or offenses ne-
violations for at least 3 years or longer cessitating disqualification under
as required under § 384.231(d). § 383.51 of this subchapter. At a min-
(e) Only the following users or their imum, the State must implement the
authorized agents may receive the des- limitation on licensing provisions of
ignated information: § 384.210 and the timing and record-
(1) States—All information on all keeping requirements of paragraphs (c)
driver records. and (d) of this section so as to prevent
(2) Secretary of Transportation—All in- such a person from legally obtaining a
formation on all driver records. CDL from any State during the appli-
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(3) Driver—Only information related cable disqualification period(s) speci-


to that driver’s record. fied in this subpart.

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§ 384.232 49 CFR Ch. III (10–1–07 Edition)

(c) Required timing. The State must part B of this part by means of the de-
disqualify a driver as expeditiously as monstrable combined effect of its stat-
possible. utes, regulations, administrative pro-
(d) Recordkeeping requirements. The cedures and practices, organizational
State must conform to the require- structures, internal control mecha-
ments of the October 1998 edition of the nisms, resource assignments (facilities,
AAMVAnet, Inc.’s ‘‘Commercial Driver equipment, and personnel), and en-
License Information System (CDLIS) forcement practices.
State Procedures,’’ Version 2.0. (Incor- (b)(1) A State must come into sub-
porated by reference, see § 384.107.) stantial compliance with the require-
These requirements include the main- ments of subpart B of this part in ef-
tenance of such driver records and driv- fect as of September 30, 2002 as soon as
er identification data on the CDLIS as practical, but, unless otherwise specifi-
the FMCSA finds are necessary to the cally provided in this part, not later
implementation and enforcement of than September 30, 2005.
the disqualifications called for in (2) Exception. A State must come into
§§ 384.215 through 384.219, and 384.221 substantial compliance with 49 CFR
through 384.224 of this part. 383.123 not later than September 30,
[67 FR 49762, July 31, 2002] 2006.
(c) A State must come into substan-
§ 384.232 Required timing of record tial compliance with the requirements
checks. of subpart B of this part in effect as of
The State shall perform the record September 4, 2007 as soon as practical
checks prescribed in §§ 384.205, 384.206, but, unless otherwise specifically pro-
and 384.220, no earlier than 10 days vided in this part, not later than Sep-
prior to issuance for licenses issued be- tember 4, 2010.
fore October 1, 1995. For licenses issued [67 FR 49763, July 31, 2002, as amended at 70
after September 30, 1995, the State FR 56593, Sept. 28, 2005; 72 FR 36788, July 5,
shall perform the record checks no ear- 2007]
lier than 24 hours prior to issuance if
the license is issued to a driver who § 384.303 [Reserved]
does not currently possess a valid CDL
§ 384.305 State certifications for Fed-
from the same State and no earlier eral fiscal years after FY 1994.
than 10 days prior to issuance for all
other drivers. (a) Certification requirement. Prior to
January 1 of each Federal fiscal year
§ 384.233 Background records checks. after FY 1994, each State shall review
(a) The State shall comply with its compliance with this part and cer-
Transportation Security Administra- tify to the Federal Motor Carrier Safe-
tion requirements concerning back- ty Administrator as prescribed in para-
ground records checks for drivers seek- graph (b) of this section. The certifi-
ing to obtain, renew, transfer or up- cation shall be submitted as a signed
grade a hazardous materials endorse- original and four copies to the State
ment in 49 CFR Part 1572, to the extent Director or Officer-in-Charge, Federal
those provisions impose requirements Motor Carrier Safety Administration,
on the State. located in that State.
(b) The State shall comply with each (b) Certification content. The certifi-
requirement of 49 CFR 383.141. cation shall consist of a statement
signed by the Governor of the State, or
[68 FR 23850, May 5, 2003] by an official designated by the Gov-
ernor, and reading as follows: ‘‘I (name
Subpart C—Procedures for of certifying official), (position title),
Determining State Compliance of the State (Commonwealth) of lll,
do hereby certify that the State (Com-
§ 384.301 Substantial compliance-gen- monwealth) has continuously been in
eral requirements. substantial compliance with all re-
(a) To be in substantial compliance quirements of 49 U.S.C. 31311(a), as de-
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with 49 U.S.C. 31311(a), a State must fined in 49 CFR 384.301, since [the first
meet each and every standard of sub- day of the current Federal fiscal year],

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Federal Motor Carrier Safety Administration, DOT § 384.401

and contemplates no changes in stat- consideration the corrective action ei-


utes, regulations, or administrative ther implemented or planned to be im-
procedures, or in the enforcement plemented in accordance with the mu-
thereof, which would affect such sub- tually agreed upon schedule.
stantial compliance through [the last (e) State’s right to judicial review. Any
date of the current Federal fiscal State aggrieved by an adverse decision
year].’’ under this section may seek judicial
(Approved by the Office of Management and review under 5 U.S.C. Chapter 7.
Budget under control number 2125–0542)
[67 FR 49763, July 31, 2002]
[59 FR 26039, May 18, 1994, as amended at 62
FR 37152, July 11, 1997] § 384.309 Results of compliance deter-
mination.
§ 384.307 FMCSA program reviews of
State compliance. (a) A State shall be determined not
substantially in compliance with 49
(a) FMCSA Program Reviews. Each
U.S.C. 31311(a) for any fiscal year in
State’s CDL program will be subject to
review to determine whether or not the which it:
State meets the general requirement (1) Fails to submit the certification
for substantial compliance in § 384.301. as prescribed in this subpart; or
The State must cooperate with the re- (2) Does not meet one or more of the
view and provide any information re- standards of subpart B of this part, as
quested by the FMCSA. established in a final determination by
(b) Preliminary FMCSA determination the FMCSA under § 384.307(c).
and State response. If, after review, a (b) A State shall be in substantial
preliminary determination is made ei- compliance with 49 U.S.C. 31311(a) for
ther that the State has not submitted any fiscal year in which neither of the
the required annual self-certification eventualities in paragraph (a) of this
or that the State does not meet one or section occurs.
more of the minimum standards for
[62 FR 37152, July 11, 1997]
substantial compliance under subpart
B of this part, the State will be in-
formed accordingly. Subpart D—Consequences of
(c) Reply. The State will have up to 30 State Noncompliance
calendar days to respond to the pre-
liminary determination. The State’s § 384.401 Withholding of funds based
reply must explain what corrective ac- on noncompliance.
tion it either has implemented or in- (a) Following the first year of non-
tends to implement to correct the defi- compliance. An amount up to 5 percent
ciencies cited in the notice or, alter- of the Federal-aid highway funds re-
natively, why the FMCSA preliminary quired to be apportioned to any State
determination is incorrect. The State under each of sections 104(b)(1), (b)(3),
must provide documentation of correc- and (b)(4) of title 23 U.S.C. shall be
tive action as required by the agency. withheld from a State on the first day
Corrective action must be adequate to of the fiscal year following such State’s
correct the deficiencies noted in the first year of noncompliance under this
program review and be implemented on part.
a schedule mutually agreed upon by
(b) Following second and subsequent
the agency and the State. Upon request
year(s) of noncompliance. An amount up
by the State, an informal conference
to 10 percent of the Federal-aid high-
will be provided during this time.
way funds required to be apportioned
(d) Final FMCSA determination. If,
to any State under each of sections
after reviewing a timely response by
104(b)(1), (b)(3), and (b)(4) of title 23
the State to the preliminary deter-
U.S.C. shall be withheld from a State
mination, a final determination is
on the first day of the fiscal year fol-
made that the State is not in compli-
lowing such State’s second or subse-
ance with the affected standard, the
quent year(s) of noncompliance under
State will be notified of the final deter-
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this part.
mination. In making its final deter-
mination, the FMCSA will take into [72 FR 36788, July 5, 2007]

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§ 384.403 49 CFR Ch. III (10–1–07 Edition)

§ 384.403 Availability of funds with- (4) The State does not properly ad-
held for noncompliance. minister knowledge and/or skills tests
(a) Federal-aid highway funds with- to CDL applicants or drivers.
held from a State under § 384.401(a)(1) (5) The State fails to submit a correc-
or (b)(1) shall not thereafter be avail- tive action plan for a substantial com-
able for apportionment to the State. pliance deficiency or fails to imple-
(b) MCSAP funds withheld from a ment a corrective action plan within
State under § 384.401(a)(2) or (b)(2) re- the agreed upon time frame.
main available until June 30 of the fis- (c) Standard for considering defi-
cal year in which they were withheld. ciencies. The deficiencies described in
If before June 30 the State submits a paragraph (b) of this section must af-
document signed by the Governor or fect a substantial number of either
his or her delegate certifying, and the CDL applicants or drivers.
FMCSA determines, that the State is (d) Decertification: preliminary deter-
now in substantial compliance with the mination. If the Administrator finds
standards of subpart B of this part, the that a State is in substantial non-
withheld funds shall be restored to the compliance with subpart B of this part,
State. After June 30, unrestored funds as indicated by the factors specified in
shall lapse and be allocated in accord- § 384.405(b), among other things, the
ance with § 350.313 of this subchapter to FMCSA will inform the State that it
all States currently in substantial has made a preliminary determination
compliance with subpart B of this part. of noncompliance and that the State’s
CDL program may therefore be decerti-
[67 FR 49763, July 31, 2002] fied. Any response from the State, in-
cluding factual or legal arguments or a
§ 384.405 Decertification of State CDL plan to correct the noncompliance,
program.
must be submitted within 30 calendar
(a) Prohibition on CDL licensing activi- days after receipt of the preliminary
ties. The Administrator may prohibit a determination.
State found to be in substantial non- (e) Decertification: final determination.
compliance from performing any of the If, after considering all material sub-
following four licensing transactions: mitted by the State in response to the
(1) Issuance of initial CDLs. FMCSA preliminary determination,
(2) Renewal of CDLs. the Administrator decides that sub-
(3) Transfer of out-of-State CDLs to stantial noncompliance exists which
the State. warrants decertification of the CDL
(4) Upgrade of CDLs. program, he or she will issue a decerti-
(b) Conditions considered in making de- fication order prohibiting the State
certification determination. The Adminis- from issuing CDLs until such time as
trator will consider, but is not limited the Administrator determines that the
to, the following five conditions in de- condition(s) causing the decertification
termining whether the CDL program of has (have) been corrected.
a State in substantial noncompliance (f) Recertification of a State. The Gov-
should be decertified: ernor of the decertified State or his or
(1) The State computer system does her designated representative must
not check the Commercial Driver’s Li- submit a certification and documenta-
cense Information System (CDLIS) tion that the condition causing the de-
and/or National Driver Register (NDR) certification has been corrected. If the
as required by § 383.73 of this sub- FMCSA determines that the condition
chapter when processing CDL appli- causing the decertification has been
cants, drivers transferring a CDL satisfactorily corrected, the Adminis-
issued by another State, CDL renewals trator will issue a recertification order,
and/or upgrades. including any conditions that must be
(2) The State does not disqualify met in order to begin issuing CDLs in
drivers convicted of disqualifying of- the State.
fenses in commercial motor vehicles. (g) State’s right to judicial review. Any
(3) The State does not transmit con- State aggrieved by an adverse decision
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victions for out of State drivers to the under this section may seek judicial
State where the driver is licensed. review under 5 U.S.C. Chapter 7.

224

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Federal Motor Carrier Safety Administration, DOT Pt. 385

(h) Validity of previously issued CDLs. 385.119 Applicability of safety fitness and
A CDL issued by a State prior to the enforcement procedures.
date the State is prohibited from
issuing CDLs in accordance with provi- Subpart C—Certification of Safety Auditors,
sions of paragraph (a) of this section, Safety Investigators, and Safety Inspectors
will remain valid until its stated expi- 385.201 Who is qualified to perform a review
ration date. of a motor carrier?
[67 FR 49763, July 31, 2002] 385.203 What are the requirements to obtain
and maintain certification?
§ 384.407 Emergency CDL grants. 385.205 How can a person who has lost his or
her certification be re-certified?
The FMCSA may provide grants of up
to $1,000,000 per State from funds made Subpart D—New Entrant Safety Assurance
available under 49 U.S.C. 31107(a), to as- Program
sist States whose CDL programs may
fail to meet the compliance require- 385.301 What is a motor carrier required to
do before beginning interstate oper-
ments of subpart B of this part, but
ations?
which are determined by the FMCSA to 385.303 How does a motor carrier register
be making a good faith effort to com- with the FMCSA?
ply with these requirements. 385.305 What happens after the FMCSA re-
[67 FR 49764, July 31, 2002] ceives a request for new entrant registra-
tion?
385.307 What happens after a motor carrier
PART 385—SAFETY FITNESS begins operations as a new entrant?
PROCEDURES 385.309 What is the purpose of the safety
audit?
Subpart A—General 385.311 What will the safety audit consist
of?
Sec. 385.313 Who will conduct the safety audit?
385.1 Purpose and scope. 385.315 Where will the safety audit be con-
385.3 Definitions and acronyms. ducted?
385.4 Matter incorporated by reference. 385.317 Will a safety audit result in a safety
385.5 Safety fitness standard. fitness determination by the FMCSA?
385.7 Factors to be considered in deter- 385.319 What happens after the completion
mining a safety rating. of the safety audit?
385.9 Determination of a safety rating.
385.321 What failures of safety management
385.11 Notification of safety fitness deter-
practices disclosed by the safety audit
mination.
will result in a notice to a new entrant
385.13 Unsatisfactory rated motor carriers;
that its DOT new entrant registration
prohibition on transportation; ineligi-
will be revoked?
bility for Federal contracts.
385.323 May the FMCSA extend the period
385.14 Motor carriers, brokers, and freight
under § 385.319(c) for a new entrant to
forwarders delinquent in paying civil
take corrective action to remedy its
penalties: prohibition on transportation.
safety management practices?
385.15 Administrative review.
385.17 Change to safety rating based upon 385.325 What happens after a new entrant
corrective actions. has been notified under 385.319(c) to take
385.19 Safety fitness information. corrective action to remedy its safety
management practices?
Subpart B—Safety Monitoring System for 385.327 What happens when a new entrant
receives a notice under § 385.319(c) that
Mexico-Domiciled Carriers
its new entrant registration will be re-
385.101 Definitons. voked and it believes the FMCSA made
385.103 Safety monitoring system. an error in its determination?
385.105 Expedited action. 385.329 May a new entrant that has had its
385.107 The safety audit. U.S. DOT registration revoked and its
385.109 The compliance review. operations placed out of service (OOS) re-
385.111 Suspension and revocation of Mex- apply?
ico-domiciled carrier registration. 385.331 What happens if a new entrant oper-
385.113 Administrative review. ates a CMV after having been issued an
385.115 Reapplying for provisional registra- order placing its interstate operations
tion. out of service (OOS)?
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385.117 Duration of safety monitoring sys- 385.333 What happens at the end of the 18-
tem. month safety monitoring period?

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§ 385.1 49 CFR Ch. III (10–1–07 Edition)
385.335 If the FMCSA conducts a compliance riers receiving a safety rating of ‘‘un-
review on a new entrant, will the new en- satisfactory’’ from operating a CMV.
trant also be subject to a safety audit? (b) This part establishes the safety
385.337 What happens if a new entrant re-
fuses to permit a safety audit to be per-
assurance program for a new entrant
formed on its operations? motor carrier initially seeking to reg-
ister with FMCSA to conduct inter-
Subpart E—Hazardous Materials Safety state operations. It also describes the
Permits consequences that will occur if the new
entrant fails to maintain adequate
385.401 What is the purpose and scope of this
basic safety management controls.
subpart?
385.402 What definitions are used in this (c) This part establishes the safety
subpart? permit program for a motor carrier to
385.403 Who must hold a safety permit? transport the types and quantities of
385.405 How does a motor carrier apply for a hazardous materials listed in § 385.403.
safety permit? (d) The provisions of this part apply
385.407 What conditions must a motor car- to all motor carriers subject to the re-
rier satisfy for FMCSA to issue a safety
quirements of this subchapter, except
permit?
385.409 When may a temporary safety per- non-business private motor carriers of
mit be issued to a motor carrier? passengers.
385.411 Must a motor carrier obtain a safety [65 FR 50934, Aug. 22, 2000, as amended at 67
permit if it has a State permit? FR 31982, May 13, 2002; 69 FR 39366, June 30,
385.413 What happens if a motor carrier re- 2004]
ceives a proposed safety rating that is
less than Satisfactory? § 385.3 Definitions and acronyms.
385.415 What operational requirements
apply to the transportation of a haz- Applicable safety regulations or require-
ardous material for which a permit is re- ments means 49 CFR chapter III, sub-
quired? chapter B—Federal Motor Carrier Safe-
385.417 Is a motor carrier’s safety permit ty Regulations or, if the carrier is an
number available to others?
385.419 How long is a safety permit effec-
intrastate motor carrier subject to the
tive? hazardous materials safety permit re-
385.421 Under what circumstances will a quirements in subpart E of this part,
safety permit be subject to revocation or the equivalent State standards; and 49
suspension by FMCSA? CFR chapter I, subchapter C—Haz-
385.423 Does a motor carrier have a right to ardous Materials Regulations.
an administrative review of a denial, sus- CMV means a commercial motor ve-
pension, or revocation of a safety per-
hicle as defined in § 390.5 of this sub-
mit?
chapter.
APPENDIX A TO PART 385—EXPLANATION OF
Commercial motor vehicle shall have
SAFETY AUDIT EVALUATION CRITERIA
APPENDIX B TO PART 385—EXPLANATION OF the same meaning as described in § 390.5
SAFETY RATING PROCESS of this subchapter, except that this def-
inition will also apply to intrastate
AUTHORITY: 49 U.S.C. 113, 504, 521(b), 5105(e),
5109, 5113, 13901–13905, 31136, 31144, 31148, and
motor vehicles subject to the haz-
31502; Sec. 350 of Pub. L. 107–87; and 49 CFR ardous materials safety permit require-
1.73. ments of subpart E of this part.
FMCSA means the Federal Motor
SOURCE: 53 FR 50968, Dec. 19, 1988, unless
otherwise noted.
Carrier Safety Administration.
FMCSRs mean Federal Motor Carrier
EDITORIAL NOTE: Nomenclature changes to Safety Regulations (49 CFR parts 350–
part 385 appear at 66 FR 49872, Oct. 1, 2001. 399).
HMRs means the Hazardous Mate-
Subpart A—General rials Regulations (49 CFR parts 100–
178).
§ 385.1 Purpose and scope. Motor carrier operations in commerce
(a) This part establishes the means commercial motor vehicle
FMCSA’s procedures to determine the transportation operations either—
safety fitness of motor carriers, to as- (1) In interstate commerce, or
sign safety ratings, to direct motor (2) Affecting interstate commerce.
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carriers to take remedial action when New entrant is a motor carrier not
required, and to prohibit motor car- domiciled in Mexico that applies for a

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Federal Motor Carrier Safety Administration, DOT § 385.4

United States Department of Transpor- regulations which ensure the safe


tation (DOT) identification number in movement of products and passengers
order to initiate operations in inter- through the transportation system,
state commerce. and to reduce the risk of highway acci-
New entrant registration is the reg- dents and hazardous materials inci-
istration (US DOT number) granted a dents resulting in fatalities, injuries,
new entrant before it can begin inter- and property damage.
state operations in an 18-month moni- RSPA means the Research and Spe-
toring period. A safety audit must be cial Programs Administration.
performed on a new entrant’s oper- Safety ratings: (1) Satisfactory safety
ations within 18 months after receipt of rating means that a motor carrier has
its US DOT number and it must be in place and functioning adequate safe-
found to have adequate basic safety ty management controls to meet the
management controls to continue oper- safety fitness standard prescribed in
ating in interstate commerce at the § 385.5. Safety management controls are
end of the 18-month period. adequate if they are appropriate for the
Preventable accident on the part of a size and type of operation of the par-
motor carrier means an accident (1) ticular motor carrier.
that involved a commercial motor ve- (2) Conditional safety rating means a
hicle, and (2) that could have been motor carrier does not have adequate
averted but for an act, or failure to act, safety management controls in place to
by the motor carrier or the driver. ensure compliance with the safety fit-
Reviews. For the purposes of this ness standard that could result in oc-
part: currences listed in § 385.5 (a) through
(1) Compliance review means an on- (k).
site examination of motor carrier oper- (3) Unsatisfactory safety rating means
ations, such as drivers’ hours of serv- a motor carrier does not have adequate
ice, maintenance and inspection, driver safety management controls in place to
qualification, commercial drivers li- ensure compliance with the safety fit-
cense requirements, financial responsi- ness standard which has resulted in oc-
bility, accidents, hazardous materials, currences listed in § 385.5 (a) through
and other safety and transportation (k).
records to determine whether a motor (4) Unrated carrier means that a safe-
carrier meets the safety fitness stand- ty rating has not been assigned to the
ard. A compliance review may be con- motor carrier by the FMCSA.
ducted in response to a request to [53 FR 50968, Dec. 19, 1988, as amended at 56
change a safety rating, to investigate FR 40805, Aug. 16, 1991; 62 FR 60042, Nov. 6,
potential violations of safety regula- 1997; 67 FR 12779, Mar. 19, 2002; 67 FR 31983,
tions by motor carriers, or to inves- May 13, 2002; 69 FR 39367, June 30, 2004; 72 FR
tigate complaints or other evidence of 36788, July 5, 2007]
safety violations. The compliance re-
view may result in the initiation of an § 385.4 Matter incorporated by ref-
enforcement action. erence.
(2) Safety Audit means an examina- (a) Incorporation by reference. Part 385
tion of a motor carrier’s operations to includes references to certain matter
provide educational and technical as- or materials, as listed in paragraph (b)
sistance on safety and the operational of this section. The text of the mate-
requirements of the FMCSRs and appli- rials is not included in the regulations
cable HMRs and to gather critical safe- contained in part 385. The materials
ty data needed to make an assessment are hereby made a part of the regula-
of the carrier’s safety performance and tions in part 385. The Director of the
basic safety management controls. Federal Register has approved the ma-
Safety audits do not result in safety terials incorporated by reference in ac-
ratings. cordance with 5 U.S.C. 552(a) and 1 CFR
(3) Safety management controls means part 51. For materials subject to
the systems, policies programs, prac- change, only the specific version in the
tices, and procedures used by a motor regulation is incorporated. Material is
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carrier to ensure compliance with ap- incorporated as it exists on the date of


plicable safety and hazardous materials the approval and a notice of any

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§ 385.5 49 CFR Ch. III (10–1–07 Edition)

changes in these materials will be pub- (c) The use of unqualified drivers
lished in the FEDERAL REGISTER. (part 391),
(b) Matter or materials referenced in (d) Improper use and driving of motor
part 385. The matter or materials in vehicles (part 392),
this paragraph are incorporated by ref- (e) Unsafe vehicles operating on the
erence in the corresponding sections highways (part 393),
noted. (f) Failure to maintain accident reg-
(1) ‘‘North American Standard Out- isters and copies of accident reports
of-Service Criteria and Level VI In- (part 390),
spection Procedures and Out-of-Service (g) The use of fatigued drivers (part
Criteria for Commercial Highway Vehi- 395),
cles Transporting Transuranics and (h) Inadequate inspection, repair, and
Highway Route Controlled Quantities maintenance of vehicles (part 396),
of Radioactive Materials as defined in (i) Transportation of hazardous mate-
49 CFR Part 173.403,’’ January 1, 2004. rials, driving and parking rule viola-
Information and copies may be ob- tions (part 397),
tained from the Commercial Vehicle (j) Violation of hazardous materials
Safety Alliance, 1101 17th Street, NW, regulations (parts 170 through 177), and
Suite 803, Washington, DC 20036. Phone (k) Motor vehicle accidents and haz-
number (202) 775–1623. ardous materials incidents.
(2) All of the materials incorporated [53 FR 50968, Dec. 19, 1988, as amended at 58
by reference are available for inspec- FR 33776, June 21, 1993; 69 FR 39367, June 30,
tion at: Federal Motor Carrier Safety 2004]
Administration, Office of Enforcement
and Compliance (MC–EC), 1200 New Jer- § 385.7 Factors to be considered in de-
termining a safety rating.
sey Ave., SE., Washington, DC 20590–
0001; and the National Archives and The factors to be considered in deter-
Records Administration (NARA). For mining the safety fitness and assigning
information on the availability of this a safety rating include information
material at NARA, call (202) 741–6030, from safety reviews, compliance re-
or go to: http://www.archives.gov/ views and any other data. The factors
federallregister/ may include all or some of the fol-
codeloflfederallregulations/ lowing:
ibrllocations.html. (a) Adequacy of safety management
controls. The adequacy of controls may
[69 FR 39367, June 30, 2004, as amended at 72 be questioned if their degree of for-
FR 55700, Oct. 1, 2007]
malization, automation, etc., is found
§ 385.5 Safety fitness standard. to be substantially below the norm for
similar carriers. Violations, accidents
The Satisfactory safety rating is or incidents substantially above the
based on the degree of compliance with norm for similar carriers will be strong
the safety fitness standard for motor evidence that management controls
carriers. For intrastate motor carriers are either inadequate or not func-
subject to the hazardous materials tioning properly.
safety permit requirements of subpart (b) Frequency and severity of regu-
E of this part, the motor carrier must latory violations.
meet the equivalent State require- (c) Frequency and severity of driver/
ments. To meet the safety fitness vehicle regulatory violations identified
standard, the motor carrier must dem- during roadside inspections of motor
onstrate it has adequate safety man- carrier operations in commerce and, if
agement controls in place, which func- the motor carrier operates in the
tion effectively to ensure acceptable United States, of operations in Canada
compliance with applicable safety re- and Mexico.
quirements to reduce the risk associ- (d) Number and frequency of out-of-
ated with: service driver/vehicle violations of
(a) Commercial driver’s license motor carrier operations in commerce
standard violations (part 383), and, if the motor carrier operates in
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(b) Inadequate levels of financial re- the United States, of operations in


sponsibility (part 387), Canada and Mexico.

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Federal Motor Carrier Safety Administration, DOT § 385.13

(e) Increase or decrease in similar (b) If the safety rating is ‘‘satisfac-


types of regulatory violations discov- tory’’ or improves a previous ‘‘unsatis-
ered during safety or compliance re- factory’’ safety rating, it is final and
views. becomes effective on the date of the
(f) For motor carrier operations in notice.
commerce and (if the motor carrier op- (c) In all other cases, a notice of a
erates in the United States) in Canada proposed safety rating will be issued. It
and Mexico: Frequency of accidents; becomes the final safety rating after
hazardous materials incidents; acci- the following time periods:
dent rate per million miles; indicators (1) For motor carriers transporting
of preventable accidents; and whether hazardous materials in quantities re-
such accidents, hazardous materials in- quiring placarding or transporting pas-
cidents, and preventable accident indi- sengers by CMV—45 days after the date
cators have increased or declined over of the notice.
time. (2) For all other motor carriers oper-
(g) Number and severity of violations ating CMVs—60 days after the date of
of CMV and motor carrier safety rules, the notice.
regulations, standards, and orders that (d) A proposed safety rating of ‘‘un-
are both issued by a State, Canada, or satisfactory’’ is a notice to the motor
Mexico and compatible with Federal carrier that the FMCSA has made a
rules, regulations, standards, and or- preliminary determination that the
ders. motor carrier is ‘‘unfit’’ to continue
operating in interstate commerce, and
[53 FR 50968, Dec. 19, 1988, as amended at 58 that the prohibitions in § 385.13 will be
FR 33776, June 21, 1993; 72 FR 36788, July 5,
imposed after 45 or 60 days if necessary
2007]
safety improvements are not made.
§ 385.9 Determination of a safety rat- (e) A motor carrier may request the
ing. FMCSA to perform an administrative
review of a proposed or final safety rat-
(a) Following a compliance review of
ing. The process and the time limits
a motor carrier operation, the FMCSA,
are described in § 385.15.
using the factors prescribed in § 385.7 as
(f) A motor carrier may request a
computed under the Safety Fitness
change to a proposed or final safety
Rating Methodology set forth in appen-
rating based upon its corrective ac-
dix B of this part, shall determine
tions. The process and the time limits
whether the present operations of the
are described in § 385.17.
motor carrier are consistent with the
safety fitness standard set forth in [65 FR 50934, Aug. 22, 2000]
§ 385.5, and assign a safety rating ac-
cordingly. § 385.13 Unsatisfactory rated motor
carriers; prohibition on transpor-
(b) Unless otherwise specifically pro- tation; ineligibility for Federal con-
vided in this part, a safety rating will tracts.
be issued to a motor carrier within 30
days following the completion of a (a) Generally, a motor carrier rated
compliance review. ‘‘unsatisfactory’’ is prohibited from op-
erating a CMV. Information on motor
[62 FR 60042, Nov. 6, 1997] carriers, including their most current
safety rating, is available from the
§ 385.11 Notification of safety fitness FMCSA on the Internet at http://
determination. www.safersys.org, or by telephone at
(a) The FMCSA will provide a motor (800) 832–5660.
carrier written notice of any safety (1) Motor carriers transporting haz-
rating resulting from a compliance re- ardous materials in quantities requir-
view as soon as practicable, but not ing placarding, and motor carriers
later than 30 days after the review. The transporting passengers in a CMV, are
notice will take the form of a letter prohibited from operating a CMV in
issued from the FMCSA’s headquarters motor carrier operations in commerce
office and will include a list of FMCSR beginning on the 46th day after the
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and HMR compliance deficiencies date of the FMCSA notice of proposed


which the motor carrier must correct. ‘‘unsatisfactory’’ rating.

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§ 385.14 49 CFR Ch. III (10–1–07 Edition)

(2) All other motor carriers rated as U.S.C. 521(b) and Appendix B to part 386
a result of reviews completed on or of the FMCSRs.
after November 20, 2000, are prohibited [65 FR 50934, Aug. 22, 2000, as amended at 72
from operating a CMV in motor carrier FR 36788, July 5, 2007; 72 FR 55700, Oct. 1,
operations in commerce beginning on 2007]
the 61st day after the date of the
FMCSA notice of proposed ‘‘unsatis- § 385.14 Motor carriers, brokers, and
freight forwarders delinquent in
factory’’ rating. If FMCSA determines paying civil penalties: prohibition
that the motor carrier is making a on transportation.
good-faith effort to improve its safety
(a) A CMV owner or operator that has
fitness, FMCSA may allow the motor failed to pay civil penalties imposed by
carrier to operate for up to 60 addi- the FMCSA, or has failed to abide by a
tional days. payment plan, may be prohibited from
(b) A Federal agency must not use a operating CMVs in interstate com-
motor carrier that holds an ‘‘unsatis- merce under 49 CFR 386.83.
factory’’ rating to transport passengers (b) A broker, freight forwarder, or
in a CMV or to transport hazardous for-hire motor carrier that has failed
materials in quantities requiring to pay civil penalties imposed by the
placarding. FMCSA, or has failed to abide by a
(c) A Federal agency must not use a payment plan, may be prohibited from
motor carrier for other CMV transpor- operating in interstate commerce, and
tation if that carrier holds an ‘‘unsat- its registration may be suspended
isfactory’’ rating which became effec- under the provisions of 49 CFR 386.84.
tive on or after January 22, 2001. [65 FR 78427, Dec. 15, 2000]
(d) Penalties. (1) If a proposed ‘‘unsat-
isfactory’’ safety rating becomes final, § 385.15 Administrative review.
FMCSA will issue an order placing out (a) A motor carrier may request the
of service the motor carrier’s oper- FMCSA to conduct an administrative
ations in commerce. The out-of-service review if it believes the FMCSA has
order shall apply both to the motor committed an error in assigning its
carrier’s operations in interstate com- proposed safety rating in accordance
merce and to its operations affecting with § 385.15(c) or its final safety rating
interstate commerce. in accordance with § 385.11(b).
(b) The motor carrier’s request must
(2) If a motor carrier’s intrastate op-
explain the error it believes the
erations are declared out of service by FMCSA committed in issuing the safe-
a State, FMCSA must issue an order ty rating. The motor carrier must in-
placing out of service the carrier’s op- clude a list of all factual and proce-
erations in interstate commerce. The dural issues in dispute, and any infor-
following conditions apply: mation or documents that support its
(i) The State that issued the intra- argument.
state out-of-service order participates (c) The motor carrier must submit its
in the Motor Carrier Safety Assistance request in writing to the Chief Safety
Program and uses the FMCSA safety Officer, Federal Motor Carrier Safety
rating methodology provided in this Administration, 1200 New Jersey Ave.,
part; and SE., Washington, DC 20590–0001.
(ii) The motor carrier has its prin- (1) If a motor carrier has received a
cipal place of business in the State notice of a proposed ‘‘unsatisfactory’’
that issued the out-of-service order. safety rating, it should submit its re-
quest within 15 days from the date of
(iii) The order prohibiting the motor
the notice. This time frame will allow
carrier from operating a CMV in inter-
the FMCSA to issue a written decision
state commerce shall remain in effect
before the prohibitions outlined in
until the State determines that the § 385.13 (a)(1) and (2) take effect. Failure
carrier is fit. to petition within this 15-day period
(3) Any motor carrier that operates may prevent the FMCSA from issuing a
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CMVs in violation of this section is final decision before such prohibitions


subject to the penalty provisions of 49 take effect.

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Federal Motor Carrier Safety Administration, DOT § 385.17

(2) A motor carrier must make a re- tions taken, and other documentation
quest for an administrative review the carrier wishes the FMCSA to con-
within 90 days of the date of the pro- sider.
posed safety rating issued under § 385.11 (d) The FMCSA will make a final de-
(c) or a final safety rating issued under termination on the request for change
§ 385.11 (b), or within 90 days after de- based upon the documentation the
nial of a request for a change in rating motor carrier submits, and any addi-
under § 385.17(i). tional relevant information.
(d) The FMCSA may ask the motor (e) The FMCSA will perform reviews
carrier to submit additional data and of requests made by motor carriers
attend a conference to discuss the safe- with a proposed or final ‘‘unsatisfac-
ty rating. If the motor carrier does not tory’’ safety rating in the following
provide the information requested, or time periods after the motor carrier’s
does not attend the conference, the request:
FMCSA may dismiss its request for re-
(1) Within 30 days for motor carriers
view.
transporting passengers in CMVs or
(e) The FMCSA will notify the motor
placardable quantities of hazardous
carrier in writing of its decision fol-
materials.
lowing the administrative review. The
FMCSA will complete its review: (2) Within 45 days for all other motor
(1) Within 30 days after receiving a carriers.
request from a hazardous materials or (f) The filing of a request for change
passenger motor carrier that has re- to a proposed or final safety rating
ceived a proposed or final ‘‘unsatisfac- under this section does not stay the 45-
tory’’ safety rating. day period specified in § 385.13(a)(1) for
(2) Within 45 days after receiving a motor carriers transporting passengers
request from any other motor carrier or hazardous materials. If the motor
that has received a proposed or final carrier has submitted evidence that
‘‘unsatisfactory’’ safety rating. corrective actions have been taken pur-
(f) The decision constitutes final suant to this section and the FMCSA
agency action. cannot make a final determination
(g) Any motor carrier may request a within the 45-day period, the period be-
rating change under the provisions of fore the proposed safety rating be-
§ 385.17. comes final may be extended for up to
[65 FR 50935, Aug. 22, 2000, as amended at 72
10 days at the discretion of the
FR 55701, Oct. 1, 2007] FMCSA.
(g) FMCSA may allow a motor car-
§ 385.17 Change to safety rating based rier (except a motor carrier trans-
upon corrective actions. porting passengers or a motor carrier
(a) A motor carrier that has taken transporting hazardous materials in
action to correct the deficiencies that quantities requiring placarding) with a
resulted in a proposed or final rating of proposed rating of ‘‘unsatisfactory’’ to
‘‘conditional’’ or ‘‘unsatisfactory’’ may continue its motor carrier operations
request a rating change at any time. in commerce for up to 60 days beyond
(b) A motor carrier must make this the 60 days specified in the proposed
request in writing to the FMCSA Serv- rating, if FMCSA determines that the
ice Center for the geographic area motor carrier is making a good faith
where the carrier maintains its prin- effort to improve its safety status. This
cipal place of business. The addresses additional period would begin on the
and geographical boundaries of the 61st day after the date of the notice of
Service Centers are listed in § 390.27 of proposed ‘‘unsatisfactory’’ rating.
this chapter. (h) If the FMCSA determines that the
(c) The motor carrier must base its motor carrier has taken the corrective
request upon evidence that it has actions required and that its oper-
taken corrective actions and that its ations currently meet the safety stand-
operations currently meet the safety ard and factors specified in §§ 385.5 and
standard and factors specified in §§ 385.5 385.7, the agency will notify the motor
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and 385.7. The request must include a carrier in writing of its upgraded safe-
written description of corrective ac- ty rating.

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§ 385.19 49 CFR Ch. III (10–1–07 Edition)

(i) If the FMCSA determines that the § 385.101 Definitions


motor carrier has not taken all the
Compliance Review means a compli-
corrective actions required, or that its
ance review as defined in § 385.3 of this
operations still fail to meet the safety
part.
standard and factors specified in §§ 385.5
Provisional certificate of registration
and 385.7, the agency will notify the
means the registration under § 368.6 of
motor carrier in writing.
this subchapter that the FMCSA
(j) Any motor carrier whose request
grants to a Mexico-domiciled motor
for change is denied in accordance with
carrier to provide interstate transpor-
paragraph (i) of this section may re-
tation of property within the United
quest administrative review under the
States solely within the municipalities
procedures of § 385.15. The motor car-
along the United States-Mexico border
rier must make the request within 90
and the commercial zones of such mu-
days of the denial of the request for a
nicipalities. It is provisional because it
rating change. If the proposed rating
will be revoked if the registrant does
has become final, it shall remain in ef-
not demonstrate that it is exercising
fect during the period of any adminis-
basic safety management controls dur-
trative review.
ing the safety monitoring period estab-
[65 FR 50935, Aug. 22, 2000, as amended at 72 lished in this subpart.
FR 36788, July 5, 2007] Provisional operating authority means
the registration under § 365.507 of this
§ 385.19 Safety fitness information. subchapter that the FMCSA grants to a
(a) Final ratings will be made avail- Mexico-domiciled motor carrier to pro-
able to other Federal and State agen- vide interstate transportation within
cies in writing, telephonically or by re- the United States beyond the munici-
mote computer access. palities along the United States-Mex-
(b) The final safety rating assigned to ico border and the commercial zones of
a motor carrier will be made available such municipalities. It is provisional
to the public upon request. Any person because it will be revoked if the reg-
requesting the assigned rating of a istrant is not assigned a Satisfactory
motor carrier shall provide the FMCSA safety rating following a compliance
with the motor carrier’s name, prin- review conducted during the safety
cipal office address, and, if known, the monitoring period established in this
USDOT number or the ICCMC docket subpart.
number, if any. Safety audit means an examination of
(c) Requests should be addressed to a motor carrier’s operations to provide
the Federal Motor Carrier Safety Ad- educational and technical assistance
ministration, Office of Information on safety and the operational require-
Technology (MC–RI), 1200 New Jersey ments of the FMCSRs and applicable
Ave., SE., Washington, DC 20590–0001. HMRs and to gather critical safety
The information can also be found at data needed to make an assessment of
the SAFER website: http:// the carrier’s safety performance and
www.safersys.org. basic safety management controls.
(d) Oral requests by telephone to (800) Safety audits do not result in safety
832–5660 will be given an oral response. ratings.
[62 FR 60043, Nov. 6, 1997, as amended at 66 § 385.103 Safety monitoring system.
FR 49872, Oct. 1, 2001; 72 FR 55701, Oct. 1, 2007]
(a) General. Each Mexico-domiciled
carrier operating in the United States
Subpart B—Safety Monitoring Sys- will be subject to an oversight program
tem for Mexico-Domiciled to monitor its compliance with appli-
Carriers cable Federal Motor Carrier Safety
Regulations (FMCSRs), Federal Motor
SOURCE: 67 FR 12771, Mar. 19, 2002, unless Vehicle Safety Standards (FMVSSs),
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otherwise noted. and Hazardous Materials Regulations


(HMRs).

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Federal Motor Carrier Safety Administration, DOT § 385.107

(b) Roadside monitoring. Each Mexico- (iii) Any quantity of a poison inhala-
domiciled carrier that receives provi- tion hazard Zone A or B material as de-
sional operating authority or a provi- fined in §§ 173.115, 173.132, or 173.133 of
sional Certificate of Registration will this title.
be subject to intensified monitoring (4) Involvement in, due to carrier act
through frequent roadside inspections. or omission, two or more hazardous
(c) CVSA decal. Each Mexico-domi- material incidents occurring within
ciled carrier granted provisional oper- the United States and involving any
ating authority under part 365 of this hazardous material not listed in para-
subchapter must have on every com- graph (a)(3) of this section and defined
mercial motor vehicle it operates in in chapter I of this title.
the United States a current decal at- (5) Using a driver who tests positive
testing to a satisfactory inspection by for controlled substances or alcohol or
a Commercial Vehicle Safety Alliance who refuses to submit to required con-
(CVSA) inspector. trolled substances or alcohol tests.
(d) Safety audit. The FMCSA will con- (6) Operating within the United
duct a safety audit on a Mexico-domi- States a motor vehicle that is not in-
ciled carrier within 18 months after the sured as required by part 387 of this
FMCSA issues the carrier a provisional chapter.
Certificate of Registration under part
(7) Having a driver or vehicle out-of-
368 of this subchapter.
service rate of 50 percent or more based
(e) Compliance review. The FMCSA
upon at least three inspections occur-
will conduct a compliance review on a
ring within a consecutive 90-day pe-
Mexico-domiciled carrier within 18
riod.
months after the FMCSA issues the
carrier provisional operating authority (b) Failure to respond to an agency
under part 365 of this subchapter. demand for a written response dem-
onstrating corrective action within 30
§ 385.105 Expedited action. days will result in the suspension of
the carrier’s provisional operating au-
(a) A Mexico-domiciled motor carrier
thority or provisional Certificate of
committing any of the following viola-
Registration until the required show-
tions identified through roadside in-
ing of corrective action is submitted to
spections, or by any other means, may
the FMCSA.
be subjected to an expedited safety
audit or compliance review, or may be (c) A satisfactory response to a writ-
required to submit a written response ten demand for corrective action does
demonstrating corrective action: not excuse a carrier from the require-
(1) Using drivers not possessing, or ment that it undergo a safety audit or
operating without, a valid Licencia compliance review, as appropriate, dur-
Federal de Conductor. An invalid ing the provisional registration period.
Licencia Federal de Conductor includes § 385.107 The safety audit.
one that is falsified, revoked, expired,
or missing a required endorsement. (a) The criteria used in a safety audit
(2) Operating vehicles that have been to determine whether a Mexico-domi-
placed out of service for violations of ciled carrier exercises the necessary
the Commercial Vehicle Safety Alli- basic safety management controls are
ance (CVSA) North American Standard specified in Appendix A to this part.
Out-of-Service Criteria, without mak- (b) If the FMCSA determines, based
ing the required repairs. on the safety audit, that the Mexico-
(3) Involvement in, due to carrier act domiciled carrier has adequate basic
or omission, a hazardous materials in- safety management controls, the
cident within the United States involv- FMCSA will provide the carrier written
ing: notice of this finding as soon as prac-
(i) A highway route controlled quan- ticable, but not later than 45 days after
tity of a Class 7 (radioactive) material the completion of the safety audit. The
as defined in § 173.403 of this title; carrier’s Certificate of Registration
(ii) Any quantity of a Class 1, Divi- will remain provisional and the car-
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sion 1.1, 1.2, or 1.3 explosive as defined rier’s on-highway performance will
in § 173.50 of this title; or continue to be closely monitored for

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§ 385.109 49 CFR Ch. III (10–1–07 Edition)

the remainder of the 18-month provi- § 385.111 Suspension and revocation of


sional registration period. Mexico-domiciled carrier registra-
(c) If the FMCSA determines, based tion.
on the safety audit, that the Mexico- (a) If a carrier is assigned an ‘‘Unsat-
domiciled carrier’s basic safety man- isfactory’’ safety rating following a
agement controls are inadequate, it compliance review conducted under
will initiate a suspension and revoca- this subpart, or a safety audit con-
tion proceeding in accordance with ducted under this subpart determines
§ 385.111 of this subpart. that a carrier does not exercise the
(d) The safety audit is also used to basic safety management controls nec-
assess the basic safety management essary to ensure safe operations, the
controls of Mexico-domiciled appli- FMCSA will provide the carrier written
cants for provisional operating author- notice, as soon as practicable, that its
ity to operate beyond United States registration will be suspended effective
municipalities and commercial zones 15 days from the service date of the no-
on the United States-Mexico border tice unless the carrier demonstrates,
under § 365.507 of this subchapter. within 10 days of the service date of the
notice, that the compliance review or
§ 385.109 The compliance review. safety audit contains material error.
(b) For purposes of this section, ma-
(a) The criteria used in a compliance
terial error is a mistake or series of
review to determine whether a Mexico-
mistakes that resulted in an erroneous
domiciled carrier granted provisional
safety rating or an erroneous deter-
operating authority under § 365.507 of
mination that the carrier does not ex-
this subchapter exercises the necessary
ercise the necessary basic safety man-
basic safety management controls are agement controls.
specified in Appendix B to this part. (c) If the carrier demonstrates that
(b) Satisfactory Rating. If the FMCSA the compliance review or safety audit
assigns a Mexico-domiciled carrier a contained material error, its registra-
Satisfactory rating following a compli- tion will not be suspended. If the car-
ance review conducted under this sub- rier fails to show a material error in
part, the FMCSA will provide the car- the safety audit, the FMCSA will issue
rier written notice as soon as prac- an Order:
ticable, but not later than 45 days after (1) Suspending the carrier’s provi-
the completion of the compliance re- sional operating authority or provi-
view. The carrier’s operating authority sional Certificate of Registration and
will remain in provisional status and requiring it to immediately cease all
its on-highway performance will con- further operations in the United
tinue to be closely monitored for the States; and
remainder of the 18-month provisional (2) Notifying the carrier that its pro-
registration period. visional operating authority or provi-
(c) Conditional Rating. If the FMCSA sional Certificate of Registration will
assigns a Mexico-domiciled carrier a be revoked unless it presents evidence
Conditional rating following a compli- of necessary corrective action within 30
ance review conducted under this sub- days from the service date of the Order.
part, it will initiate a revocation pro- (d) If a carrier is assigned a ‘‘Condi-
ceeding in accordance with § 385.111 of tional’’ rating following a compliance
this subpart. The carrier’s provisional review conducted under this subpart,
operating authority will not be sus- the provisions of subparagraphs (a)
pended prior to the conclusion of the through (c) of this section will apply,
revocation proceeding. except that its provisional registration
(d) Unsatisfactory Rating. If the will not be suspended under paragraph
FMCSA assigns a Mexico-domiciled (c)(1) of this section.
carrier an Unsatisfactory rating fol- (e) If a carrier subject to this subpart
lowing a compliance review conducted fails to provide the necessary docu-
under this subpart, it will initiate a ments for a safety audit or compliance
suspension and revocation proceeding review upon reasonable request, or fails
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in accordance with § 385.111 of this sub- to submit evidence of the necessary


part. corrective action as required by

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Federal Motor Carrier Safety Administration, DOT § 385.115

§ 385.105 of this subpart, the FMCSA subpart is also subject to the suspen-
will provide the carrier with written sion and revocation provisions of 49
notice, as soon as practicable, that its U.S.C. 13905 for repeated violations of
registration will be suspended 15 days DOT regulations governing its motor
from the service date of the notice un- carrier operations.
less it provides all necessary docu-
ments or information. This suspension § 385.113 Administrative review.
will remain in effect until the nec- (a) A Mexico-domiciled motor carrier
essary documents or information are may request the FMCSA to conduct an
produced and: administrative review if it believes the
(1) A safety audit determines that FMCSA has committed an error in as-
the carrier exercises basic safety man- signing a safety rating or suspending
agement controls necessary for safe op- or revoking the carrier’s provisional
erations; operating authority or provisional Cer-
(2) The carrier is rated Satisfactory tificate of Registration under this sub-
or Conditional after a compliance re- part.
view; or (b) The carrier must submit its re-
(3) The FMCSA determines, following quest in writing, in English, to the As-
review of the carrier’s response to a de- sociate Administrator for Enforcement
mand for corrective action under and Program Delivery (MC–E), Federal
§ 385.105, that the carrier has taken the Motor Carrier Safety Administration,
necessary corrective action. 1200 New Jersey Ave., SE., Washington,
(f) If a carrier commits any of the DC 20590–0001.
violations specified in § 385.105(a) of (c) The carrier’s request must explain
this subpart after the removal of a sus- the error it believes the FMCSA com-
pension issued under this section, the mitted in assigning the safety rating or
suspension will be automatically rein- suspending or revoking the carrier’s
stated. The FMCSA will issue an Order provisional operating authority or pro-
requiring the carrier to cease further visional Certificate of Registration and
operations in the United States and include any information or documents
demonstrate, within 15 days from the that support its argument.
service date of the Order, that it did (d) The FMCSA will complete its ad-
not commit the alleged violation(s). If ministrative review no later than 10
the carrier fails to demonstrate that it days after the carrier submits its re-
did not commit the violation(s), the quest for review. The Associate Admin-
FMCSA will issue an Order revoking istrator’s decision will constitute the
its provisional operating authority or final agency action.
provisional Certificate of Registration. [67 FR 12771, Mar. 19, 2002, as amended at 72
(g) If the FMCSA receives credible FR 55701, Oct. 1, 2007]
evidence that a carrier has operated in
violation of a suspension order issued § 385.115 Reapplying for provisional
under this section, it will issue an registration.
Order requiring the carrier to show (a) A Mexico-domiciled motor carrier
cause, within 10 days of the service whose provisional operating authority
date of the Order, why its provisional or provisional Certificate of Registra-
operating authority or provisional Cer- tion has been revoked may reapply
tificate of Registration should not be under part 365 or 368 of this subchapter,
revoked. If the carrier fails to make as appropriate, no sooner than 30 days
the necessary showing, the FMCSA will after the date of revocation.
revoke its registration. (b) The Mexico-domiciled motor car-
(h) If a Mexico-domiciled motor car- rier will be required to initiate the ap-
rier operates a commercial motor vehi- plication process from the beginning.
cle in violation of a suspension or out- The carrier will be required to dem-
of-service order, it is subject to the onstrate how it has corrected the defi-
penalty provisions in 49 U.S.C. ciencies that resulted in revocation of
521(b)(2)(A), not to exceed $10,000 for its registration and how it will ensure
each offense. that it will have adequate basic safety
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(i) Notwithstanding any provision of management controls. It will also have


this subpart, a carrier subject to this to undergo a pre-authorization safety

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§ 385.117 49 CFR Ch. III (10–1–07 Edition)

audit if it applies for provisional oper- dures applicable to all carriers regu-
ating authority under part 365 of this lated by the FMCSA.
subchapter.
Subpart C—Certification of Safety
§ 385.117 Duration of safety moni-
toring system. Auditors, Safety Investigators,
and Safety Inspectors
(a) Each Mexico-domiciled carrier
subject to this subpart will remain in
SOURCE: 67 FR 12779, Mar. 19, 2002, unless
the safety monitoring system for at
otherwise noted.
least 18 months from the date FMCSA
issues its provisional Certificate of § 385.201 Who is qualified to perform a
Registration or provisional operating review of a motor carrier?
authority, except as provided in para- (a) An FMCSA employee, or a State
graphs (c) and (d) of this section. or local government employee funded
(b) If, at the end of this 18-month pe- through MCSAP, who was qualified to
riod, the carrier’s most recent safety perform a compliance review before
audit or safety rating was Satisfactory June 17, 2002, may perform a compli-
and no additional enforcement or safe- ance review, safety audit or roadside
ty improvement actions are pending inspection if he or she complies with
under this subpart, the Mexico-domi- § 385.203(b).
ciled carrier’s provisional operating (b) A person who was not qualified to
authority or provisional Certificate of perform a compliance review before
Registration will become permanent. June 17, 2002, may perform a compli-
(c) If, at the end of this 18-month pe- ance review, safety audit or roadside
riod, the FMCSA has not been able to inspection after complying with the re-
conduct a safety audit or compliance quirements of § 385.203(a).
review, the carrier will remain in the
safety monitoring system until a safe- § 385.203 What are the requirements to
ty audit or compliance review is con- obtain and maintain certification?
ducted. If the results of the safety (a) After June 17, 2002, a person who
audit or compliance review are satis- is not qualified under § 385.201(a) may
factory, the carrier’s provisional oper- not perform a compliance review, safe-
ating authority or provisional Certifi- ty audit, or roadside inspection unless
cate of Registration will become per- he or she has been certified by FMCSA
manent. or a State or local agency applying the
(d) If, at the end of this 18-month pe- FMCSA standards after successfully
riod, the carrier’s provisional operating completing classroom training and ex-
authority or provisional Certificate of aminations on the FMCSRs and HMRs
Registration is suspended under as described in detail on the FMCSA
§ 385.111(a) of this subpart, the carrier website (www.fmcsa.dot.gov). These em-
will remain in the safety monitoring ployees must also comply with the
system until the FMCSA either: maintenance of certification/qualifica-
(1) Determines that the carrier has tion requirements of paragraph (b) of
taken corrective action; or this section.
(2) Completes measures to revoke the (b) Maintenance of certification/quali-
carrier’s provisional operating author- fication. A person may not perform a
ity or provisional Certificate of Reg- compliance review, safety audit, or
istration under § 385.111(c) of this sub- roadside inspection unless he or she
part. meets the quality-control and periodic
re-training requirements adopted by
§ 385.119 Applicability of safety fitness the FMCSA to ensure the maintenance
and enforcement procedures. of high standards and familiarity with
At all times during which a Mexico- amendments to the FMCSRs and
domiciled motor carrier is subject to HMRs. These maintenance of certifi-
the safety monitoring system in this cation/qualification requirements are
subpart, it is also subject to the gen- described in detail on the FMCSA
eral safety fitness procedures estab- website (www.fmcsa.dot.gov).
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lished in subpart A of this part and to (c) The requirements of paragraphs


compliance and enforcement proce- (a) and (b) of this section for training,

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Federal Motor Carrier Safety Administration, DOT § 385.307

performance and maintenance of cer- application materials for a new entrant


tification/qualification, which are de- motor carrier.
scribed on the FMCSA website
[67 FR 31983, May 13, 2002, as amended at 72
(www.fmcsa.dot.gov), are also available FR 55701, Oct. 1, 2007]
in hard copy from the Federal Motor
Carrier Safety Administration, Profes- § 385.305 What happens after the
sional Development and Training Divi- FMCSA receives a request for new
sion (MC–MHT), 4600 N. Fairfax Drive, entrant registration?
Suite 700, Arlington, Virginia 22203. (a) The requester for new entrant
[67 FR 12779, Mar. 19, 2002, as amended at 72 registration will be directed to the
FR 55701, Oct. 1, 2007] FMCSA Internet website
(www.fmcsa.dot.gov) to secure and/or
§ 385.205 How can a person who has complete the application package on-
lost his or her certification be re- line.
certified?
(b) The application package will con-
He or she must successfully complete tain the following:
the requirements of § 385.203(a) and (b). (1) Educational and technical assist-
ance material regarding the require-
Subpart D—New Entrant Safety ments of the FMCSRs and HMRs, if ap-
Assurance Program plicable.
(2) The Form MCS–150, The Motor
SOURCE: 67 FR 31983, May 13, 2002, unless Carrier Identification Report.
otherwise noted. (3) The Form MCS–150A, The Safety
Certification for Applications for U.S.
§ 385.301 What is a motor carrier re- DOT Number.
quired to do before beginning inter- (4) Application forms to obtain oper-
state operations? ating authority under 49 CFR 365, as
(a) Before a motor carrier of property appropriate.
or passengers begins interstate oper- (c) Upon completion of the applica-
ations, it must register with the tion forms, the new entrant will be
FMCSA and receive a USDOT number. issued a USDOT number.
In addition, for-hire motor carriers (d) For-hire motor carriers, unless
must obtain operating authority from providing transportation exempt from
FMCSA following the registration pro- 49 CFR part 365 registration require-
cedures described in 49 CFR part 365, ments, must also comply with the pro-
unless providing transportation exempt cedures established in 49 CFR part 365
from 49 CFR part 365 registration re- to obtain operating authority before
quirements. operating in interstate commerce.
(b) This subpart applies to motor car-
riers domiciled in the United States § 385.307 What happens after a motor
and Canada. carrier begins operations as a new
(c) A Mexico-domiciled motor carrier entrant?
of property or passengers must register After a new entrant satisfies all ap-
with the FMCSA by following the reg- plicable pre-operational requirements,
istration procedures described in 49 it will be subject to the new entrant
CFR part 365 or 368, as appropriate. The safety monitoring procedures for a pe-
regulations in this subpart do not riod of 18 months. During this 18-month
apply to Mexico-domiciled carriers. period:
(a) The new entrant’s roadside safety
§ 385.303 How does a motor carrier performance will be closely monitored
register with the FMCSA? to ensure the new entrant has basic
A motor carrier may contact the safety management controls that are
FMCSA by internet operating effectively. An accident rate
(www.fmcsa.dot.gov); or Washington, DC or driver or vehicle violation rate that
headquarters by mail at, Federal Motor is higher than the industry average for
Carrier Safety Administration, 1200 similar motor carrier operations may
New Jersey Ave., SE., Washington, DC cause the FMCSA to conduct an expe-
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20590–0001; fax (703) 280–4003; or tele- dited safety audit or compliance review
phone 1–800–832–5660, and request the at any time.

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§ 385.309 49 CFR Ch. III (10–1–07 Edition)

(b) A safety audit will be conducted § 385.317 Will a safety audit result in a
on the new entrant, once it has been in safety fitness determination by the
operation for enough time to have suf- FMCSA?
ficient records to allow the agency to A safety audit will not result in a
evaluate the adequacy of its basic safe- safety fitness determination. Safety
ty management controls. This period fitness determinations follow comple-
will generally be at least 3 months. tion of a compliance review.
(c) All records and documents re-
quired for the safety audit shall be § 385.319 What happens after the com-
pletion of the safety audit?
made available for inspection upon re-
quest by an individual certified under (a) Upon the completion of the safety
FMCSA regulations to perform safety audit, the auditor will review the find-
audits. ings with the new entrant.
(b) If the FMCSA determines that the
§ 385.309 What is the purpose of the safety audit discloses that the new en-
safety audit? trant has adequate basic safety man-
agement controls, the FMCSA will pro-
The purpose of a safety audit is to:
vide the new entrant written notice as
(a) Provide educational and technical soon as practicable, but not later than
assistance to the new entrant; and 45 days after the completion of the
(b) Gather safety data needed to safety audit, that it has adequate basic
make an assessment of the new en- safety management controls. The new
trant’s safety performance and ade- entrant’s safety performance will con-
quacy of its basic safety management tinue to be closely monitored for the
controls. remainder of the 18-month period of
new entrant registration.
§ 385.311 What will the safety audit (c) If the FMCSA determines that the
consist of? findings of the safety audit disclose
The safety audit will consist of a re- that the new entrant’s basic safety
view of the new entrant’s safety man- management controls are inadequate,
agement systems and a sample of re- it will provide the new entrant written
quired records to assess compliance notice, as soon as practicable, but not
with the FMCSRs, applicable HMRs later than 45 days after the completion
and related record-keeping require- of the safety audit, that its USDOT
ments as specified in Appendix A of new entrant registration will be re-
this part. The areas for review include, voked and its operations placed out-of-
but are not limited to, the following: service unless it takes the actions spec-
ified in the notice to remedy its safety
(a) Driver qualification;
management practices within:
(b) Driver duty status; (1) 45 days of the date of the notice if
(c) Vehicle maintenance; the new entrant transports passengers
(d) Accident register; and in a CMV designed or used to transport
(e) Controlled substances and alcohol 16 or more passengers, including the
use and testing requirements. driver, or transports hazardous mate-
rials requiring placarding; or
§ 385.313 Who will conduct the safety (2) 60 days of the date of the notice
audit? for all other new entrants.
An individual certified under the
FMCSA regulations to perform safety § 385.321 What failures of safety man-
agement practices disclosed by the
audits will conduct the safety audit. safety audit will result in a notice
to a new entrant that its DOT new
§ 385.315 Where will the safety audit entrant registration will be re-
be conducted? voked?
The safety audit will generally be The failures of safety management
conducted at the new entrant’s busi- practices consist of a lack of basic safe-
ness premises. ty management controls as described
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in Appendix A of this part and will re-


sult in a notice to a new entrant that

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Federal Motor Carrier Safety Administration, DOT § 385.327

its DOT new entrant registration will rials in quantities requiring


be revoked. placarding; or
(2) Day 61 from the date of notifica-
§ 385.323 May the FMCSA extend the tion for all other new entrants; or
period under § 385.319(c) for a new (3) If an extension has been granted
entrant to take corrective action to under § 385.323, the day following the
remedy its safety management
practices? expiration of the extension date.
(c) The new entrant may not operate
(a) If a new entrant that transports in interstate commerce on or after the
passengers in a CMV designed or used effective date of the out-of-service
to transport 16 or more passengers, in- order.
cluding the driver, or transports haz-
ardous materials in quantities requir- § 385.327 What happens when a new
ing placarding, has submitted evidence entrant receives a notice under
that corrective actions have been § 385.319(c) that its new entrant reg-
taken pursuant to § 385.319(c) and the istration will be revoked and it be-
FMCSA cannot make a determination lieves the FMCSA made an error in
its determination?
regarding the adequacy of the correc-
tive actions within the 45 day period, (a) If a new entrant receives a revoca-
the period may be extended for up to 10 tion notice, it may request the FMCSA
days at the discretion of the FMCSA. to conduct an administrative review if
(b) The FMCSA may extend the 60- it believes the FMCSA has committed
day period in § 385.319(c)(2), for up to an an error in determining that its basic
additional 60 days provided FMCSA de- safety management controls were inad-
termines that the new entrant is mak- equate.
ing a good faith effort to remedy its (1) The request must be made to the
safety management practices. Field Administrator of the appropriate
FMCSA Service Center.
§ 385.325 What happens after a new en- (2) The request must explain the
trant has been notified under error the new entrant believes the
§ 385.319(c) to take corrective action FMCSA committed in its determina-
to remedy its safety management tion.
practices? (3) The request must include a list of
(a) If the new entrant provides evi- all factual and procedural issues in dis-
dence of corrective action acceptable pute, and any information or docu-
to the FMCSA within the time period ments that support the new entrant’s
provided in § 385.319(c), including any argument.
extension of that period authorized (b) The new entrant should submit
under § 385.323, the FMCSA will provide its request no later than 15 days from
written notification to the new entrant the date of the notice of the inad-
that its DOT new entrant registration equacy of its basic safety management
will not be revoked and it may con- controls. Submitting the request with-
tinue operations. in 15 days will allow the FMCSA to
(b) If a new entrant, after being noti- issue a written decision before the pro-
fied that it is required to take correc- hibitions outlined in § 385.319(c) take ef-
tive action to improve its safety man- fect. Failure to petition within this 15-
agement practices, fails to submit a day period may prevent the FMCSA
written response demonstrating correc- from issuing a final decision before the
tive action acceptable to FMCSA with- prohibitions take effect.
in the time specified in § 385.319(c), in- (c) The FMCSA may request that the
cluding any extension of that period new entrant submit additional data
authorized under § 385.323, the FMCSA and attend a conference to discuss the
will revoke its new entrant registra- issue(s) in dispute. If the new entrant
tion and issue an out-of-service order does not attend the conference, or does
effective on: not submit the requested data, the
(1) Day 46 from the date of notifica- FMCSA may dismiss the new entrant’s
tion if the new entrant transports pas- request for review.
sengers in a CMV designed to transport (d) The FMCSA will complete its re-
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16 or more passengers, including the view and notify the new entrant in
driver, or transports hazardous mate- writing of its decision within 30 days

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§ 385.329 49 CFR Ch. III (10–1–07 Edition)

after receiving a request for review § 385.333 What happens at the end of
from a hazardous materials or pas- the 18-month safety monitoring pe-
senger new entrant and within 45 days riod?
from any other new entrant. (a) If a safety audit has been per-
(e) A new entrant must make a re- formed within the 18-month period, and
quest for an administrative review the new entrant is not currently sub-
within: ject to an order placing its operations
(1) 90 days of the date when it was out-of-service under § 385.325(b) or
initially notified under § 385.319(c) that under a notice ordering it to take spec-
its basic safety management controls ified actions to remedy its safety man-
were inadequate; or agement controls under § 385.319(c), the
(2) 90 days after it was notified that FMCSA will remove the new entrant
its corrective action under § 385.319(c) designation and notify the new entrant
was insufficient and its basic safety in writing that its registration has be-
management controls remain inad- come permanent. Thereafter, the
equate. FMCSA will evaluate the motor carrier
(f) The Field Administrator’s deci- on the same basis as any other carrier.
sion constitutes the final agency ac- (b) If a new entrant is determined to
tion. be ‘‘unfit’’ after a compliance review
(g) Notwithstanding this subpart, a its new entrant registration will be re-
new entrant is subject to the suspen- voked. (See § 385.13)
sion and revocation provisions of 49 (c) A new entrant that has reached
U.S.C. 13905 for violations of DOT regu- the conclusion of the 18-month period
lations governing motor carrier oper- but is under an order to correct its
ations. safety management practices under
§ 385.319(c) will have its new entrant
§ 385.329 May a new entrant that has registration removed following
had its U.S. DOT registration re-
FMCSA’s determination that the speci-
voked and its operations placed out
of service (OOS) reapply? fied actions have been taken to remedy
its safety management practices. The
(a) A new entrant whose U.S. DOT motor carrier will be notified in writ-
registration has been revoked and ing that its new entrant designation is
whose operations have been placed OOS removed and that its registration has
by the FMCSA may reapply under become permanent. Thereafter, the
§ 385.301 no sooner than 30 days after FMCSA will evaluate the motor carrier
the date of revocation. on the same basis as any other carrier.
(b) The motor carrier will be required (d) If a safety audit or compliance re-
to initiate the process from the begin- view has not been performed by the end
ning, and will be required to dem- of the 18-month monitoring period
onstrate that it has corrected the defi- through no fault of the motor carrier,
ciencies that resulted in revocation of the carrier will be permitted to con-
its registration and otherwise will en- tinue operating as a new entrant until
sure that it will have adequate basic a safety audit or compliance review is
safety management controls. performed and a final determination is
made regarding the adequacy of its
§ 385.331 What happens if a new en-
trant operates a CMV after having safety management controls. Based on
been issued an order placing its the results of the safety audit or com-
interstate operations out of service pliance review, the FMCSA will either:
(OOS)? (1) Remove the new entrant designa-
If a new entrant operates a CMV in tion and notify the new entrant in
violation of an out-of-service (OOS) writing that its registration has be-
order and § 385.325(b), it is subject to come permanent; or
the penalty provisions in 49 U.S.C. (2) Revoke the new entrant registra-
521(b)(2)(A), not to exceed $10,000 for tion in accordance with § 385.319(c).
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each offense.

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Federal Motor Carrier Safety Administration, DOT § 385.402

§ 385.335 If the FMCSA conducts a (1) Definitions of terms used in this


compliance review on a new en- subpart;
trant, will the new entrant also be (2) The list of hazardous materials
subject to a safety audit? that require a safety permit if trans-
If the FMCSA conducts a compliance ported in commerce;
review on a new entrant that has not (3) The requirements and procedures
previously been subject to a safety a carrier must follow in order to be
audit and issues a safety fitness deter- issued a safety permit and maintain a
mination, the new entrant will not safety permit;
have to undergo a safety audit under (4) The procedures for a motor carrier
this subpart. However, the new entrant to follow to initiate an administrative
will continue to be subject to the 18- review of a denial, suspension, or rev-
month safety-monitoring period prior ocation of a safety permit.
to removal of the new entrant designa-
tion. § 385.402 What definitions are used in
this subpart?
§ 385.337 What happens if a new en- (a) The definitions in parts 390 and
trant refuses to permit a safety 385 of this chapter apply to this sub-
audit to be performed on its oper-
ations? part, except where otherwise specifi-
cally noted.
(a) If a new entrant refuses to permit (b) As used in this part,
a safety audit to be performed on its Hazardous material has the same
operations, the FMCSA will provide meaning as under § 171.8 of this title: A
the carrier with written notice that its substance or material that the Sec-
registration will be revoked and its op- retary of Transportation has deter-
erations placed out of service unless mined is capable of posing an unreason-
the new entrant agrees in writing, able risk to health, safety, and prop-
within 10 days from the service date of erty when transported in commerce,
the notice, to permit the safety audit and has designated as hazardous under
to be performed. The initial refusal to Sec. 5103 of Federal hazardous mate-
permit a safety audit to be performed rials transportation law (49 U.S.C.
may subject the new entrant to the 5103). The term includes hazardous sub-
penalty provisions in 49 U.S.C. stances, hazardous wastes, marine pol-
521(b)(2)(A). lutants, elevated temperature mate-
(b) If the new entrant does not agree rials, materials designated as haz-
to undergo a safety audit as specified ardous in the Hazardous Materials
in paragraph (a) of this section, its reg- Table (see § 172.101 of this title), and
istration will be revoked and its inter- materials that meet the defining cri-
state operations placed out of service teria for hazard classes and divisions in
effective on the 11th day from the serv- part 173 of this title.
ice date of the notice issued under Hazmat employee has the same mean-
paragraph (a) of this section. ing as under § 171.8 of this title: A per-
son who is employed by a hazmat em-
Subpart E—Hazardous Materials ployer as defined under § 171.8 of this
Safety Permits title, and who in the course of employ-
ment directly affects hazardous mate-
SOURCE: 69 FR 39367, June 30, 2004, unless rials transportation safety. This term
otherwise noted. includes an owner-operator of a motor
vehicle that transports hazardous ma-
§ 385.401 What is the purpose and terials in commerce. This term in-
scope of this subpart? cludes an individual who, during the
(a) This subpart contains the require- course of employment:
ments for obtaining and maintaining a (1) Loads, unloads, or handles haz-
safety permit to transport certain haz- ardous materials;
ardous materials. No one may trans- (2) Manufactures, tests, reconditions,
port the materials listed in § 385.403 repairs, modifies, marks, or otherwise
without a safety permit required by represents containers, drums, or pack-
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this subpart. aging as qualified for use in the trans-


(b) This subpart includes: portation of hazardous materials;

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§ 385.403 49 CFR Ch. III (10–1–07 Edition)

(3) Prepares hazardous materials for zone C,’’ or ‘‘hazard zone D,’’ as speci-
transportation; fied in § 173.116(a) of this title, in a
(4) Is responsible for the safe trans- packaging having a capacity equal to
portation of hazardous materials; or or greater than 13,248 L (3,500) gallons;
(5) Operates a vehicle used to trans- or
port hazardous materials. (f) A shipment of compressed or re-
Liquefied natural gas (LNG) means a frigerated liquefied methane or lique-
Division 2.1 liquefied natural gas mate- fied natural gas, or other liquefied gas
rial that is transported in a liquid with a methane content of at least 85
state with a methane content of 85 per- percent, in a bulk packaging having a
cent or more.
capacity equal to or greater than 13,248
Safety permit means a document
L (3,500 gallons).
issued by FMCSA that contains a per-
mit number and confers authority to § 385.405 How does a motor carrier
transport in commerce the hazardous apply for a safety permit?
materials listed in § 385.403.
Shipment means the offering or load- (a) Application form(s). To apply for a
ing of hazardous materials at one load- new safety permit or renewal of the
ing facility using one transport vehi- safety permit, a motor carrier must
cle, or the transport of that transport complete and submit Form MCS–150B,
vehicle. Combined Motor Carrier Identification
Report and HM Permit Application.
§ 385.403 Who must hold a safety per- (1) The Form MCS–150B will also sat-
mit?
isfy the requirements for obtaining and
After the date following January 1, renewing a DOT identification number;
2005, that a motor carrier is required to there is no need to complete Form
file a Motor Carrier Identification Re- MCS–150, Motor Carrier Identification
port Form (MCS–150) according to the Report.
schedule set forth in § 390.19(a) of this (2) A new entrant, as defined in
chapter, the motor carrier may not § 385.3, must also submit Form MCS–
transport in interstate or intrastate
150A, Safety Certification for Applica-
commerce any of the following haz-
tion (Safety Certification for Applica-
ardous materials, in the quantity indi-
cated for each, unless the motor carrier tion for USDOT Number) (see subpart
holds a safety permit: D of this part).
(a) A highway route-controlled quan- (b) Where to get forms and instructions.
tity of a Class 7 (radioactive) material, The forms listed in paragraph (a) of
as defined in § 173.403 of this title; this section, and instructions for com-
(b) More than 25 kg (55 pounds) of a pleting the forms, may be obtained on
Division 1.1, 1.2, or 1.3 (explosive) mate- the Internet at http://
rial or an amount of a Division 1.5 (ex- www.fmcsa.dot.gov, or by contacting
plosive) material requiring placarding FMCSA at Federal Motor Carrier Safe-
under part 172 of this title; ty Administration, Office of Informa-
(c) More than one liter (1.08 quarts) tion Technology (MC–RI), 1200 New Jer-
per package of a ‘‘material poisonous sey Ave., SE., Washington, DC 20590–
by inhalation,’’ as defined in § 171.8 of 0001, Telephone: 1-800-832-5660.
this title, that meets the criteria for (c) Signature and certification. An offi-
‘‘hazard zone A,’’ as specified in cial of the motor carrier must sign and
§ 173.116(a) or § 173.133(a) of this title; certify that the information is correct
(d) A ‘‘material poisonous by inhala- on each form the motor carrier sub-
tion,’’ as defined in § 171.8 of this title, mits.
that meets the criteria for ‘‘hazard
(d) Updating information on Form
zone B,’’ as specified in § 173.116(a) or
MCS–150B. A motor carrier holding a
§ 173.133(a) of this title in a bulk pack-
aging (capacity greater than 450 L [119 safety permit must report to FMCSA
gallons]); any change in the information on its
(e) A ‘‘material poisonous by inhala- Form MCS–150B within 30 days of the
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tion,’’ as defined in § 171.8 of this title, change. The motor carrier must use
that meets the criteria for ‘‘hazard

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Federal Motor Carrier Safety Administration, DOT § 385.411

Form MCS–150B to report the new in- § 385.409 When may a temporary safe-
formation (contact information in ty permit be issued to a motor car-
paragraph (b) of this section). rier?
[69 FR 39367, June 30, 2004, as amended at 72 (a) Temporary safety permit. If a motor
FR 55701, Oct. 1, 2007] carrier does not meet the criteria in
§ 385.407(a), FMCSA may issue it a tem-
§ 385.407 What conditions must a porary safety permit. To obtain a tem-
motor carrier satisfy for FMCSA to porary safety permit a motor carrier
issue a safety permit? must certify on Form MCS–150B that it
(a) Motor carrier safety performance. is operating in full compliance with
(1) The motor carrier must have a the HMRs; with the FMCSRs, and/or
‘‘Satisfactory’’ safety rating assigned comparable State regulations, which-
ever is applicable; and with the min-
by either FMCSA, pursuant to the
imum financial responsibility require-
Safety Fitness Procedures of this part,
ments in part 387 of this chapter or in
or the State in which the motor carrier
State regulations, whichever is appli-
has its principal place of business, if
cable.
the State has adopted and implemented
(b) FMCSA will not issue a tem-
safety fitness procedures that are porary safety permit to a motor carrier
equivalent to the procedures in subpart that:
A of this part; and, (1) Does not certify that it has a sat-
(2) FMCSA will not issue a safety isfactory security program as required
permit to a motor carrier that: in § 385.407(b);
(i) Does not certify that it has a sat- (2) Has a crash rate in the top 30 per-
isfactory security program as required cent of the national average as indi-
in § 385.407(b); cated in the FMCSA’s MCMIS; or
(ii) Has a crash rate in the top 30 per- (3) Has a driver, vehicle, hazardous
cent of the national average as indi- materials, or total out-of-service rate
cated in the FMCSA Motor Carrier in the top 30 percent of the national av-
Management Information System erage as indicated in the MCMIS.
(MCMIS); or (c) A temporary safety permit shall
(iii) Has a driver, vehicle, hazardous be valid for 180 days after the date of
materials, or total out-of-service rate issuance or until the motor carrier is
in the top 30 percent of the national av- assigned a new safety rating, which-
erage as indicated in the MCMIS. ever occurs first.
(b) Satisfactory security program. The (1) A motor carrier that receives a
motor carrier must certify that it has Satisfactory safety rating will be
a satisfactory security program, in- issued a safety permit (see § 385.421).
cluding: (2) A motor carrier that receives a
(1) A security plan meeting the re- less than Satisfactory safety rating is
quirements of part 172, subpart I of this ineligible for a safety permit and will
be subject to revocation of its tem-
title, and addressing how the carrier
porary safety permit.
will ensure the security of the written
(d) If a motor carrier has not received
route plan required by this part;
a safety rating within the 180-day time
(2) A communications plan that al- period, FMCSA will extend the effec-
lows for contact between the commer- tive date of the temporary safety per-
cial motor vehicle operator and the mit for an additional 60 days, provided
motor carrier to meet the periodic con- the motor carrier demonstrates that it
tact requirements in § 385.415(c)(1); and is continuing to operate in full compli-
(3) Successful completion by all ance with the FMCSRs and HMRs.
hazmat employees of the security
training required in § 172.704(a)(4) and § 385.411 Must a motor carrier obtain a
(a)(5) of this title. safety permit if it has a State per-
(c) Registration with the Research and mit?
Special Programs Administration (RSPA). Yes. However, if FMCSA is able to
The motor carrier must be registered verify that a motor carrier has a safety
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with RSPA in accordance with part 107, permit issued by a State under a pro-
subpart G of this title. gram that FMCSA has determined to

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§ 385.413 49 CFR Ch. III (10–1–07 Edition)

be equivalent to the provisions of this rial is in transportation including stor-


subpart, FMCSA will immediately age incidental to transportation. An-
issue a safety permit to the motor car- swering machines are not sufficient to
rier upon receipt of an application in meet this requirement.
accordance with § 385.405, without fur- (b)(1) Inspection of vehicle transporting
ther inspection or investigation. Class 7 (radioactive) materials. Before a
motor carrier may transport a highway
§ 385.413 What happens if a motor car- route controlled quantity of a Class 7
rier receives a proposed safety rat- (radioactive) material, the motor car-
ing that is less than Satisfactory?
rier must have a pre-trip inspection
(a) If a motor carrier does not al- performed on each motor vehicle to be
ready have a safety permit, it will not used to transport a highway route con-
be issued a safety permit (including a trolled quantity of a Class 7 (radio-
temporary safety permit) unless and active) material, in accordance with
until a Satisfactory safety rating is the requirements of the ‘‘North Amer-
issued to the motor carrier. ican Standard Out-of-Service Criteria
(b) If a motor carrier holds a safety and Level VI Inspection Procedures
permit (including a temporary safety and Out-of-Service Criteria for Com-
permit), the safety permit will be sub- mercial Highway Vehicles Trans-
ject to revocation or suspension (see porting Transuranics and Highway
§ 385.421). Route Controlled Quantities of Radio-
§ 385.415 What operational require- active Materials as defined in 49 CFR
ments apply to the transportation Part 173.403,’’ January 1, 2004, which is
of a hazardous material for which a incorporated by reference. The Direc-
permit is required? tor of the Federal Register has ap-
(a) Information that must be carried in proved the materials incorporated by
the vehicle. During transportation, the reference in accordance with 5 U.S.C.
following must be maintained in each 552(a) and 1 CFR part 51. Information
commercial motor vehicle that trans- and copies may be obtained from the
ports a hazardous material listed in Commercial Vehicle Safety Alliance,
§ 385.403 and must be made available to 1101 17th Street, NW, Suite 803, Wash-
an authorized official of a Federal, ington, DC 20036. Phone number (202)
State, or local government agency 775–1623.
upon request. (2) All materials incorporated by ref-
(1) A copy of the safety permit or an- erence are available for inspection at
other document showing the permit the Federal Motor Carrier Safety Ad-
number, provided that document clear- ministration, Office of Enforcement
ly indicates the number is the FMCSA and Compliance (MC–EC), 1200 New Jer-
Safety Permit number; sey Ave., SE., Washington, DC 20590–
(2) A written route plan that meets 0001; and the National Archives and
the requirements of § 397.101 of this Records Administration (NARA). For
chapter for highway route-controlled information on the availability of this
Class 7 (radioactive) materials or material at NARA, call (202) 741–6030,
§ 397.67 of this chapter for Division 1.1, or go to: http://www.archives.gov/
1.2, and 1.3 (explosive) materials; and federallregister/
(3) The telephone number, including codeloflfederallregulations/
area code or country code, of an em- ibrllocations.html.
ployee of the motor carrier or rep- (c) Additional requirements. A motor
resentative of the motor carrier who is carrier transporting hazardous mate-
familiar with the routing of the per- rials requiring a permit under this part
mitted material. The motor carrier must also meet the following require-
employee or representative must be ments:
able to verify that the shipment is (1) The operator of a motor vehicle
within the general area for the ex- used to transport a hazardous material
pected route for the permitted mate- listed in § 385.403 must follow the com-
rial. The telephone number, when munications plan required in
called, must be answered directly by § 385.407(b)(2) to make contact with the
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the motor carrier or its representative carrier at the beginning and end of
at all times while the permitted mate- each duty tour, and at the pickup and

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Federal Motor Carrier Safety Administration, DOT § 385.421

delivery of each permitted load. Con- § 385.421 Under what circumstances


tact may be by telephone, radio or via will a safety permit be subject to
an electronic tracking or monitoring revocation or suspension by
system. The motor carrier or driver FMCSA?
must maintain a record of communica- (a) Grounds. A safety permit will be
tions for 6 months after the initial ac- subject to revocation or suspension by
ceptance of a shipment of hazardous FMCSA for the following reasons:
material for which a safety permit is (1) A motor carrier fails to submit a
required. The record of communica- renewal application (Form MCS–150B)
tions must contain the name of the in accordance with the schedule set
driver, identification of the vehicle, forth in § 390.19(a)(2) and (a)(3) of this
permitted material(s) being trans- chapter;
ported, and the date, location, and (2) A motor carrier provides any false
time of each contact required under or misleading information on its appli-
this section. cation (Form MCS–150B), on Form
(2) The motor carrier should contact MCS–150A (when required), or as part
the Transportation Security Adminis- of updated information it is providing
tration’s Transportation Security Co- on Form MCS–150B (see § 385.405(d));
ordination Center (703–563–3236 or 703– (3) A motor carrier is issued a final
563–3237) at any time the motor carrier safety rating that is less than Satisfac-
tory;
suspects its shipment of a hazardous
(4) A motor carrier fails to maintain
material listed in § 385.403 is lost, sto-
a satisfactory security plan as set forth
len or otherwise unaccounted for.
in § 385.407(b);
[69 FR 39367, June 30, 2004, as amended at 72 (5) A motor carrier fails to comply
FR 55701, Oct. 1, 2007] with applicable requirements in the
FMCSRs, the HMRs, or compatible
§ 385.417 Is a motor carrier’s safety State requirements governing the
permit number available to others? transportation of hazardous materials,
Upon request, a motor carrier must in a manner showing that the motor
provide the number of its safety permit carrier is not fit to transport the haz-
to a person who offers a hazardous ma- ardous materials listed in § 385.403;
terial listed in § 385.403 for transpor- (6) A motor carrier fails to comply
tation in commerce. A motor carrier’s with an out-of-service order;
permit number will also be available to (7) A motor carrier fails to comply
the public on the FMCSA Safety and with any other order issued under the
Fitness Electronic Records System at FMCSRs, the HMRs, or compatible
http://www.safersys.org. State requirements governing the
transportation of hazardous materials,
§ 385.419 How long is a safety permit in a manner showing that the motor
effective? carrier is not fit to transport the haz-
ardous materials listed in § 385.403;
Unless suspended or revoked, a safety (8) A motor carrier fails to maintain
permit (other than a temporary safety the minimum financial responsibility
permit) is effective for two years, ex- required by § 387.9 of this chapter or an
cept that: applicable State requirement;
(a) A safety permit will be subject to (9) A motor carrier fails to maintain
revocation if a motor carrier fails to current hazardous materials registra-
submit a renewal application (Form tion with the Research and Special
MCS–150B) in accordance with the Programs Administration; or
schedule set forth for filing Form MCS– (10) A motor carrier loses its oper-
150 in § 390.19(a) of this chapter; and ating rights or has its registration sus-
(b) An existing safety permit will re- pended in accordance with § 386.83 or
main in effect pending FMCSA’s proc- § 386.84 of this chapter for failure to pay
essing of an application for renewal if a a civil penalty or abide by a payment
motor carrier submits the required ap- plan.
plication (Form MS–150B) in accord- (b) Determining whether a safety permit
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ance with the schedule set forth in is revoked or suspended. A motor car-
§ 390.19(a)(2) and (a)(3) of this chapter. rier’s safety permit will be suspended

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§ 385.423 49 CFR Ch. III (10–1–07 Edition)

the first time any of the conditions final agency action, and a motor car-
specified in paragraph (a) of this sec- rier has no right to further administra-
tion are found to apply to the motor tive review of FMCSA’s denial, suspen-
carrier. A motor carrier’s safety permit sion, or revocation of a safety permit
will be revoked if any of the conditions when the motor carrier has been issued
specified in paragraph (a) of this sec- a final safety rating that is less than
tion are found to apply to the motor Satisfactory.
carrier and the carrier’s safety permit (b) Failure to pay civil penalty or abide
has been suspended in the past for any by payment plan. If a motor carrier is
of the reasons specified in paragraph notified that failure to pay a civil pen-
(a) of this section. alty will result in suspension or termi-
(c) Effective date of suspension or rev- nation of its operating rights, it has
ocation. A suspension or revocation of a the right to an administrative review
safety permit is effective: of that proposed action in a show cause
(1) Immediately after FMCSA deter- proceeding, as set forth in § 386.83(b) or
mines that an imminent hazard exists, § 386.84(b) of this chapter. The decision
after FMCSA issues a final safety rat- by FMCSA’s Chief Safety Officer in the
ing that is less than Satisfactory, or show cause proceeding constitutes final
after a motor carrier loses its oper- agency action, and a motor carrier has
ating rights or has its registration sus- no right to further administrative re-
pended for failure to pay a civil pen- view of FMCSA’s denial, suspension, or
alty or abide by a payment plan; revocation of a safety permit when the
(2) Thirty (30) days after service of a motor carrier has lost its operating
written notification that FMCSA pro- rights or had its registration suspended
poses to suspend or revoke a safety per- for failure to pay a civil penalty or
mit, if the motor carrier does not sub- abide by a payment plan.
mit a written request for administra- (c) Other grounds. Under cir-
tive review within that time period; or cumstances other than those set forth
(3) As specified in § 385.423(c), when in paragraphs (a) and (b) of this sec-
the motor carrier submits a written re- tion, a motor carrier may submit a
quest for administrative review of written request for administrative re-
FMCSA’s proposal to suspend or revoke view within 30 days after service of a
a safety permit. written notification that FMCSA has
(4) A motor carrier whose safety per- denied a safety permit, that FMCSA
mit has been revoked will not be issued has immediately suspended or revoked
a replacement safety permit or tem- a safety permit, or that FMCSA has
porary safety permit for 365 days from proposed to suspend or revoke a safety
the time of revocation. permit. The rules for computing time
limits for service and requests for ex-
§ 385.423 Does a motor carrier have a tension of time in §§ 386.5, 386.6, and
right to an administrative review of 386.8 of this chapter apply to the pro-
a denial, suspension, or revocation ceedings on a request for administra-
of a safety permit? tive review under this section.
A motor carrier has a right to an ad- (1) The motor carrier must send or
ministrative review pursuant to the deliver its written request for adminis-
following procedures and conditions: trative review to FMCSA Chief Safety
(a) Less than Satisfactory safety rating. Officer, with a copy to FMCSA Chief
If a motor carrier is issued a proposed Counsel, at the following addresses:
safety rating that is less than Satisfac- (i) Chief Safety Officer, Federal
tory, it has the right to request (1) an Motor Carrier Safety Administration,
administrative review of a proposed 1200 New Jersey Ave., SE., Washington,
safety rating, as set forth in § 385.15, DC 20590–0001 Attention: Adjudications
and (2) a change to a proposed safety Counsel (MC–CC).
rating based on corrective action, as (ii) Chief Counsel (MC–CC), Federal
set forth in § 385.17. After a motor car- Motor Carrier Safety Administration,
rier has had an opportunity for admin- 1200 New Jersey Ave., SE., Washington,
istrative review of, or change to, a pro- DC 20590–0001.
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posed safety rating, FMCSA’s issuance (2) A request for administrative re-
of a final safety rating constitutes view must state the specific grounds

246

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Federal Motor Carrier Safety Administration, DOT Pt. 385, App. A

for review and include all information, (ii) A petition for review of a rec-
evidence, and arguments upon which ommended decision by an administra-
the motor carrier relies to support its tive law judge has not been remanded
request for administrative review. to the administrative law judge for fur-
(3) Within 30 days after service of a ther proceedings; or
written request for administrative re- (iii) An administrative law judge has
view, the Office of the Chief Counsel held further proceedings on a petition
shall submit to the Chief Safety Officer for review and issued a supplementary
a written response to the request for recommended decision.
administrative review. The Office of (7) The decision of the Chief Safety
the Chief Counsel must serve a copy of Officer (including a recommended deci-
its written response on the motor car- sion of an administrative law judge
rier requesting administrative review. that becomes the decision of the Chief
(4) The Chief Safety Officer may de- Safety Officer under paragraph (c)(5) of
cide a motor carrier’s request for ad- this section) constitutes final agency
ministrative review on the written sub- action, and there is no right to further
missions, hold a hearing personally, or administrative reconsideration or re-
refer the request to an administrative view.
law judge for a hearing and rec- (8) Any appeal of a final agency ac-
ommended decision. The Chief Safety tion under this section must be taken
Officer or administrative law judge is to an appropriate United States Court
authorized to specify, and must notify of Appeals. Unless the Court of Appeals
the parties of, specific procedural rules issues a stay pending appeal, the final
to be followed in the proceeding (which agency action shall not be suspended
may include the procedural rules in while the appeal is pending.
part 386 of this chapter that are consid- [69 FR 39367, June 30, 2004, as amended at 72
ered appropriate). FR 55701, Oct. 1, 2007]
(5) If a request for administrative re-
view is referred to an administrative APPENDIX A TO PART 385—EXPLANATION
law judge, the recommended decision OF SAFETY AUDIT EVALUATION CRITERIA
of the administrative law judge be- I. GENERAL
comes the final decision of the Chief
(a) Section 210 of the Motor Carrier Safety
Safety Officer 45 days after service of
Improvement Act (49 U.S.C. 31144) directed
the recommended decision is served, the Secretary to establish a procedure
unless either the motor carrier or the whereby each owner and each operator
Office of the Chief Counsel submits a granted new authority must undergo a safe-
petition for review to the Chief Safety ty review within 18 months after the owner
Officer (and serves a copy of its peti- or operator begins operations. The Secretary
tion on the other party) within 15 days was also required to establish the elements
after service of the recommended deci- of this safety review, including basic safety
management controls. The Secretary, in
sion. In response to a petition for re- turn, delegated this to the FMCSA.
view of a recommended decision of an (b) To meet the safety standard, a motor
administrative law judge: carrier must demonstrate to the FMCSA
(i) The other party may submit a that it has basic safety management con-
written reply within 15 days of service trols in place which function adequately to
of the petition for review. ensure minimum acceptable compliance with
(ii) The Chief Safety Officer may the applicable safety requirements. A ‘‘safe-
ty audit evaluation criteria’’ was developed
adopt, modify, or set aside the rec- by the FMCSA, which uses data from the
ommended decision of an administra- safety audit and roadside inspections to de-
tive law judge, and may also remand termine that each owner and each operator
the petition for review to the adminis- applicant for new entrant registration, pro-
trative law judge for further pro- visional operating authority, or provisional
ceedings. Certificate of Registration has basic safety
(6) The Chief Safety Officer will issue management controls in place. The term
‘‘safety audit’’ is the equivalent to the
a final decision on any request for ad-
‘‘safety review’’ required by Sec. 210. Using
ministrative review when: ‘‘safety audit’’ avoids any possible confusion
(i) The request for administrative re- with the safety reviews previously conducted
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view has not been referred to an admin- by the agency that were discontinued on
istrative law judge; September 30, 1994.

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Pt. 385, App. A 49 CFR Ch. III (10–1–07 Edition)
(c) The safety audit evaluation process de- (e) Noncompliance with acute and critical
veloped by the FMCSA is used to: regulations are indicators of inadequate
1. Evaluate basic safety management con- safety management controls and usually
trols and determine if each owner and each higher than average accident rates.
operator is able to operate safely in inter- (f) Parts of the FMCSRs and the HMRs
state commerce; and having similar characteristics are combined
2. Identify owners and operators who are together into six regulatory areas called
having safety problems and need improve- ‘‘factors.’’ The regulatory factors, evaluated
ment in their compliance with the FMCSRs on the basis of the adequacy of the carrier’s
and the HMRs, before they are granted per- safety management controls, are:
manent registration. 1. Factor 1—General: Parts 387 and 390;
2. Factor 2—Driver: Parts 382, 383 and 391;
II. SOURCE OF THE DATA FOR THE SAFETY 3. Factor 3—Operational: Parts 392 and 395;
AUDIT EVALUATION CRITERIA 4. Factor 4—Vehicle: Part 393, 396 and in-
(a) The FMCSA’s evaluation criteria are spection data for the last 12 months;
built upon the operational tool known as the 5. Factor 5—Hazardous Materials: Parts
safety audit. This tool was developed to as- 171, 177, 180 and 397; and
sist auditors and investigators in assessing 6. Factor 6—Accident: Recordable Accident
the adequacy of a new entrant’s basic safety Rate per Million Miles.
management controls. (g) For each instance of noncompliance
with an acute regulation, 1.5 points will be
(b) The safety audit is a review of a Mex-
assessed.
ico-domiciled or new entrant motor carrier’s
(h) For each instance of noncompliance
operation and is used to:
with a critical regulation, 1 point will be as-
1. Determine if a carrier has the basic safe-
sessed.
ty management controls required by 49
U.S.C. 31144; A. Vehicle Factor
2. Meet the requirements of Section 350 of
the DOT Appropriations Act; and (a) When at least three vehicle inspections
3. In the event that a carrier is found not are recorded in the Motor Carrier Manage-
to be in compliance with applicable FMCSRs ment Information System (MCMIS) during
and HMRs, the safety audit can be used to the twelve months before the safety audit or
educate the carrier on how to comply with performed at the time of the review, the Ve-
U.S. safety rules. hicle Factor (Part 396) will be evaluated on
(c) Documents such as those contained in the basis of the Out-of-Service (OOS) rates
the driver qualification files, records of duty and noncompliance with acute and critical
status, vehicle maintenance records, and regulations. The results of the review of the
other records are reviewed for compliance OOS rate will affect the Vehicle Factor as
with the FMCSRs and HMRs. Violations are follows:
cited on the safety audit. Performance-based 1. If the motor carrier has had at least
information, when available, is utilized to three roadside inspections in the twelve
evaluate the carrier’s compliance with the months before the safety audit, and the vehi-
vehicle regulations. Recordable accident in- cle OOS rate is 34 percent or higher, one
formation is also collected. point will be assessed against the carrier.
That point will be added to any other points
III. DETERMINING IF THE CARRIER HAS BASIC assessed for discovered noncompliance with
SAFETY MANAGEMENT CONTROLS acute and critical regulations of part 396 to
determine the carrier’s level of safety man-
(a) During the safety audit, the FMCSA agement control for that factor; and
gathers information by reviewing a motor 2. If the motor carrier’s vehicle OOS rate is
carrier’s compliance with ‘‘acute’’ and ‘‘crit- less than 34 percent, or if there are less than
ical’’ regulations of the FMCSRs and HMRs. three inspections, the determination of the
(b) Acute regulations are those where non- carrier’s level of safety management con-
compliance is so severe as to require imme- trols will only be based on discovered non-
diate corrective actions by a motor carrier compliance with the acute and critical regu-
regardless of the overall basic safety man- lations of part 396.
agement controls of the motor carrier. (b) Over two million inspections occur on
(c) Critical regulations are those where the roadside each year. This vehicle inspec-
noncompliance relates to management and/ tion information is retained in the MCMIS
or operational controls. These are indicative and is integral to evaluating motor carriers’
of breakdowns in a carrier’s management ability to successfully maintain their vehi-
controls. cles, thus preventing them from being placed
(d) The list of the acute and critical regu- OOS during roadside inspections. Each safety
lations, which are used in determining if a audit will continue to have the requirements
carrier has basic safety management con- of part 396, Inspection, Repair, and Mainte-
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trols in place, is included in Appendix B, VII. nance, reviewed as indicated by the above ex-
List of Acute and Critical Regulations. planation.

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Federal Motor Carrier Safety Administration, DOT Pt. 385, App. B
B. The Accident Factor If the recordable accident rate is greater
than 1.7 recordable accidents per million
(a) In addition to the five regulatory fac-
miles for an urban carrier (1.5 for all other
tors, a sixth factor is included in the process
carriers), the carrier is determined to have
to address the accident history of the motor
carrier. This factor is the recordable acci- inadequate basic safety management con-
dent rate, which the carrier has experienced trols.
during the past 12 months. Recordable acci- IV. OVERALL DETERMINATION OF THE CAR-
dent, as defined in 49 CFR 390.5, means an ac- RIER’S BASIC SAFETY MANAGEMENT CON-
cident involving a commercial motor vehicle TROLS
operating on a public road in interstate or
intrastate commerce which results in a fa- (a) If the carrier is evaluated as having in-
tality; a bodily injury to a person who, as a adequate basic safety management controls
result of the injury, immediately receives in at least three separate factors, the carrier
medical treatment away from the scene of will be considered to have inadequate safety
the accident; or one or more motor vehicles management controls in place and corrective
incurring disabling damage as a result of the action will be necessary in order to avoid
accident requiring the motor vehicle to be having its new entrant registration, provi-
transported away from the scene by a tow sional operating authority, or provisional
truck or other motor vehicle. Certificate of Registration revoked.
(b) Experience has shown that urban car- (b)For example, FMCSA evaluates a car-
riers, those motor carriers operating entirely rier finding:
within a radius of less than 100 air miles (1) One instance of noncompliance with a
(normally urban areas), have a higher expo- critical regulation in part 387 scoring one
sure to accident situations because of their point for Factor 1;
environment and normally have higher acci- (2) Two instances of noncompliance with
dent rates. acute regulations in part 382 scoring three
(c) The recordable accident rate will be points for Factor 2;
used in determining the carrier’s basic safety (3) Three instances of noncompliance with
management controls in Factor 6, Accident. critical regulations in part 396 scoring three
It will be used only when a carrier incurs two points for Factor 4; and
or more recordable accidents within the 12 (4) Three instances of noncompliance with
months before the safety audit. An urban acute regulations in parts 171 and 397 scoring
carrier (a carrier operating entirely within a four and one-half (4.5) points for Factor 5.
radius of 100 air miles) with a recordable rate (c) In this example, the carrier scored
per million miles greater than 1.7 will be three or more points for Factors 2, 4 and 5
deemed to have inadequate basic safety man- and FMCSA determined the carrier had inad-
agement controls for the accident factor. All equate basic safety management controls in
other carriers with a recordable accident at least three separate factors. FMCSA will
rate per million miles greater than 1.5 will require corrective action in order to avoid
be deemed to have inadequate basic safety having the carrier’s new entrant registration
management controls for the accident fac- revoked, or having the provisional operating
tor. The rates are the result of roughly dou- authority or provisional Certificate of Reg-
bling the national average accident rate in istration suspended and possibly revoked.
Fiscal Years 1994, 1995, and 1996. [67 FR 12773, Mar. 19, 2002, as amended a6 67
(d) The FMCSA will continue to consider FR 31985, May 13, 2002]
preventability when a new entrant contests
the evaluation of the accident factor by pre- APPENDIX B TO PART 385—EXPLANATION
senting compelling evidence that the record-
OF SAFETY RATING PROCESS
able rate is not a fair means of evaluating its
accident factor. Preventability will be deter- (a) Section 215 of the Motor Carrier Safety
mined according to the following standard: Act of 1984 (49 U.S.C. 31144) directed the Sec-
‘‘If a driver, who exercises normal judgment retary of Transportation to establish a pro-
and foresight, could have foreseen the possi- cedure to determine the safety fitness of
bility of the accident that in fact occurred, owners and operators of commercial motor
and avoided it by taking steps within his/her vehicles operating in interstate or foreign
control which would not have risked causing commerce. The Secretary, in turn, delegated
another kind of mishap, the accident was this responsibility to the Federal Motor Car-
preventable.’’ rier Safety Administration (FMCSA).
(b) As directed, FMCSA promulgated a
C. Factor Ratings
safety fitness regulation, entitled ‘‘Safety
For Factors 1 through 5, if the combined Fitness Procedures,’’ which established a
violations of acute and or critical regula- procedure to determine the safety fitness of
tions for each factor is equal to three or motor carriers through the assignment of
more points, the carrier is determined not to safety ratings and established a ‘‘safety fit-
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have basic safety management controls for ness standard’’ which a motor carrier must
that individual factor. meet to obtain a satisfactory safety rating.

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Pt. 385, App. B 49 CFR Ch. III (10–1–07 Edition)
(c) Critical regulations are those identified II. CONVERTING CR INFORMATION INTO A
as such where noncompliance relates to man- SAFETY RATING
agement and/or operational controls. These (a) The FMCSA gathers information
are indicative of breakdowns in a carrier’s through an in-depth examination of the
management controls. An example of a crit- motor carrier’s compliance with identified
ical regulation is § 395.3(a)(1), requiring or ‘‘acute’’ or ‘‘critical’’ regulations of the
permitting a property-carrying commercial FMCSRs and HMRs.
motor vehicle driver to drive more than 11 (b) Acute regulations are those identified
hours. as such where noncompliance is so severe as
(d) The safety rating process developed by to require immediate corrective actions by a
FMCSA is used to: motor carrier regardless of the overall safety
1. Evaluate safety fitness and assign one of posture of the motor carrier. An example of
three safety ratings (satisfactory, conditional an acute regulation is § 383.37(b), allowing,
or unsatisfactory) to motor carriers operating requiring, permitting, or authorizing an em-
in interstate commerce. This process con- ployee with more than one Commercial Driv-
forms to 49 CFR 385.5, Safety fitness stand- er’s License (CDL) to operate a commercial
motor vehicle. Noncompliance with
ard, and § 385.7, Factors to be considered in
§ 383.37(b) is usually discovered when the
determining a safety rating.
motor carrier’s driver qualification file re-
2. Identify motor carriers needing improve- flects that the motor carrier had knowledge
ment in their compliance with the Federal of a driver with more than one CDL, and still
Motor Carrier Safety Regulations (FMCSRs) permitted the driver to operate a commer-
and applicable Hazardous Material Regula- cial motor vehicle. If the motor carrier did
tions (HMRs). These are carriers rated unsat- not have such knowledge or could not rea-
isfactory or conditional. sonably be expected to have such knowledge,
(e) The hazardous materials safety permit then a violation would not be cited.
requirements of part 385, subpart E apply to (c) Critical regulations are those identified
intrastate motor carriers. Intrastate motor as such where noncompliance relates to man-
carriers that are subject to the hazardous agement and/or operational controls. These
materials safety permit requirements in sub- are indicative of breakdowns in a carrier’s
part E will be rated using equivalent State management controls. An example of a crit-
requirements whenever the FMCSRs are ref- ical regulation is § 395.3(a)(1), requiring or
erenced in this appendix. permitting a property-carrying commercial
(f) The safety rating will be determined by motor vehicle driver to drive more than 11
hours.
applying the SFRM equally to all of a com-
(d) The list of the acute and critical regu-
pany’s motor carrier operations in com-
lations which are used in determining safety
merce, including if applicable its operations
ratings is included at the end of this docu-
in Canada and/or Mexico. ment.
(e) Noncompliance with acute regulations
I. SOURCE OF DATA FOR RATING METHODOLOGY
and patterns of non-compliance with critical
(a) The FMCSA’s rating process is built regulations are quantitatively linked to in-
upon the operational tool known as the CR. adequate safety management controls and
This tool was developed to assist Federal and usually higher than average accident rates.
State safety specialists in gathering perti- The FMCSA has used noncompliance with
nent motor carrier compliance and accident acute regulations and patterns of noncompli-
information. ance with critical regulations since 1989 to
(b) The CR is an in-depth examination of a determine motor carriers’ adherence to the
motor carrier’s operations and is used (1) to Safety fitness standard in § 385.5.
rate unrated motor carriers, (2) to conduct a (f) The regulatory factors, evaluated on the
basis of the adequacy of the carrier’s safety
follow-up investigation on motor carriers
management controls, are (1) Parts 387 and
rated unsatisfactory or conditional as a result
390; (2) Parts 382, 383 and 391; (3) Parts 392 and
of a previous review, (3) to investigate com-
395; (4) Parts 393 and 396 when there are less
plaints, or (4) in response to a request by a than three vehicle inspections in the last 12
motor carrier to reevaluate its safety rating. months to evaluate; and (5) Parts 397, 171, 177
Documents such as those contained in driver and 180.
qualification files, records of duty status, ve- (g) For each instance of noncompliance
hicle maintenance records, and other records with an acute regulation or each pattern of
are thoroughly examined for compliance noncompliance with a critical regulation
with the FMCSRs and HMRs. Violations are during the CR, one point will be assessed. A
cited on the CR document. Performance- pattern is more than one violation. When a
based information, when available, is uti- number of documents are reviewed, the num-
lized to evaluate the carrier’s compliance ber of violations required to meet a pattern
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with the vehicle regulations. Recordable ac- is equal to at least 10 percent of those exam-
cident information is also collected. ined.

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Federal Motor Carrier Safety Administration, DOT Pt. 385, App. B
(h) However, each pattern of noncompli- B. Accident Factor
ance with a critical regulation relative to (a) In addition to the five regulatory rating
Part 395, Hours of Service of Drivers, will be factors, a sixth factor is included in the proc-
assessed two points. ess to address the accident history of the
motor carrier. This factor is the recordable
A. Vehicle Factor
accident rate for the past 12 months. A re-
(a) When a total of three or more inspections cordable accident, consistent with the defini-
are recorded in the Motor Carrier Management tion for ‘‘accident’’ in 49 CFR 390.5, means an
Information System (MCMIS) during the twelve occurrence involving a commercial motor
months prior to the CR or performed at the time vehicle on a highway in motor carrier oper-
of the review, the Vehicle Factor (Parts 393 ations in commerce or within Canada or
and 396) will be evaluated on the basis of the Mexico (if the motor carrier also operates in
the United States) that results in a fatality;
Out-of-Service (OOS) rates and noncompli-
in bodily injury to a person who, as a result
ance with acute regulations and/or a pattern
of the injury, immediately receives medical
of noncompliance with critical regulations. treatment away from the scene of the acci-
The results of the review of the OOS rate dent; or in one or more motor vehicles incur-
will affect the Vehicle Factor rating as fol- ring disabling damage that requires the
lows: motor vehicle to be transported away from
1. If a motor carrier has three or more the scene by a tow truck or other motor ve-
roadside vehicle inspections in the twelve hicle.
months prior to the carrier review, or three (b) Recordable accidents per million miles
vehicles inspected at the time of the review, were computed for each CR performed in Fis-
or a combination of the two totaling three or cal Years 1994,1995 and 1996. The national av-
more, and the vehicle OOS rate is 34 percent erage for all carriers rated was 0.747, and .839
or greater, the initial factor rating will be for carriers operating entirely within the 100
conditional. The requirements of Part 396, In- air mile radius.
spection, Repair, and Maintenance, will be (c) Experience has shown that urban car-
examined during each review. The results of riers, those motor carriers operating pri-
the examination could lower the factor rat- marily within a radius of less than 100 air
ing to unsatisfactory if noncompliance with miles (normally in urban areas) have a high-
an acute regulation or a pattern of non- er exposure to accident situations because of
compliance with a critical regulation is dis- their environment and normally have higher
covered. If the examination of the Part 396 accident rates.
requirements reveals no such problems with (d) The recordable accident rate will be
the systems the motor carrier is required to used to rate Factor 6, Accident. It will be
maintain for compliance, the Vehicle Factor used only when a motor carrier incurs two or
remains conditional. more recordable accidents occurred within
the 12 months prior to the CR. An urban car-
2. If a carrier’s vehicle OOS rate is less
rier (a carrier operating entirely within a ra-
than 34 percent, the initial factor rating will
dius of 100 air miles) with a recordable acci-
be satisfactory. If noncompliance with an
dent rate greater than 1.7 will receive an un-
acute regulation or a pattern of noncompli-
satisfactory rating for the accident factor. All
ance with a critical regulation is discovered
other carriers with a recordable accident
during the examination of Part 396 require- rate greater than 1.5 will receive an unsatis-
ments, the factor rating will be lowered to factory factor rating. The rates are a result
conditional. If the examination of Part 396 re- of roughly doubling the national average ac-
quirements discovers no such problems with cident rate for each type of carrier rated in
the systems the motor carrier is required to Fiscal Years 1994, 1995 and 1996.
maintain for compliance, the Vehicle Factor (e) The FMCSA will continue to consider
remains satisfactory. preventability when a motor carrier contests
(b) Nearly two million vehicle inspections a rating by presenting compelling evidence
occur on the roadside each year. This vehicle that the recordable rate is not a fair means
inspection information is retained in the of evaluating its accident factor. Prevent-
MCMIS and is integral to evaluating motor ability will be determined according to the
carriers’ ability to successfully maintain following standard: ‘‘If a driver, who exer-
their vehicles, thus preventing them from cises normal judgment and foresight could
being placed OOS during roadside inspec- have foreseen the possibility of the accident
tions. Since many of the roadside inspections that in fact occurred, and avoided it by tak-
are targeted to visibly defective vehicles and ing steps within his/her control which would
since there are a limited number of inspec- not have risked causing another kind of mis-
tions for many motor carriers, the use of hap, the accident was preventable.’’
that data is limited. Each CR will continue
to have the requirements of Part 396, Inspec- C. Factor Ratings
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tion, Repair, and Maintenance, reviewed as (a) Parts of the FMCSRs and the HMRs
indicated by the above explanation. having similar characteristics are combined

251

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Pt. 385, App. B 49 CFR Ch. III (10–1–07 Edition)
together into five regulatory areas called (b) Proposed safety ratings of conditional or
‘‘factors.’’ unsatisfactory will list the deficiencies dis-
(b) The following table shows the five regu- covered during the CR for which corrective
latory factors, parts of the FMCSRs and actions must be taken.
HMRs associated with each factor, and the (c) Proposed unsatisfactory safety ratings
accident factor. Factor Ratings are deter- will indicate that, if the unsatisfactory rating
mined as follows: becomes final, the motor carrier will be sub-
ject to the provision of § 385.13, which pro-
FACTORS hibits motor carriers rated unsatisfactory
Factor 1 General=Parts 387 and 390 from transporting hazardous materials re-
Factor 2 Driver=Parts 382, 383 and 391 quiring placarding or more than 15 pas-
sengers, including the driver.
Factor 3 Operational=Parts 392 and 395
Factor 4 Vehicle=Parts 393 and 396 IV. ASSIGNMENT OF FINAL RATING/MOTOR
Factor 5 Haz. Mat.=Parts 397, 171, 177 and CARRIER NOTIFICATION
180
Factor 6 Accident Factor=Recordable Rate When the official rating is determined in
Washington, D.C., the FMCSA notifies the
‘‘Satisfactory’’—if the acute and/or motor carrier in writing of its safety rating
critical=0 points as prescribed in § 385.11. A proposed condi-
‘‘Conditional’’—if the acute and/or critical=1 tional safety rating (which is an improve-
point ment of an existing unsatisfactory rating) be-
‘‘Unsatisfactory’’—if the acute and/or comes effective as soon as the official safety
critical=2 or more points rating from Washington, D.C. is issued, and
III. SAFETY RATING the carrier may also avail itself of relief
under the § 385.15, Administrative Review and
A. Rating Table § 385.17, Change to safety rating based on cor-
rective actions.
(a) The ratings for the six factors are then
entered into a rating table which establishes V. MOTOR CARRIER RIGHTS TO A CHANGE IN
the motor carrier’s safety rating. THE SAFETY RATING
(b) The FMCSA has developed a computer-
Under §§ 385.15 and 385.17, motor carriers
ized rating formula for assessing the infor-
have the right to petition for a review of
mation obtained from the CR document and their ratings if there are factual or procedural
is using that formula in assigning a safety disputes, and to request another review after
rating. corrective actions have been taken. They are
the procedural avenues a motor carrier
MOTOR CARRIER SAFETY RATING TABLE which believes its safety rating to be in error
Factor ratings may exercise, and the means to request an-
Overall other review after corrective action has been
Safety rating
Unsatisfactory Conditional taken.
0 ............................ 2 or fewer ............. Satisfactory VI. CONCLUSION
0 ............................ more than 2 .......... Conditional
1 ............................ 2 or fewer ............. Conditional (a) The FMCSA believes this ‘‘safety fit-
1 ............................ more than 2 .......... Unsatisfactory ness rating methodology’’ is a reasonable ap-
2 or more .............. 0 or more ............. Unsatisfactory proach for assigning a safety rating which
best describes the current safety fitness pos-
B. Proposed Safety Rating ture of a motor carrier as required by the
safety fitness regulations (§ 385.9). This meth-
(a) The proposed safety rating will appear odology has the capability to incorporate
on the CR. The following appropriate infor- regulatory changes as they occur.
mation will appear after the last entry on (b) Improved compliance with the regula-
the CR, MCS–151, part B. tions leads to an improved rating, which in
‘‘Your proposed safety rating is SATIS- turn increases safety. This increased safety
FACTORY.’’ is our regulatory goal.
OR VII. LIST OF ACUTE AND CRITICAL
‘‘Your proposed safety rating is CONDI- REGULATIONS.
TIONAL.’’ The proposed safety rating will § 382.115(a) Failing to implement an alcohol
become the final safety rating 45 days after and/or controlled substances testing pro-
you receive this notice. gram (domestic motor carrier) (acute).
§ 382.115(b) Failing to implement an alcohol
OR
and/or controlled substances testing pro-
‘‘Your proposed safety rating is UNSATIS- gram (foreign motor carrier) (acute).
FACTORY.’’ The proposed safety rating will § 382.201 Using a driver known to have an al-
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become the final safety rating 45 days after cohol concentration of 0.04 or greater
you receive this notice (acute).

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Federal Motor Carrier Safety Administration, DOT Pt. 385, App. B
§ 382.211 Using a driver who has refused to or who is disqualified to operate a commer-
submit to an alcohol or controlled sub- cial motor vehicle (acute).
stances test required under part 382 § 383.37(b) Knowingly allowing, requiring,
(acute). permitting, or authorizing an employee
§ 382.213(b) Using a driver known to have with more than one commercial driver’s li-
used a controlled substance (acute). cense to operate a commercial motor vehi-
§ 382.215 Using a driver known to have test- cle (acute).
ed positive for a controlled substance § 383.51(a) Knowingly allowing, requiring,
(acute). permitting, or authorizing a driver to drive
§ 382.301(a) Using a driver before the motor who is disqualified to drive a commercial
carrier has received a negative pre-employ- motor vehicle (acute).
ment controlled substance test result (crit- § 387.7(a) Operating a motor vehicle without
ical). having in effect the required minimum lev-
§ 382.303(a) Failing to conduct post accident els of financial responsibility coverage
testing on driver for alcohol (critical). (acute).
§ 382.303(b) Failing to conduct post accident § 387.7(d) Failing to maintain at principal
testing on driver for controlled substances place of business required proof of finan-
(critical). cial responsibility (critical).
§ 382.305 Failing to implement a random § 387.31(a) Operating a passenger carrying
controlled substances and/or an alcohol
vehicle without having in effect the re-
testing program (acute).
quired minimum levels of financial respon-
§ 382.305(b)(1) Failing to conduct random al-
sibility (acute).
cohol testing at an annual rate of not less
§ 387.31(d) Failing to maintain at principal
than the applicable annual rate of the av-
place of business required proof of finan-
erage number of driver positions (critical).
§ 382.305(b)(2) Failing to conduct random cial responsibility for passenger carrying
controlled substances testing at an annual vehicles (critical).
rate of not less than the applicable annual § 390.15(b)(2) Failing to maintain copies of
rate of the average number of driver posi- all accident reports required by State or
tions (critical). other governmental entities or insurers
§ 382.309(a) Using a driver who has not un- (critical).
dergone a return-to-duty alcohol test with § 390.35 Making, or causing to make fraudu-
a result indicating an alcohol concentra- lent or intentionally false statements or
tion of less than 0.02 (acute). records and/or reproducing fraudulent
§ 382.309(b) Using a driver who has not un- records (acute).
dergone a return-to-duty controlled sub- § 391.11(b)(4) Using a physically unqualified
stances test with a result indicating a driver (acute).
verified negative result for controlled sub- § 391.15(a) Using a disqualified driver
stances (acute). (acute).
§ 382.503 Allowing a driver to perform safety § 391.45(a) Using a driver not medically ex-
sensitive function, after engaging in con- amined and certified (critical).
duct prohibited by subpart B, without § 391.45(b)(1) Using a driver not medically
being evaluated by substance abuse profes- examined and certified during the pre-
sional, as required by § 382.605 (critical). ceding 24 months (critical).
§ 382.505(a) Using a driver within 24 hours § 391.51(a) Failing to maintain driver quali-
after being found to have an alcohol con- fication file on each driver employed (crit-
centration of 0.02 or greater but less than ical).
0.04 (acute). § 391.51(b)(2) Failing to maintain inquiries
§ 382.605(c)(1) Using a driver who has not un- into driver’s driving record in driver’s
dergone a return-to-duty alcohol test with qualification file (critical).
a result indicating an alcohol concentra- § 391.51(b)(7) Failing to maintain medical
tion of less than .02 or with verified nega- examiner’s certificate in driver’s qualifica-
tive test result, after engaging in conduct tion file (critical).
prohibited by part 382 subpart B (acute). § 392.2 Operating a motor vehicle not in ac-
§ 382.605(c)(2)(ii) Failing to subject a driver cordance with the laws, ordinances, and
who has been identified as needing assist- regulations of the jurisdiction in which it
ance to at least six unannounced follow-up is being operated (critical).
alcohol and/or controlled substance tests § 392.4(b) Requiring or permitting a driver
in the first 12 months following the driv- to drive while under the influence of, or in
er’s return to duty (critical). possession of, a narcotic drug, amphet-
§ 383.23(a) Operating a commercial motor amine, or any other substance capable of
vehicle without a valid commercial driv- rendering the driver incapable of safely op-
er’s license (critical). erating a motor vehicle (acute).
§ 383.37(a) Knowingly allowing, requiring, § 392.5(b)(1) Requiring or permitting a driver
permitting, or authorizing an employee to drive a motor vehicle while under the
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with a commercial driver’s license which is influence of, or in possession of, an intoxi-
suspended, revoked, or canceled by a state cating beverage (acute).

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Pt. 385, App. B 49 CFR Ch. III (10–1–07 Edition)
§ 392.5(b)(2) Requiring or permitting a driver more than 70 hours in 8 consecutive days
who shows evidence of having consumed an (critical).
intoxicating beverage within 4 hours to op- § 395.3(c)(1) Requiring or permitting a prop-
erate a motor vehicle (acute). erty-carrying commercial motor vehicle
§ 392.6 Scheduling a run which would neces- driver to restart a period of 7 consecutive
sitate the vehicle being operated at speeds days without taking an off-duty period of 34
in excess of those prescribed (critical). or more consecutive hours (critical).
§ 392.9(a)(1) Requiring or permitting a driver § 395.3(c)(2) Requiring or permitting a prop-
to drive without the vehicle’s cargo being erty-carrying commercial motor vehicle
properly distributed and adequately se- driver to restart a period of 8 consecutive
cured (critical). days without taking an off-duty period of 34
§ 395.1(h)(1)(i) Requiring or permitting a or more consecutive hours (critical).
property-carrying commercial motor vehicle § 395.5(a)(1) Requiring or permitting a pas-
driver to drive more than 15 hours (Driving senger-carrying commercial motor vehicle
in Alaska) (critical). driver to drive more than 10 hours (critical).
§ 395.1(h)(1)(ii) Requiring or permitting a § 395.5(a)(2) Requiring or permitting a pas-
property-carrying commercial motor vehicle senger-carrying commercial motor vehicle
driver to drive after having been on duty 20 driver to drive after having been on duty 15
hours (Driving in Alaska) (critical). hours (critical).
§ 395.1(h)(1)(iii) Requiring or permitting a § 395.5(b)(1) Requiring or permitting a pas-
property-carrying commercial motor vehicle senger-carrying commercial motor vehicle
driver to drive after having been on duty driver to drive after having been on duty
more than 70 hours in 7 consecutive days more than 60 hours in 7 consecutive days
(Driving in Alaska) (critical). (critical).
§ 395.1(h)(1)(iv) Requiring or permitting a § 395.5(b)(2) Requiring or permitting a pas-
property-carrying commercial motor vehicle senger-carrying commercial motor vehicle
driver to drive after having been on duty driver to drive after having been on duty
more than 80 hours in 8 consecutive days more than 70 hours in 8 consecutive days
(Driving in Alaska) (critical). (critical).
§ 395.1(h)(2)(i) Requiring or permitting a § 395.8(a) Failing to require driver to make a
passenger-carrying commercial motor vehi- record of duty status (critical).
cle driver to drive more than 15 hours (Driv- § 395.8(e) False reports of records of duty
ing in Alaska) (critical). status (critical).
§ 395.1(h)(2)(ii) Requiring or permitting a § 395.8(i) Failing to require driver to forward
passenger-carrying commercial motor vehi- within 13 days of completion, the original
cle driver to drive after having been on duty of the record of duty status (critical).
20 hours (Driving in Alaska) (critical). § 395.8(k)(1) Failing to preserve driver’s
§ 395.1(h)(2)(iii) Requiring or permitting a record of duty status for 6 months (crit-
passenger-carrying commercial motor vehi- ical).
cle driver to drive after having been on duty § 395.8(k)(1) Failing to preserve driver’s
more than 70 hours in 7 consecutive days records of duty status supporting docu-
(Driving in Alaska) (critical). ments for 6 months (critical).
§ 395.1(h)(2)(iv) Requiring or permitting a § 396.3(b) Failing to keep minimum records
passenger-carrying commercial motor vehi- of inspection and vehicle maintenance
cle driver to drive after having been on duty (critical).
more than 80 hours in 8 consecutive days § 396.9(c)(2) Requiring or permitting the op-
(Driving in Alaska) (critical). eration of a motor vehicle declared ‘‘out-
§ 395.1(o) Requiring or permitting a prop- of-service’’ before repairs were made
erty-carrying commercial motor vehicle (acute).
driver to drive after having been on duty 16 § 396.11(a) Failing to require driver to pre-
consecutive hours (critical). pare driver vehicle inspection report (crit-
§ 395.3(a)(1) Requiring or permitting a prop- ical).
erty-carrying commercial motor vehicle § 396.11(c) Failing to correct Out-of-Service
driver to drive more than 11 hours (critical). defects listed by driver in a driver vehicle
§ 395.3(a)(2) Requiring or permitting a prop- inspection report before the vehicle is op-
erty-carrying commercial motor vehicle erated again (acute).
driver to drive after the end of the 14th hour § 396.17(a) Using a commercial motor vehi-
after coming on duty (critical). cle not periodically inspected (critical).
§ 395.3(b)(1) Requiring or permitting a prop- § 396.17(g) Failing to promptly repair parts
erty-carrying commercial motor vehicle and accessories not meeting minimum
driver to drive after having been on duty periodic inspection standards (acute).
more than 60 hours in 7 consecutive days § 397.5(a) Failing to ensure a motor vehicle
(critical). containing Division 1.1, 1.2, or 1.3 (explo-
§ 395.3(b)(2) Requiring or permitting a prop- sive) material is attended at all times by
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erty-carrying commercial motor vehicle its driver or a qualified representative


driver to drive after having been on duty (acute).

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Federal Motor Carrier Safety Administration, DOT Pt. 385, App. B
§ 397.7(a)(1) Parking a motor vehicle con- § 173.431(a) Accepting for transportation or
taining Division 1.1, 1.2, or 1.3 materials transporting in a Type A packaging a
within 5 feet of traveled portion of high- greater quantity of Class 7 (radioactive)
way or street (critical). material than authorized (acute).
§ 397.7(b) Parking a motor vehicle con- § 173.431(b) Accepting for transportation or
taining hazardous material(s) other than transporting in a Type B packaging a
Division 1.1, 1.2, or 1.3 materials within 5 greater quantity of Class 7 (radioactive)
feet of traveled portion of highway or material than authorized (acute).
street (critical). § 173.441(a) Accepting for transportation or
§ 397.13(a) Permitting a person to smoke or transporting a package containing Class 7
carry a lighted cigarette, cigar or pipe (radioactive) material with external radi-
within 25 feet of a motor vehicle con- ation exceeding allowable limits (acute).
taining Class 1 materials, Class 5 mate- § 173.442(b) Accepting for transportation or
rials, or flammable materials classified as transporting a package containing Class 7
Division 2.1, Class 3, Divisions 4.1 and 4.2 (radioactive) material when the tempera-
(critical). ture of the accessible external surface of
§ 397.19(a) Failing to furnish driver of motor the loaded package exceeds 50 °C (122 °F) in
vehicle transporting Division 1.1, 1.2, or 1.3 other than an exclusive use shipment, or 85
(explosive) materials with a copy of the °C (185 °F) in an exclusive use shipment
rules of part 397 and/or emergency response (acute).
instructions (critical). § 173.443(a) Accepting for transportation or
§ 397.67(d) Requiring or permitting the oper- transporting a package containing Class 7
ation of a motor vehicle containing explo- (radioactive) material with removable con-
sives in Class 1, Divisions 1.1, 1.2, or 1.3 tamination on the external surfaces of the
that is not accompanied by a written route package in excess of permissible limits
plan (critical). (acute).
§ 177.800(c) Failing to instruct a category of
§ 397.101(d) Requiring or permitting the op-
employees in hazardous materials regula-
eration of a motor vehicle containing high-
tions (critical).
way route-controlled quantity, as defined
§ 177.801 Accepting for transportation or
in § 173.403, of radioactive materials that is
transporting a forbidden material (acute).
not accompanied by a written route plan.
§ 177.835(a) Loading or unloading a Class 1
§ 171.15 Carrier failing to give immediate
(explosive) material with the engine run-
telephone notice of an incident involving
ning (acute).
hazardous materials (critical). § 177.835(c) Accepting for transportation or
§ 171.16 Carrier failing to make a written re- transporting Division 1.1, 1.2, or 1.3 (explo-
port of an incident involving hazardous sive) materials in a motor vehicle or com-
materials (critical). bination of vehicles that is not permitted
§ 172.313(a) Accepting for transportation or (acute).
transporting a package containing a poi- § 177.835(j) Transferring Division 1.1, 1.2, or
sonous-by-inhalation material that is not 1.3 (explosive) materials between con-
marked with the words ‘‘Inhalation Haz- tainers or motor vehicles when not per-
ard’’ (acute). mitted (acute).
§ 172.704(a)(4) Failing to provide security § 177.817(a) Transporting a shipment of haz-
awareness training (critical). ardous materials not accompanied by a
§ 172.704(a)(5) Failing to provide in-depth se- properly prepared shipping paper (critical).
curity awareness training (critical). § 177.817(e) Failing to maintain proper ac-
§ 172.800(b) Transporting HM without a secu- cessibility of shipping papers (critical).
rity plan (acute). § 177.823(a) Moving a transport vehicle con-
§ 172.800(b) Transporting HM without a secu- taining hazardous material that is not
rity plan that conforms to Subpart I re- properly marked or placarded (critical).
quirements (acute). § 177.841(e) Transporting a package bearing
§ 172.800(b) Failure to adhere to a required a poison label in the same transport vehi-
security plan (acute). cle with material marked or known to be
§ 172.802(b) Failure to make copies of secu- foodstuff, feed, or any edible material in-
rity plan available to hazmat employees tended for consumption by humans or ani-
(critical). mals unless an exception in § 177.841(e)(i) or
§ 173.24(b)(1) Accepting for transportation or (ii) is met (acute).
transporting a package that has an identi- § 180.407(a) Transporting a shipment of haz-
fiable release of a hazardous material to ardous material in cargo tank that has not
the environment (acute). been inspected or retested in accordance
§ 173.421(a) Accepting for transportation or with § 180.407 (critical).
transporting a Class 7 (radioactive) mate- § 180.407(c) Failing to periodically test and
rial described, marked, and packaged as a inspect a cargo tank (critical).
limited quantity when the radiation level § 180.415 Failing to mark a cargo tank which
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on the surface of the package exceeds passed an inspection or test required by


0.005mSv/hour (0.5 mrem/hour) (acute). § 180.407 (critical).

255

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Pt. 386 49 CFR Ch. III (10–1–07 Edition)
§ 180.417(a)(1) Failing to retain cargo tank and other purposes; and physical and
manufacturer’s data report certificate and mental examination.
related papers, as required (critical). 386.44 Request for admissions.
§ 180.417(a)(2) Failing to retain copies of 386.45 Motion to compel discovery.
cargo tank manufacturer’s certificate and 386.46 Depositions.
related papers (or alternative report) as re- 386.47 Use of deposition at hearings.
quired (critical). 386.48 Medical records and physicians’ re-
[62 FR 60043, Nov. 6, 1997, as amended at 63 ports.
FR 62959, Nov. 10, 1998; 65 FR 11907, Mar. 7, 386.49 Form of written evidence.
2000; 68 FR 22513, Apr. 28, 2003; 70 FR 50070, 386.51 Amendment and withdrawal of plead-
Aug. 25, 2005; 72 FR 36789, July 5, 2007] ings.
386.52 Appeals from interlocutory rulings.
386.53 Subpoenas, witness fees.
PART 386—RULES OF PRACTICE 386.54 Administrative law judge.
FOR MOTOR CARRIER, BROKER, 386.55 Prehearing conferences.
FREIGHT FORWARDER, AND HAZ- 386.56 Hearings.
ARDOUS MATERIALS PRO- 386.57 Proposed findings of fact, conclusions
CEEDINGS of law.
386.58 Burden of proof.
Subpart A—Scope of Rules; Definitions and
Subpart E—Decision
General Provisions
386.61 Decision.
Sec.
386.62 Review of administrative law judge’s
386.1 Scope of rules in this part.
386.2 Definitions. decision.
386.3 Separation of functions. 386.63 Decision on review.
386.4 Appearances and rights of parties. 386.64 Reconsideration.
386.5 Form of filings and extensions of time. 386.65 Failure to comply with final order.
386.6 Service. 386.66 Motions for rehearing or for modifica-
386.7 Filing of documents. tion.
386.8 Computation of time. 386.67 Judicial review.

Subpart B—Commencement of Subpart F—Injunctions and Imminent


Proceedings, Pleadings Hazards
386.11 Commencement of proceedings. 386.71 Injunctions.
386.12 Complaint. 386.72 Imminent hazard.
386.13 Petitions to review and request for
hearing: Driver qualification pro- Subpart G—Penalties
ceedings.
386.14 Reply. 386.81 General.
386.15 [Reserved] 386.82 Civil penalties for violations of no-
386.16 Action on replies to the Notice of tices and orders.
Claim. 386.83 Sanction for failure to pay civil pen-
386.17 Intervention. alties or abide by payment plan; oper-
386.18 Payment of the claim. ation in interstate commerce prohibited.
386.84 Sanction for failure to pay civil pen-
Subpart C—Settlement Agreements alties or abide by payment plan; suspen-
sion or revocation of registration.
386.22 Settlement agreements and their con-
tents. APPENDIX A TO PART 386—PENALTY SCHED-
ULE; VIOLATIONS OF NOTICES AND ORDERS
Subpart D—General Rules and Hearings APPENDIX B TO PART 386—PENALTY SCHED-
ULE; VIOLATIONS AND MAXIMUM MONE-
386.31 Official notice. TARY PENALTIES
386.34 Motions.
386.35 Motions to dismiss and motions for a AUTHORITY: 49 U.S.C. 521, 5123, 13301, 13902,
more definite statement. 14915, 31132–31133, 31136, 31144, 31502, 31504;
386.36 Motions for final agency order. Sec. 204, Pub. L. 104–88, 109 Stat. 803, 941 (49
386.37 Discovery. U.S.C. 701 note); Sec. 217, Pub. L. 105–159, 113
386.38 Scope of discovery. Stat. 1748, 1767; and 49 CFR 1.73.
386.39 Protective orders. SOURCE: 50 FR 40306, Oct. 2, 1985, unless
386.40 Supplementation of responses. otherwise noted.
386.41 Stipulations regarding discovery.
EDITORIAL NOTE: Nomenclature changes to
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386.42 Written interrogatories to parties.


386.43 Production of documents and other part 386 appear at 65 FR 7755, Feb. 16, 2000,
evidence; entry upon land for inspection and 66 FR 49873, Oct. 1, 2001.

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Federal Motor Carrier Safety Administration, DOT § 386.2

Subpart A—Scope of Rules; carrier, broker, freight forwarder, and


Definitions and General Provisions hazardous materials proceedings under
this part are administratively final.
§ 386.1 Scope of rules in this part. Broker means a person who, for com-
pensation, arranges or offers to arrange
The rules in this part govern pro-
the transportation of property by an
ceedings before the Assistant Adminis-
authorized motor carrier. A motor car-
trator, who also acts as the Chief Safe-
rier, or person who is an employee or
ty Officer of the Federal Motor Carrier
bona fide agent of a carrier, is not a
Safety Administration (FMCSA), under
broker within the meaning of this sec-
applicable provisions of the Federal
tion when it arranges or offers to ar-
Motor Carrier Safety Regulations (49
range the transportation of shipments
CFR parts 350–399), including the com-
which it is authorized to transport and
mercial regulations (49 CFR parts 360–
which it has accepted and legally
379) and the Hazardous Materials Regu-
bound itself to transport.
lations (49 CFR parts 171–180). The pur-
Civil forfeiture proceedings means pro-
pose of the proceedings is to enable the
ceedings to collect civil penalties for
Assistant Administrator to determine
violations under the Commercial
whether a motor carrier, property
Motor Vehicle Safety Act of 1986 (49
broker, freight forwarder, or its agents,
U.S.C. Chapter 313); the Hazardous Ma-
employees, or any other person subject
terials Transportation Act of 1975, as
to the jurisdiction of the FMCSA, has
amended (49 U.S.C. Chapter 51); the
failed to comply with the provisions or
Motor Carrier Safety Act of 1984 (49
requirements of applicable statutes and
U.S.C. Chapter 311, Subchapter III);
the corresponding regulations and, if
section 18 of the Bus Regulatory Re-
such violations are found, to issue an
form Act of 1982 (49 U.S.C. 31138); sec-
appropriate order to compel compli-
tion 30 of the Motor Carrier Act of 1980
ance with the statute or regulation, as-
(49 U.S.C. 31139); and the ICC Termi-
sess a civil penalty, or both.
nation Act of 1995 (49 U.S.C. Chapters
[65 FR 78427, Dec. 15, 2000] 131–149).
Civil penalty proceedings means pro-
§ 386.2 Definitions. ceedings to collect civil penalties for
Abate or abatement means to dis- violations of regulations and statutes
continue regulatory violations by re- within the jurisdiction of FMCSA.
fraining from or taking actions identi- Claimant means the representative of
fied in a notice to correct noncompli- the Federal Motor Carrier Safety Ad-
ance. ministration authorized to make
Administration means the Federal claims.
Motor Carrier Safety Administration. Commercial regulations means statutes
Administrative adjudication means a and regulations that apply to persons
process or proceeding to resolve con- providing or arranging transportation
tested claims in conformity with the for compensation subject to the Sec-
Administrative Procedure Act, 5 U.S.C. retary’s jurisdiction under 49 U.S.C.
554–558. Chapter 135. The statutes are codified
Administrative law judge means an ad- in Part B of Subtitle IV, Title 49,
ministrative law judge appointed pur- U.S.C. (49 U.S.C. 13101 through 14913).
suant to the provisions of 5 U.S.C. 3105. The regulations include those issued by
Agency means the Federal Motor Car- the Federal Motor Carrier Safety Ad-
rier Safety Administration. ministration or its predecessors under
Agency Counsel means the attorney authority provided in 49 U.S.C. 13301 or
who prosecutes a civil penalty matter a predecessor statute.
on behalf of the Field Administrator. Decisionmaker means the Assistant
Assistant Administrator means the As- Administrator of FMCSA, acting in the
sistant Administrator of the Federal capacity of the decisionmaker or any
Motor Carrier Safety Administration. person to whom the Assistant Adminis-
The Assistant Administrator is the trator has delegated his/her authority
Chief Safety Officer of the agency pur- in a civil penalty proceeding. As used
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suant to 49 U.S.C. 113(e). Decisions of in this subpart, the Agency decision-


the Assistant Administrator in motor maker is the official authorized to

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§ 386.2 49 CFR Ch. III (10–1–07 Edition)

issue a final decision and order of the FMCSRs means the Federal Motor
Agency in a civil penalty proceeding. Carrier Safety Regulations.
Default means an omission or failure Formal hearing means an evidentiary
to perform a legal duty within the time hearing on the record in which parties
specified for action, failure to reply to have the opportunity to conduct dis-
a Notice of Claim within the time re- covery, present relevant evidence, and
quired, or failure to submit a reply in cross-examine witnesses.
accordance with the requirements of Freight forwarder means a person
this part. A default may result in holding itself out to the general public
issuance of a Final Agency Order or ad- (other than as an express, pipeline,
ditional penalties against the default- rail, sleeping car, motor, or water car-
ing party. rier) to provide transportation of prop-
Department means the U.S. Depart- erty for compensation in interstate
ment of Transportation. commerce, and in the ordinary course
Dockets means the U.S. Department of its business:
of Transportation’s docket manage- (1) Performs or provides for assem-
ment system, which is the central re- bling, consolidating, break-bulk, and
pository for original copies of all docu- distribution of shipments;
ments filed before the agency decision- (2) Assumes responsibility for trans-
maker. portation from place of receipt to des-
Driver qualification proceeding means tination; and
a proceeding commenced under 49 CFR (3) Uses for any part of the transpor-
391.47 or by issuance of a letter of dis- tation a carrier subject to FMCSA ju-
qualification. risdiction.
Federal Motor Carrier Commercial Reg-
Hearing officer means a neutral Agen-
ulations (FMCCRs) means statutes and
cy employee designated by the Assist-
regulations applying to persons pro-
ant Administrator to preside over an
viding or arranging transportation for
informal hearing.
compensation subject to the Sec-
retary’s jurisdiction under 49 U.S.C. HMRs means Hazardous Materials
Chapter 135. The statutes are codified Regulations.
in Part B of Subtitle IV, Title 49 U.S.C. Informal hearing means a hearing in
(49 U.S.C. 13101 through 14913). The reg- which the parties have the opportunity
ulations include those issued by to present relevant evidence to a neu-
FMCSA or its predecessors under au- tral Hearing Officer, who will prepare
thority provided in 49 U.S.C. 13301 or a findings of fact and recommendations
predecessor statute. for the Agency decisionmaker. The in-
Field Administrator means the head of formal hearing will not be on the tran-
an FMCSA Service Center who has scribed record and discovery will not be
been delegated authority to initiate allowed. Parties will have the oppor-
compliance and enforcement actions on tunity to discuss their case and present
behalf of FMCSA. testimony and evidence before the
Final Agency Order means the final Hearing Officer without the formality
action by FMCSA issued pursuant to of a formal hearing.
this part by the appropriate Field Ad- Mail means U.S. first class mail, U.S.
ministrator (for default judgments registered or certified mail, or use of a
under § 386.14) or the Assistant Admin- commercial delivery service.
istrator, or settlement agreements Motor carrier means a motor carrier,
which become the Final Agency Order motor private carrier, or motor carrier
pursuant to 386.22, or decisions of the of migrant workers as defined in 49
Administrative Law Judge, which be- U.S.C. 13102 and 31501.
come the Final Agency Order pursuant Notice of Claim (NOC) means the ini-
to 386.61 or binding arbitration awards. tial document issued by FMCSA to as-
A person who fails to perform the ac- sert a civil penalty for alleged viola-
tions directed in the Final Agency tions of the FMCSRs, HMRs, or
Order commits a violation of that FMCCRs.
order and is subject to an additional Notice of Violation (NOV) means a doc-
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penalty as prescribed in Subpart G of ument alleging a violation of the


this part. FMCSRs, HMRs, or FMCCRs, for which

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Federal Motor Carrier Safety Administration, DOT § 386.5

corrective action, other than payment (c) The Deputy Chief Counsel, Assist-
of a civil penalty, is recommended. ant Chief Counsel for Enforcement and
Person means any individual, part- Litigation, and attorneys in the En-
nership, association, corporation, busi- forcement and Litigation Division
ness trust, or any other organized serve as enforcement counsel in the
group of individuals. prosecution of all cases brought under
Reply means a written response to a this part.
Notice of Claim, admitting or denying (d) The Chief Counsel, the Special
the allegations contained within the Counsel to the Chief Counsel, and at-
Notice of Claim. In addition, the reply torneys serving as Adjudications Coun-
provides the mechanism for deter- sel advise the Agency decisionmaker
mining whether the respondent seeks regarding all cases brought under this
to pay, settle, contest, or seek binding Part.
arbitration of the claim. See § 386.14. If (e) Nothing in this part shall pre-
contesting the allegations, the reply clude agency decisionmakers or anyone
must also set forth all known affirma- advising an agency decisionmaker from
tive defenses and factors in mitigation taking part in a determination to
of the claim. launch an investigation or issue a com-
Petitioner means a party petitioning plaint, or similar preliminary decision.
to overturn a determination in a driver
[70 FR 28479, May 18, 2005]
qualification proceeding.
Respondent means a party against § 386.4 Appearances and rights of par-
whom relief is sought or claim is made. ties.
Secretary means the Secretary of
(a) A party may appear in person, by
Transportation.
Submission of written evidence without counsel, or by other representative, as
hearing means the submission of writ- the party elects, in a proceeding under
ten evidence and legal argument to the this subpart.
Agency decisionmaker, or his/her rep- (b) A person representing a party
resentative, in lieu of a formal or infor- must file a notice of appearance in the
mal hearing. proceeding, in the manner provided in
§ 386.7 of this subpart. The notice of ap-
[50 FR 40306, Oct. 2, 1985, as amended at 53 FR pearance must list the name, address,
2036, Jan. 26, 1988; 56 FR 10182, Mar. 11, 1991; telephone number, and facsimile num-
65 FR 7755, Feb. 16, 2000; 65 FR 78427, Dec. 15, ber of the person designated to rep-
2000; 67 FR 61821, Oct. 2, 2002; 70 FR 28748,
May 18, 2005; 72 FR 55701, Oct. 1, 2007]
resent the party. A copy of the notice
of appearance must be served on each
§ 386.3 Separation of functions. party, in the manner provided in § 386.6
of this subpart. The notice of appear-
(a) Civil penalty proceedings will be
ance must be filed and served before
prosecuted by Agency Counsel who rep-
the representative can participate in
resent the Field Administrator. In No-
the proceeding. Any changes in an at-
tices of Violation, the Field Adminis-
torney or representative’s contact in-
trator will be represented by Agency
formation must be served and filed ac-
Counsel.
cording to §§ 386.6 and 386.7 in a timely
(b) An Agency employee, including
manner.
those listed in paragraph (c) of this sec-
(c) A separate notice of appearance
tion, engaged in the performance of in-
must be filed by a representative in
vestigative or prosecutorial functions
each case. Blanket appearances on be-
in a civil penalty proceeding may not,
half of a party will not be accepted.
in that case or a factually related case,
discuss or communicate the facts or [70 FR 28479, May 18, 2005]
issues involved with the Agency deci-
sionmaker, Administrative Law Judge, § 386.5 Form of filings and extensions
Hearing Officer or others listed in para- of time.
graph (d) of this section, except as (a) Form. Each document must be
counsel or a witness in the public pro- typewritten or legibly handwritten.
ceedings. This prohibition also includes (b) Contents. Unless otherwise speci-
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the staff of those covered by this sec- fied in this part, each document must
tion. contain a short, plain statement of the

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§ 386.6 49 CFR Ch. III (10–1–07 Edition)

facts on which the person’s case rests (b) Type of service. A person may
and a brief statement of the action re- serve documents by personal delivery
quested in the document. Except by utilizing governmental or commercial
prior order, all contents will be made entities, U.S. mail, commercial mail
publicly available. delivery, and upon prior written con-
(c) Length. Except for the Notice of sent of the parties, facsimile. Written
Claim and reply, motions, briefs, and consent for facsimile service must
other filings may not exceed 20 pages specify the facsimile number where
except as permitted by Order following
service will be accepted. When service
a motion to exceed the page limitation
is made by facsimile, a copy will also
based upon good cause shown. Exhibits
or attachments in support of the rel- be served by any other method per-
evant filing are not included in the mitted by this section. Facsimile serv-
page limit. ice occurs when transmission is com-
(d) Paper and margins. Filed docu- plete.
ments must be printed on 81⁄2″ by 11″ (c) Certificate of service. A certificate
paper with a one-inch margin on all of service will accompany all docu-
four sides of text, to include pagination ments served in a proceeding under
and footnotes. this Part. The certificate must show
(e) Spacing, and font size for type- the date and manner of service, be
written documents. Typewritten docu- signed by the person making service,
ments will use the following line for- and list the persons served in accord-
mat: single-spacing for the caption and ance with § 386.7.
footnotes, and double-spacing for the (d) Date of service. A document will be
main text. All printed matter must ap- considered served on the date of per-
pear in at least 12-point font, including
sonal delivery; or if mailed, the mail-
footnotes.
ing date shown on the certificate of
(f) Extensions of time. Only those re-
quests showing good cause will be service, the date shown on the post-
granted. No motion for continuance or mark if there is no certificate of serv-
postponement of a hearing date filed ice, or other mailing date shown by
within 15 days of the date set for a other evidence if there is no certificate
hearing will be granted unless accom- of service or postmark.
panied by an affidavit showing extraor- (e) Valid service. A properly addressed
dinary circumstances warrant a con- document, sent in accordance with this
tinuance. Unless directed otherwise by subpart, which was returned, un-
the Agency decisionmaker before claimed, or refused, is deemed to have
whom a matter is pending, the parties been served in accordance with this
may stipulate to reasonable extensions subpart. The service will be considered
of time by filing the stipulation in the valid as of the date and the time the
official docket and serving copies on document was mailed, or the date per-
all parties on the certificate of service. sonal delivery of the document was re-
Motions for extensions of time must be fused. Service by delivery after 5 p.m.
filed in accordance with § 386.6 and in the time zone in which the recipient
served in accordance with § 386.7. A
will receive delivery is deemed to have
copy must also be served upon the per-
been made on the next day that is not
son presiding over the proceeding at
the time of the filing. a Saturday, Sunday, or legal holiday.
(f) Presumption of service. There shall
[70 FR 28479, May 18, 2005] be a presumption of service if the docu-
§ 386.6 Service. ment is served where a party or a per-
son customarily receives mail or at the
(a) General. All documents must be address designated in the entry of ap-
served upon the party or the party’s pearance. If an entry of appearance has
designated agent for service of process. been filed on behalf of the party, serv-
If a notice of appearance has been filed
ice is effective upon service of a docu-
in the specific case in question in ac-
ment to its representative.
cordance with § 386.4, service is to be
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made on the party’s attorney of record [70 FR 28480, May 18, 2005]
or its designated representative.

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Federal Motor Carrier Safety Administration, DOT § 386.11

§ 386.7 Filing of documents. Subpart B—Commencement of


Address and method of filing. A person Proceedings, Pleadings
serving or tendering a document for fil-
§ 386.11 Commencement of pro-
ing must personally deliver or mail one ceedings.
copy of each document to all parties
and counsel or their designated rep- (a) Driver qualification proceedings.
resentative of record if represented. A These proceedings are commenced by
signed original and one copy of each the issuance of a determination by the
document submitted for the consider- Director, Office of Truck and Bus
ation of the Assistant Administrator, Standards and Operations, in a case
arising under § 391.47 of this chapter or
an Administrative Law Judge, or Hear-
by the issuance of a letter of disquali-
ing Officer must be personally deliv-
fication.
ered or mailed to: Department of
(1) Such determination and letters
Transportation Docket Management
must be accompanied by the following:
Facility, 1200 New Jersey Ave., SE.,
(i) A citation of the regulation under
Washington, DC 20590–0001. A person which the action is being taken;
will serve a copy of each document on
(ii) A copy of all documentary evi-
each party in accordance with § 386.6 of dence relied on or considered in taking
this subpart. such action, or in the case of volumi-
[70 FR 28480, May 18, 2005, as amended at 72 nous evidence a summary of such evi-
FR 55701, Oct. 1, 2007] dence;
(iii) Notice to the driver and motor
§ 386.8 Computation of time. carrier involved in the case that they
(a) Generally. In computing any time may petition for review of the action;
period set out in these rules or in an (iv) Notice that a hearing will be
order issued hereunder, the time com- granted if the Assistant Administrator
putation begins with the day following determines there are material factual
issues in dispute;
the act, event, or default. The last day
of the period is included unless it is a (v) Notice that failure to petition for
review will constitute a waiver of the
Saturday, Sunday, or legal Federal hol-
right to contest the action; and
iday in which case the time period will
(vi) Notice that the burden or proof
run to the end of the next day that is
will be on the petitioner in cases aris-
not a Saturday, Sunday, or legal Fed- ing under § 391.47 of this chapter.
eral holiday. All Saturdays, Sundays,
(2) At any time before the close of
and legal Federal holidays except those hearing, upon application of a party,
falling on the last day of the period the letter or determination may be
will be computed. amended at the discretion of the ad-
(b) Date of entry of orders. In com- ministrative law judge upon such
puting any period of time involving the terms as he/she approves.
date of the entry of an order, the date (b) Notice of Violation. The Agency
of entry is the date the order is served. may issue a Notice of Violation as a
(c) Computation of time for delivery by means of notifying any person subject
mail. (1) Service of all documents is to the rules in this part that it has re-
deemed effected at the time of mailing. ceived information (i.e., from an inves-
(2) Documents are not deemed filed tigation, audit, or any other source)
until received by Dockets. wherein it has been alleged the person
(3) Whenever a party has a right or a has violated provisions of the FMCSRs,
duty to act or to make any response HMRs, or FMCCRs. The notice of viola-
within a prescribed period after service tion serves as an informal mechanism
by mail, or on a date certain after serv- to address compliance deficiencies. If
ice by mail, 5 days will be added to the the alleged deficiency is not addressed
to the satisfaction of the Agency, for-
prescribed period.
mal enforcement action may be taken
[70 FR 28480, May 18, 2005] in accordance with paragraph (c) of
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this section. A notice of violation is


not a prerequisite to the issuance of a

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§ 386.12 49 CFR Ch. III (10–1–07 Edition)

Notice of Claim. The notice of viola- occurring or has occurred within the
tion will address the following issues, preceding 60 days. A substantial viola-
as appropriate: tion is one which could reasonably lead
(1) The specific alleged violations. to, or has resulted in, serious personal
(2) Any specific actions the Agency injury or death. Each complaint must
determines are appropriate to remedy be signed by the complainant and must
the identified problems. contain:
(3) The means by which the notified (1) The name, address, and telephone
person can inform the Agency that it number of the person who files it;
has received the notice of violation and (2) The name and address of the al-
either has addressed the alleged viola- leged violator and, with respect to each
tion or does not agree with the Agen- alleged violator, the specific provisions
cy’s assertions in the notice of viola- of the regulations that the complain-
tion. ant believes were violated; and
(4) Any other relevant information. (3) A concise but complete statement
(c) Civil penalty proceedings. These of the facts relied upon to substantiate
proceedings are commenced by the each allegation, including the date of
issuance of a Notice of Claim. each alleged violation.
(1) Each Notice of Claim must con- (b) Action on complaint of substantial
tain the following: violation. Upon the filing of a com-
(i) A statement setting forth the plaint of a substantial violation under
facts alleged. paragraph (a) of this section, the As-
(ii) A statement of the provisions of sistant Administrator shall determine
law allegedly violated by the respond- whether it is nonfrivolous and meets
ent. the requirements of paragraph (a) of
(iii) The proposed civil penalty and this section. If the Assistant Adminis-
notice of the maximum amount au- trator determines the complaint is
thorized to be claimed under statute. nonfrivolous and meets the require-
(iv) The time, form, and manner ments of paragraph (a), he/she shall in-
whereby the respondent may pay, con- vestigate the complaint. The complain-
test, or otherwise seek resolution of ant shall be timely notified of findings
the claim. resulting from such investigation. The
(2) In addition to the information re- Assistant Administrator shall not be
quired by paragraph (c)(1) of this sec- required to conduct separate investiga-
tion, the Notice of Claim may contain tions of duplicative complaints. If the
such other matters as the Agency Assistant Administrator determines
deems appropriate. the complaint is frivolous or does not
(3) In proceedings for collection of meet the requirements of the para-
civil penalties for violations of the graph (a), he/she shall dismiss the com-
motor carrier safety regulations under plaint and notify the complainant in
the Motor Carrier Safety Act of 1984, writing of the reasons for such dis-
the Agency may require the respondent missal.
to post a copy of the Notice of Claim in (c) Notwithstanding the provisions of
such place or places and for such dura- section 552 of title 5, United States
tion as the Agency may determine ap- Code, the Assistant Administrator
propriate to aid in the enforcement of shall not disclose the identity of com-
the law and regulations. plainants unless it is determined that
such disclosure is necessary to pros-
[50 FR 40306, Oct. 2, 1985, as amended at 53 FR
ecute a violation. If disclosure becomes
2036, Jan. 26, 1988; 56 FR 10182, Mar. 11, 1991;
65 FR 7756, Feb. 16, 2000; 70 FR 28480, May 18, necessary, the Assistant Administrator
2005] shall take every practical means with-
in the Assistant Administrator’s au-
§ 386.12 Complaint. thority to assure that the complainant
(a) Complaint of substantial violation. is not subject to harassment, intimida-
Any person may file a written com- tion, disciplinary action, discrimina-
plaint with the Assistant Adminis- tion, or financial loss as a result of
trator alleging that a substantial vio- such disclosure.
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lation of any regulation issued under [50 FR 40306, Oct. 2, 1985, as amended at 70 FR
the Motor Carrier Safety Act of 1984 is 28481, May 18, 2005]

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Federal Motor Carrier Safety Administration, DOT § 386.14

§ 386.13 Petitions to review and re- (1) Paying the full amount asserted
quest for hearing: Driver qualifica- in the Notice of Claim in accordance
tion proceedings. with § 386.18 of this part;
(a) Within 60 days after service of the (2) Contesting the claim by request-
determination under § 391.47 of this ing administrative adjudication pursu-
chapter or the letter of disqualifica- ant to paragraph (d) of this section; or
tion, the driver or carrier may petition (3) Seeking binding arbitration in ac-
to review such action. Such petitions cordance with the Agency’s program.
must be submitted to the Assistant Ad- Although the amount of the proposed
ministrator and must contain the fol- penalty may be disputed, referral to
lowing: binding arbitration is contingent upon
(1) Identification of what action the an admission of liability that the viola-
petitioner wants overturned; tions occurred.
(2) Copies of all evidence upon which (c) Failure to answer the Notice of
petitioner relies in the form set out in Claim. (1) Respondent’s failure to an-
§ 386.49; swer the Notice of Claim in accordance
(3) All legal and other arguments with paragraph (a) may result in the
which the petitioner wishes to make in issuance of a Notice of Default and
support of his/her position; Final Agency Order by the Field Ad-
(4) A request for oral hearing, if one ministrator. The Notice of Default and
is desired, which must set forth mate- Final Agency Order will declare re-
rial factual issues believed to be in dis- spondent to be in default and further
pute; declare the Notice of Claim, including
(5) Certification that the reply has the civil penalty proposed in the Notice
been filed in accordance with § 386.31; of Claim, to be the Final Agency Order
and in the proceeding. The Final Agency
(6) Any other pertinent material. Order will be effective five days fol-
(b) Failure to submit a petition as lowing service of the Notice of Default
specified in paragraph (a) of this sec- and Final Agency Order.
tion shall constitute a waiver of the (2) The default constitutes an admis-
right to petition for review of the de- sion of all facts alleged in the Notice of
termination or letter of disqualifica- Claim and a waiver of respondent’s op-
tion. In these cases, the determination portunity to contest the claim. The de-
or disqualification issued automati- fault will be reviewed by the Assistant
cally becomes the final decision of the Administrator in accordance with
Assistant Administrator 30 days after § 386.64(b), and the Final Agency Order
the time to submit the reply or peti- may be vacated where a respondent
tion to review has expired, unless the demonstrates excusable neglect, a mer-
Assistant Administrator orders other- itorious defense, or due diligence in
wise. seeking relief.
(c) If the petition does not request a (3) Failure to pay the civil penalty as
hearing, the Assistant Administrator directed in a Final Agency Order con-
may issue a final decision and order stitutes a violation of that order, sub-
based on the evidence and arguments jecting the respondent to an additional
submitted. penalty as prescribed in Subpart G of
this part.
§ 386.14 Reply. (d) Request for administrative adjudica-
(a) Time for reply to the Notice of tion. The respondent may contest the
Claim. Respondent must serve a reply claim and request administrative adju-
to the Notice of Claim in writing with- dication pursuant to paragraph (b)(2) of
in 30 days following service of the No- this section. An administrative adju-
tice of Claim. The reply is to be served dication is a process to resolve con-
in accordance with § 386.6 upon the tested claims before the Assistant Ad-
Service Center indicated in the Notice ministrator, Administrative Law
of Claim. Judge, or Hearing Officer. Once an ad-
(b) Options for reply. The respondent ministrative adjudication option is
must reply to the Notice of Claim with- elected, it is binding on the respondent.
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in the time allotted by choosing one of (1) Contents. In addition to the gen-
the following: eral requirements of this section, the

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§ 386.15 49 CFR Ch. III (10–1–07 Edition)

reply must be in writing and state the within 20 days of service of respond-
grounds for contesting the claim and ent’s submission.
must raise any affirmative defenses the (4) All written evidence submitted by
respondent intends to assert. Specifi- the parties must conform to the re-
cally, the reply: quirements of § 386.49.
(i) Must admit or deny each sepa- (5) Following submission of evidence
rately stated and numbered allegation and argument as outlined in this sec-
of violation in the claim. A statement tion, the Assistant Administrator may
that the person is without sufficient issue a Final Agency Order and order
knowledge or information to admit or based on the evidence and arguments
deny will have the effect of a denial. submitted, or may issue any other
Any allegation in the claim not specifi- order as may be necessary to adju-
cally denied in the reply is deemed ad- dicate the matter.
mitted. A mere general denial of the (b) Requests for hearing. (1) If a re-
claim is insufficient and may result in quest for a formal or informal hearing
a default being entered by the Agency has been filed, the Assistant Adminis-
decisionmaker upon motion by the trator will determine whether there ex-
Field Administrator. ists a dispute of a material fact at
(ii) Must include all known affirma- issue in the matter. If so, the matter
tive defenses, including those relating will be set for hearing in accordance
to jurisdiction, limitations, and proce- with respondent’s reply. If it is deter-
dure. mined that there does not exist a dis-
(iii) Must state which one of the fol- pute of a material fact at issue in the
lowing options respondent seeks: matter, the Assistant Administrator
(A) To submit written evidence with- may issue a decision based on the writ-
out hearing; or ten record, or may request the submis-
(B) An informal hearing; or sion of further evidence or argument.
(C) A formal hearing. (2) If a respondent requests a formal
(2) [Reserved] or informal hearing in its reply, the
[70 FR 28481, May 18, 2005] Field Administrator must serve upon
the Assistant Administrator and re-
§ 386.15 [Reserved] spondent a notice of consent or objec-
tion with a basis to the request within
§ 386.16 Action on replies to the Notice 60 days of service of respondent’s reply.
of Claim. Failure to serve an objection within
(a) Requests to submit written evidence the time allotted may result in referral
without a hearing. Where respondent of the matter to hearing.
has elected to submit written evidence (3) Requests for formal hearing. Fol-
in accordance with § 386.14(d)(1)(iii)(A): lowing the filing of an objection with
(1) Agency Counsel must serve all basis, the Field Administrator must
written evidence and argument in sup- serve a motion for Final Agency Order
port of the Notice of Claim no later pursuant to § 386.36 unless otherwise or-
than 60 days following service of re- dered by the Assistant Administrator.
spondent’s reply. The written evidence The motion must set forth the reasons
and argument must be served on the why the Field Administrator is enti-
Assistant Administrator in accordance tled to judgment as a matter of law.
with §§ 386.6 and 386.7. The submission Respondent must, within 45 days of
must include all pleadings, notices, and service of the motion for Final Agency
other filings in the case to date. Order, submit and serve a response to
(2) Respondent will, not later than 45 the Field Administrator’s motion.
days following service of Agency Coun- After reviewing the record, the Assist-
sel’s written evidence and argument, ant Administrator will either set the
serve its written evidence and argu- matter for hearing by referral to the
ment on the Assistant Administrator Office of Hearings or issue a Final
in accordance with §§ 386.6 and 386.7. Agency Order based upon the submis-
(3) Agency Counsel may file a written sions.
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response to respondent’s submission. (4) Requests for informal hearing. (i) If


Any such submission must be filed the Field Administrator objects with

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Federal Motor Carrier Safety Administration, DOT § 386.18

basis to a request for an informal hear- § 386.17 Intervention.


ing, he/she must serve the objection, a After the matter is called for hearing
copy of the Notice of Claim, and a copy and before the date set for the hearing
of respondent’s reply, on the respond- to begin, any person may petition for
ent and Assistant Administrator, pur- leave to intervene. The petition is to be
suant to paragraph (b)(2) of this sec- served on the administrative law judge.
tion. Based upon the Notice of Claim, The petition must set forth the reasons
the reply, and the objection with basis, why the petitioner alleges he/she is en-
the Assistant Administrator will issue titled to intervene. The petition must
an order granting or denying the re- be served on all parties in accordance
quest for informal hearing. with § 386.31. Any party may file a re-
(A) Informal hearing granted. If the re- sponse within 10 days of service of the
quest for informal hearing is granted petition. The administrative law judge
by the Assistant Administrator, a shall then determine whether to permit
Hearing Officer will be assigned to hear
or deny the petition. The petition will
the matter and will set forth the date, be allowed if the administrative law
time and location for hearing. No fur- judge determines that the final deci-
ther motions will be entertained, and sion could directly and adversely affect
no discovery will be allowed. At hear- the petitioner or the class he/she rep-
ing, all parties may present evidence, resents, and if the petitioner may con-
written and oral, to the Hearing Offi- tribute materially to the disposition of
cer, following which the Hearing Offi- the proceedings and his/her interest is
cer will issue a report to the Assistant not adequately represented by existing
Administrator containing findings of parties. Once admitted, a petitioner is
fact and recommending a disposition of a party for the purpose of all subse-
the matter. The report will serve as the quent proceedings.
sole record of the proceedings. The As-
sistant Administrator may issue a § 386.18 Payment of the claim.
Final Agency Order adopting the re-
(a) Payment of the full amount
port, or issue other such orders as he/
claimed may be made at any time be-
she may deem appropriate. By partici-
fore issuance of a Final Agency Order.
pating in an informal hearing, respond-
After the issuance of a Final Agency
ent waives its right to a formal hear-
Order, claims are subject to interest,
ing.
(B) Informal hearing denied. If the re- penalties, and administrative charges
in accordance with 31 U.S.C. 3717; 49
quest for informal hearing is denied,
CFR part 89; and 31 CFR 901.9.
the Field Administrator must serve a
(b) If respondent elects to pay the
motion for Final Agency Order pursu-
full amount as its response to the No-
ant to § 386.36, unless otherwise di-
tice of Claim, payment must be served
rected by the Assistant Administrator.
upon the Field Administrator at the
The motion must set forth the reasons
Service Center designated in the No-
why the Field Administrator is enti-
tice of Claim within 30 days following
tled to judgment as a matter of law.
service of the Notice of Claim. No writ-
Respondent must, within 45 days of ten reply is necessary if respondent
service of the motion for Final Agency elects the payment option during the
Order, submit and serve a response to 30-day reply period. Failure to serve
the Field Administrator’s motion. full payment within 30 days of service
After reviewing the record, the Assist- of the Notice of Claim when this option
ant Administrator will set the matter has been chosen may constitute a de-
for formal hearing by referral to the fault and may result in the Notice of
Office of Hearings, or will issue a Final Claim, including the civil penalty as-
Agency Order based upon the submis- sessed by the Notice of Claim, becom-
sions. ing the Final Agency Order in the pro-
(C) Nothing in this section shall limit ceeding pursuant to § 386.14(c).
the Assistant Administrator’s author- (c) Unless objected to in writing, sub-
ity to refer any matter for formal hear- mitted at the time of payment, pay-
ing, even in instances where respond- ment of the full amount in response to
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ent seeks only an informal hearing. the Notice of Claim constitutes an ad-
[70 FR 28481, May 18, 2005] mission by the respondent of all facts

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§ 386.22 49 CFR Ch. III (10–1–07 Edition)

alleged in the Notice of Claim. Pay- ministrative Law Judge may not be
ment waives respondent’s opportunity withdrawn for a period of 30 days.
to further contest the claim, and will (b) Civil Penalty Proceedings not before
result in the Notice of Claim becoming Agency Decisionmaker. When the parties
the Final Agency Order. have agreed to a settlement at any
[70 FR 28482, May 18, 2005] time prior to the case coming before
the Agency decisionmaker, the parties
may execute an appropriate agreement
Subpart C—Settlement for disposing of the case. The agree-
Agreements ment does not require approval by the
§ 386.22 Settlement agreements and Agency decisionmaker. The agreement
their contents. becomes the Final Agency Order upon
execution by the Field Administrator
(a) Settlement agreements. (1) When ne- or his/her designee.
gotiations produce an agreement as to
(c) Civil Penalty Proceedings before
the amount or terms of payment of a
Agency Decisionmaker. When a respond-
civil penalty or the terms and condi-
ent has agreed to a settlement of a
tions of an order, a settlement agree-
civil penalty before a Final Agency
ment shall be drawn and signed by the
Order has been issued, the parties may
respondent and the Field Adminis-
trator or his/her designee. Such settle- execute an appropriate agreement for
ment agreement must contain the fol- disposal of the case by consent for the
lowing: consideration of the Assistant Admin-
(i) The statutory basis of the claim; istrator. The agreement is filed with
(ii) A brief statement of the viola- the Assistant Administrator, who may
tions; accept it, reject it and direct that pro-
(iii) The amount claimed and the ceedings in the case continue, or take
amount paid; such other action as he/she deems ap-
(iv) The date, time, and place and propriate. If the Assistant Adminis-
form of payment; trator accepts the agreement, he/she
(v) A statement that the agreement shall enter an order in accordance with
is not binding on the Agency until exe- its terms. The settlement agreement
cuted by the Field Administrator or becomes the Final Agency Order as of
his/her designee; the date the Assistant Administrator
(vi) A statement that failure to pay enters an order accepting the settle-
in accordance with the terms of the ment agreement.
agreement or to comply with the terms (d) Civil Penalty Proceedings before Ad-
of the agreement may result in the re- ministrative Law Judge (ALJ). When a re-
instatement of any penalties held in spondent has agreed to a settlement of
abeyance and may also result in the a civil penalty before the hearing is
loss of any reductions in civil penalties concluded, the parties may execute an
asserted in the Notice of Claim, in appropriate agreement for disposing of
which case the original amount as- the case by consent for the consider-
serted will be due immediately; and ation of the ALJ. The agreement is
(vii) A statement that the agreement filed with the ALJ who may accept it,
is the Final Agency Order. reject it, and direct that proceedings in
(2) A settlement agreement may con- the case continue, or take such other
tain any conditions, actions, or provi- action as he/she deems appropriate. If
sions agreed by the parties to redress the ALJ accepts the agreement, he/she
the violations cited in the Notice of shall enter an order in accordance with
Claim or notice of violation. its terms. The settlement agreement
(3) A settlement agreement accepted becomes the Final Agency Order as per
and approved by the Assistant Admin- § 386.61.
istrator or Administrative Law Judge (e) Civil Penalty Proceedings before
is a Final Agency Order which is bind- Hearing Officer. When a respondent has
ing on all parties according to its agreed to a settlement of a civil pen-
terms. Consent to a settlement agree- alty before the hearing is concluded,
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ment which has not yet been approved the parties may execute an appropriate
by the Assistant Administrator or Ad- agreement for disposal of the case for

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Federal Motor Carrier Safety Administration, DOT § 386.36

the consideration of the Hearing Offi- to a motion, accompanied by affidavits


cer. The agreement is filed with the or other evidence relied upon. Such an-
Hearing Officer, who, within 20 days of swers shall be served within 20 days
receipt, will make a report and rec- after the motion is served or within
ommendation to the Assistant Admin- such other time as the Assistant Ad-
istrator who may accept it, reject it, ministrator or administrative law
and direct that proceedings in the case judge may set.
continue, or take such other action as (d) Argument. Oral argument or briefs
he/she deems appropriate. If the Assist- on a motion may be ordered by the As-
ant Administrator accepts the agree- sistant Administrator or the adminis-
ment, he/she will enter an order in ac- trative law judge.
cordance with its terms. The settle- (e) Disposition. Motions may be ruled
ment agreement becomes the Final on immediately or at any other time
Agency Order as of the date the Assist- specified by the administrative law
ant Administrator enters an order ac- judge or the Assistant Administrator.
cepting the settlement agreement. (f) Suspension of time. The pendency of
[70 FR 28482, May 18, 2005] a motion shall not affect any time lim-
its set in these rules unless expressly
Subpart D—General Rules and ordered by the Assistant Administrator
or administrative law judge.
Hearings
[50 FR 40306, Oct. 2, 1985. Redesignated and
§ 386.31 Official notice. amended at 70 FR 28483, May 18, 2005]
Upon notification to all parties, the
Assistant Administrator or Adminis- § 386.35 Motions to dismiss and mo-
trative Law Judge may take official tions for a more definite statement.
notice of any fact or document not ap- (a) Motions to dismiss must be made
pearing in evidence in the record. Any within the time set for reply or peti-
party objecting to the official notice tion to review, except motions to dis-
must file an objection within 10 days miss for lack of jurisdiction, which
after service of the notice. If a Final may be made at any time.
Agency Order has been issued, and the (b) Motions for a more definite state-
decision rests on a material and disput- ment may be made in lieu of a reply.
able fact of which the Agency decision- The motion must point out the defects
maker has taken official notice, a complained of and the details desired.
party may challenge the action of offi- If the motion is granted, the pleading
cial notice in accordance with § 386.64 complained of must be remedied within
of this part. 15 days of the granting of the motion
[70 FR 28483, May 18, 2005]
or it will be stricken. If the motion is
denied, the party who requested the
§ 386.34 Motions. more definite statement must file his/
her pleading within 10 days after the
(a) General. An application for an
denial.
order or ruling not otherwise covered
by these rules shall be by motion. All [50 FR 40306, Oct. 2, 1985. Redesignated at 70
motions filed prior to the calling of the FR 28483, May 18, 2005]
matter for a hearing shall be to the As-
sistant Administrator. All motions § 386.36 Motions for final agency
filed after the matter is called for hear- order.
ing shall be to the administrative law (a) Generally. Unless otherwise pro-
judge. vided in this section, the motion and
(b) Form. Unless made during hear- answer will be governed by § 386.34. Ei-
ing, motions shall be made in writing, ther party may file a motion for final
shall state with particularity the order. The motion must be served in
grounds for relief sought, and shall be accordance with §§ 386.6 and 386.7. If the
accompanied by affidavits or other evi- matter is still pending before the serv-
dence relied upon. ice center, upon filing, the matter is of-
(c) Answers. Except when a motion is ficially transferred from the service
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filed during a hearing, any party may center to the Agency decisionmaker,
file an answer in support or opposition who will then preside over the matter.

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§ 386.37 49 CFR Ch. III (10–1–07 Edition)

(b) Form and content. (1) Movant’s fil- relevant to the subject matter involved
ing must contain a motion and memo- in the proceeding, including the exist-
randum of law, which may be separate ence, description, nature, custody, con-
or combined and must include all re- dition, and location of any books, docu-
sponsive pleadings, notices, and other ments, or other tangible things and the
filings in the case to date. identity and location of persons having
(2) The motion for final order must knowledge of any discoverable matter.
be accompanied by written evidence in (b) It is not ground for objection that
accordance with § 386.49. information sought will not be admis-
(3) The motion will state with par- sible at the hearing if the information
ticularity the grounds upon which it is sought appears reasonably calculated
based and the substantial matters of to lead to the discovery of admissible
law to be argued. A Final Agency Order evidence.
may be issued if, after reviewing the (c) A party may obtain discovery of
record in a light most favorable to the documents and tangible things other-
non-moving party, the Agency deci- wise discoverable under paragraph (a)
sionmaker determines no genuine issue of this section and prepared in antici-
exists as to any material fact. pation of or for the hearing by or for
(c) Answer to Motion. The non-moving another party’s representative (includ-
party will, within 45 days of service of ing his or her attorney, consultant,
the motion for final order, submit and surety, indemnitor, insurer, or agent)
serve a response to rebut movant’s mo- only upon a showing that the party
tion. seeking discovery has substantial need
of the materials in the preparation of
[70 FR 28483, May 18, 2005]
his or her case and that he or she is un-
§ 386.37 Discovery. able without undue hardship to obtain
the substantial equivalent of the mate-
(a) Parties may obtain discovery by
rials by other means. In ordering dis-
one or more of the following methods:
covery of such materials when the re-
Depositions upon oral examination or
quired showing has been made, the As-
written questions; written interrog-
sistant Administrator or the adminis-
atories; request for production of docu-
trative law judge shall protect against
ments or other evidence for inspection
disclosure of the mental impressions,
and other purposes; physical and men-
conclusions, opinions, or legal theories
tal examinations; and requests for ad-
of an attorney or other representative
mission.
of a party concerning the proceeding.
(b) Discovery may not commence
until the matter is pending before the § 386.39 Protective orders.
Assistant Administrator or referred to
the Office of Hearings. Upon motion by a party or other per-
(c) Except as otherwise provided in son from whom discovery is sought,
these rules, in the Administrative Pro- and for good cause shown, the Assist-
cedure Act, 5 U.S.C. 551 et seq., or by ant Administrator or the administra-
the Assistant Administrator or Admin- tive law judge, if one has been ap-
istrative Law Judge, in the absence of pointed, may make any order which
specific Agency provisions or regula- justice requires to protect a party or
tions, the Federal Rules of Civil Proce- person from annoyance, embarrass-
dure may serve as guidance in adminis- ment, oppression, or undue burden or
trative adjudications. expense, including one or more of the
following:
[70 FR 28483, May 18, 2005] (a) The discovery not be had;
(b) The discovery may be had only on
§ 386.38 Scope of discovery. specified terms and conditions, includ-
(a) Unless otherwise limited by order ing a designation of the time or place;
of the Assistant Administrator or, in (c) The discovery may be had only by
cases that have been called for a hear- a method of discovery other than that
ing, the administrative law judge, in selected by the party seeking dis-
accordance with these rules, the par- covery;
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ties may obtain discovery regarding (d) Certain matters not relevant may
any matter, not privileged, which is not be inquired into, or that the scope

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Federal Motor Carrier Safety Administration, DOT § 386.42

of discovery be limited to certain mat- any manner, and when so taken may be
ters; used like other depositions, and
(e) Discovery be conducted with no (b) Modify the procedures provided by
one present except persons designated these rules for other methods of dis-
by the Assistant Administrator or the covery.
administrative law judge; or
(f) A trade secret or other confiden- § 386.42 Written interrogatories to par-
tial research, development, or commer- ties.
cial information may not be disclosed (a) Without leave, any party may
or be disclosed only in a designated serve upon any other party written in-
way. terrogatories to be answered by the
party to whom the interrogatories are
§ 386.40 Supplementation of responses. directed; or, if that party is a public or
A party who has responded to a re- private corporation or partnership or
quest for discovery with a response association or governmental agency,
that was complete when made is under by any officer or agent, who will fur-
no duty to supplement his/her response nish the information available to that
to include information thereafter ac- party.
quired, except as follows: (b) The maximum number of inter-
(a) A party is under a duty to supple- rogatories served will not exceed 30, in-
ment timely his/her response with re- cluding all subparts, unless the Assist-
spect to any question directly ad- ant Administrator or Administrative
dressed to: Law Judge permits a larger number on
(1) The identity and location of per- motion and for good cause shown.
sons having knowledge of discoverable Other interrogatories may be added
matters; and without leave, so long as the total
(2) The identity of each person ex- number of approved and additional in-
pected to be called as an expert witness terrogatories does not exceed 30.
at the hearing, the subject matter on (c) Each interrogatory shall be an-
which he or she is expected to testify swered separately and fully in writing
and the substance of his or her testi- under oath unless it is objected to, in
mony. which event the grounds for objection
(b) A party is under a duty to amend shall be stated and signed by the party,
timely a prior response if he or she or counsel for the party, if represented,
later obtains information upon the making the response. The party to
basis of which: whom the interrogatories are directed
(1) he or she knows the response was shall serve the answers and any objec-
incorrect when made; or tions within 30 days after the service of
(2) he or she knows that the response the interrogatories, or within such
though correct when made is no longer shortened or longer period as the As-
true and the circumstances are such sistant Administrator or the Adminis-
that a failure to amend the response is trative Law Judge may allow.
in substance a knowing concealment. (d) Motions to compel may be made
(c) A duty to supplement responses in accordance with § 386.45.
may be imposed by order of the Assist- (e) A notice of discovery must be
ant Administrator or the administra- served on the Assistant Administrator
tive law judge or agreement of the par- or, in cases that have been referred to
ties. the Office of Hearings, on the Adminis-
trative Law Judge. A copy of the inter-
§ 386.41 Stipulations regarding dis- rogatories, answers, and all related
covery. pleadings must be served on all parties
Unless otherwise ordered, a written to the proceeding.
stipulation entered into by all the par- (f) An interrogatory otherwise proper
ties and filed with the Assistant Ad- is not necessarily objectionable merely
ministrator or the administrative law because an answer to the interrogatory
judge, if one has been appointed, may: involves an opinion or contention that
(a) Provide that depositions be taken relates to fact or the application of law
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before any person, at any time or to fact, but the Assistant Adminis-
place, upon sufficient notice, and in trator or Administrative Law Judge

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§ 386.43 49 CFR Ch. III (10–1–07 Edition)

may order that such an interrogatory (1) That inspection and related ac-
need not be answered until after des- tivities will be permitted as requested;
ignated discovery has been completed or
or until a prehearing conference or (2) That objection is made in whole
other later time. or in part, in which case the reasons
[70 FR 28483, May 18, 2005] for objection shall be stated.
(f) A copy of each request for produc-
§ 386.43 Production of documents and tion and each written response shall be
other evidence; entry upon land for served on all parties and filed with the
inspection and other purposes; and
physical and mental examination. Assistant Administrator or the admin-
istrative law judge, if one has been ap-
(a) Any party may serve on any other pointed.
party a request to:
(1) Produce and permit the party § 386.44 Request for admissions.
making the request, or a person acting
on his or her behalf, to inspect and (a) Request for admission. (1) Any
copy any designated documents, or to party may serve upon any other party
inspect and copy, test, or sample any a request for admission of any relevant
tangible things which are in the posses- matter or the authenticity of any rel-
sion, custody, or control of the party evant document. Copies of any docu-
upon whom the request is served; or ment about which an admission is re-
(2) Permit entry upon designated quested must accompany the request.
land or other property in the posses- (2) Each matter for which an admis-
sion or control of the party upon whom sion is requested shall be separately set
the request is served for the purpose of forth and numbered. The matter is ad-
inspection and measuring, mitted unless within 15 days after serv-
photographing, testing, or for other ice of the request, the party to whom
purposes as stated in paragraph (a)(1) the request is directed serves upon the
of this section. party requesting the admission a writ-
(3) Submit to a physical or mental ten answer signed by the party or his/
examination by a physician. her attorney.
(b) The request may be served on any (3) Each answer must specify whether
party without leave of the Assistant the party admits or denies the matter.
Administrator or administrative law If the matter cannot be admitted or de-
judge. nied, the party shall set out in detail
(c) The request shall: the reasons.
(1) Set forth the items to be in- (4) A party may not issue a denial or
spected either by individual item or fail to answer on the ground that he/
category;
she lacks knowledge unless he/she has
(2) Describe each item or category
made reasonable inquiry to ascertain
with reasonable particularity;
information sufficient to allow him/her
(3) Specify a reasonable time, place,
to admit or deny.
and manner of making the inspection
and performing the related acts; (5) A party may file an objection to a
(4) Specify the time, place, manner, request for admission within 10 days
conditions, and scope of the physical or after service. Such motion shall be
mental examination and the person or filed with the administrative law judge
persons by whom it is to be made. A re- if one has been appointed, otherwise it
port of examining physician shall be shall be filed with the Assistant Ad-
made in accordance with Rule 35(b) of ministrator. An objection must explain
the Federal Rules of Civil Procedure, in detail the reasons the party should
title 28, U.S. Code, as amended. not answer. A reply to the objection
(d) The party upon whom the request may be served by the party requesting
is served shall serve on the party sub- the admission within 10 days after
mitting the request a written response service of the objection. It is not suffi-
within 30 days after service of the re- cient ground for objection to claim
quest. that the matter about which an admis-
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(e) The response shall state, with re- sion is requested presents an issue of
spect to each item or category: fact for hearing.

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Federal Motor Carrier Safety Administration, DOT § 386.46

(b) Effect of admission. Any matter ad- tion the Assistant Administrator, in
mitted is conclusively established un- accordance with § 386.37, for leave to
less the Assistant Administrator or ad- conduct a deposition based on good
ministrative law judge permits with- cause shown.
drawal or amendment. Any admission (2) Depositions may be taken by oral
under this rule is for the purpose of the examination or upon written interrog-
pending action only and may not be atories before any person having power
used in any other proceeding. to administer oaths.
(c) If a party refuses to admit a mat- (3) The parties may stipulate in writ-
ter or the authenticity of a document ing or the Administrative Law Judge
which is later proved, the party re- may upon motion order that a deposi-
questing the admission may move for tion be taken by telephone or other re-
an award of expenses incurred in mak- mote electronic means.
ing the proof. Such a motion shall be (4) If a subpoena duces tecum is to be
granted unless there was a good reason served on the person to be examined,
for failure to admit. the designation of the materials to be
produced as set forth in the subpoena
§ 386.45 Motion to compel discovery. shall be attached to, or included in, the
(a) If a deponent fails to answer a notice.
question propounded or a party upon (5) If the deposition is to be recorded
whom a request is made pursuant to by videotape or audiotape, the notice
§§ 386.42 through 386.44, or a party upon shall specify the method of recording.
whom interrogatories are served fails (b) Application. Any party desiring to
to respond adequately or objects to the take the deposition of a witness must
request, or any part thereof, or fails to indicate to the witness and all other
permit inspection as requested, the dis- parties the time when, the place where,
covering party may move the Assistant and the name and post office address of
Administrator or the administrative the person before whom the deposition
law judge, if one has been appointed, is to be taken; the name and address of
for an order compelling a response or each witness; and the subject matter
inspection in accordance with the re- concerning which each such witness is
quest. expected to testify.
(b) The motion shall set forth: (c) Notice. A party desiring to take a
(1) The nature of the questions or re- deposition must give notice to the wit-
quest; ness and all other parties. Notice must
(2) The response or objections of the be in writing. Notice of the deposition
party upon whom the request was must be given not less than 20 days
served; and from when the deposition is to be
(3) Arguments in support of the mo- taken if the deposition is to be held
tion. within the continental United States
(c) For purposes of this section, an and not less than 30 days from when
evasive answer or incomplete answer or the deposition is to be taken if the dep-
response shall be treated as a failure to osition is to be held elsewhere, unless a
answer or respond. shorter time is agreed to by the parties
(d) In ruling on a motion made pursu- or by leave of the Assistant Adminis-
ant to this section, the Assistant Ad- trator or Administrative Law Judge by
ministrator or the administrative law motion for good cause shown.
judge, if one has been appointed, may (d) Depositions upon written questions.
make and enter a protective order such Within 14 days after the notice and
as he or she is authorized to enter on a written questions are served, a party
motion made pursuant to § 386.39(a). may serve cross-questions upon all
other parties. Within 7 days after being
§ 386.46 Depositions. served with cross-questions, a party
(a) When, how, and by whom taken. (1) may serve redirect questions upon all
The deposition of any witness may be other parties. Within 7 days after being
taken at reasonable times subsequent served with redirect questions, a party
to the appointment of an Administra- may serve recross questions upon all
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tive Law Judge. Prior to referral to the other parties. The Assistant Adminis-
Office of Hearings, a party may peti- trator or Administrative Law Judge

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§ 386.47 49 CFR Ch. III (10–1–07 Edition)

may enlarge or shorten the time for (1) Any deposition may be used by
cause shown. any party for the purpose of contra-
(e) Taking and receiving in evidence. dicting or impeaching the testimony of
Each witness testifying upon deposi- the deponent as a witness.
tion must be sworn, and any other (2) The deposition of expert wit-
party must be given the right to cross- nesses, particularly the deposition of
examine. The questions propounded physicians, may be used by any party
and the answers to them, together with for any purpose, unless the Assistant
all objections made, must be reduced Administrator or administrative law
to writing; read by or to, and sub- judge rules that such use would be un-
scribed by the witness; and certified by fair or a violation of due process.
the person administering the oath. The (3) The deposition of a party or of
person who took the deposition must anyone who at the time of taking the
seal the deposition transcript in an en- deposition was an officer, director, or
velope and file it in accordance with
duly authorized agent of a public or
§ 386.7. Subject to objections to the
private organization, partnership, or
questions and answers as were noted at
association which is a party, may be
the time of taking the deposition and
used by any other party for any pur-
which would have been valid if the wit-
pose.
ness were personally present and testi-
fying, the deposition may be read and (4) The deposition of a witness,
offered in evidence by the party taking whether or not a party, may be used by
it as against any party who was any party for any purpose if the pre-
present or represented at the taking of siding officer finds:
the deposition or who had due notice of (i) That the witness is dead; or
it. (ii) That the witness is out of the
(f) Witness Limit. No party may seek United States or more than 100 miles
deposition testimony of more than five from the place of hearing unless it ap-
witnesses without leave of the Agency pears that the absence of the witness
decisionmaker for good cause shown. was procured by the party offering the
Individual depositions are not to ex- deposition; or
ceed 8 hours for any one witness. (iii) That the witness is unable to at-
(g) Motion to terminate or limit exam- tend to testify because of age, sickness,
ination. During the taking of a deposi- infirmity, or imprisonment; or
tion, a party or deponent may request (iv) That the party offering the depo-
suspension of the deposition on sition has been unable to procure the
grounds of bad faith in the conduct of attendance of the witness by subpoena;
the examination, oppression of a depo- or
nent or party or improper questions (v) Upon application and notice, that
propounded. The deposition will then such exceptional circumstances exist
be adjourned. The objecting party or as to make it desirable, in the interest
deponent must, however, immediately of justice and with due regard to the
move for a ruling on his or her objec- importance of presenting the testi-
tions to the deposition conduct or pro- mony of witnesses orally in open hear-
ceedings before the Assistant Adminis- ing, to allow the deposition to be used.
trator or Administrative Law Judge, (5) If only part of a deposition is of-
who then may limit the scope or man- fered in evidence by a party, any other
ner of the taking of the deposition. party may require him or her to intro-
[70 FR 28484, May 18, 2005] duce all of it which is relevant to the
part introduced, and any party may in-
§ 386.47 Use of deposition at hearings. troduce any other parts.
(a) Generally. At the hearing, any (b) Objections to admissibility. Except
part or all of a deposition, so far as ad- as provided in this paragraph, objec-
missible under the rules of evidence, tion may be made at the hearing to re-
may be used against any party who was ceiving in evidence any deposition or
present or represented at the taking of part thereof for any reason which
the deposition or who had due notice would require the exclusion of the evi-
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thereof in accordance with any one of dence if the witness were then present
the following provisions: and testifying.

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Federal Motor Carrier Safety Administration, DOT § 386.52

(1) Objections to the competency of a § 386.49 Form of written evidence.


witness or to the competency, rel- All written evidence should be sub-
evancy or materiality of testimony are mitted in the following forms:
not waived by failure to make them be- (a) A written statement of a person
fore or during the taking of the deposi- having personal knowledge of the facts
tion, unless the ground of the objection alleged, or
is one which might have been obviated (b) Documentary evidence in the
or removed if presented at that time. form of exhibits attached to a written
(2) Errors and irregularities occur- statement identifying the exhibit and
ring at the oral examination in the giving its source.
manner of taking the deposition, in the [70 FR 28484, May 18, 2005]
form of the questions or answers, in
the oath or affirmation, or in the con- § 386.51 Amendment and withdrawal
duct of parties and errors of any kind of pleadings.
which might be obviated, removed, or (a) Except in instances covered by
cured if promptly presented, are waived other rules, anytime more than 15 days
unless reasonable objection thereto is prior to the hearing, a party may
made at the taking of the deposition. amend his/her pleadings by serving the
(3) Objections to the form or written amended pleading on the Assistant Ad-
interrogatories are waived unless ministrator or the administrative law
served in writing upon the party pro- judge, if one has been appointed, and
pounding them. on all parties. Within 15 days prior to
(c) Effect of taking using depositions. A the hearing, an amendment shall be al-
party shall not be deemed to make a lowed only at the discretion of the Ad-
ministrative law judge. When an
person his or her own witness for any
amended pleading is filed, other parties
purpose by taking his or her deposi-
may file a response and objection with-
tion. The introduction in evidence of
in 10 days.
the deposition or any part thereof for (b) A party may withdraw his/her
any purpose other than that of contra- pleading any time more than 15 days
dicting or impeaching the deponent prior to the hearing by serving a notice
makes the deponent the witness of the of withdrawal on the Assistant Admin-
party introducing the deposition, but istrator or the Administrative Law
this shall not apply to the use by any Judge. Within 15 days prior to the
other party of a deposition as described hearing a withdrawal may be made
in paragraph (a)(2) of this section. At only at the discretion of the Assistant
the hearing, any party may rebut any Administrator or the Administrative
relevant evidence contained in a depo- Law Judge. The withdrawal will be
sition whether introduced by him or granted absent a finding that the with-
her or by any other party. drawal will result in injustice, preju-
dice, or irreparable harm to the non-
§ 386.48 Medical records and physi- moving party, or is otherwise contrary
cians’ reports. to the public interest.
In cases involving the physical quali- [50 FR 40306, Oct. 2, 1985, as amended at 70 FR
fications of drivers, copies of all physi- 28484, May 18, 2005]
cians’ reports, test results, and other
medical records that a party intends to § 386.52 Appeals from interlocutory
rulings.
rely upon shall be served on all other
parties at least 30 days prior to the (a) General. Unless otherwise pro-
date set for a hearing. Except as vided in this subpart, a party may not
waived by the Director, Office of Truck appeal a ruling or decision of the Ad-
and Bus Standards and Operations, re- ministrative Law Judge to the Assist-
ports, test results and medical records ant Administrator until the Adminis-
trative Law Judge’s decision has been
not served under this rule shall be ex-
entered on the record. A decision or
cluded from evidence at any hearing.
order of the Assistant Administrator
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[50 FR 40306, Oct. 2, 1985, as amended at 53 FR on the interlocutory appeal does not
2036, Jan. 26, 1988; 65 FR 7756, Feb. 16, 2000] constitute a Final Agency Order for

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§ 386.53 49 CFR Ch. III (10–1–07 Edition)

the purposes of judicial review under filing of a motion shall stay the effect
§ 386.67. of the subpoena until a decision is
(b) Interlocutory appeal for cause. If a reached.
party files a written request for an in- (b) Witnesses shall be entitled to the
terlocutory appeal for cause with the same fees and mileage as are paid wit-
Administrative Law Judge, or orally nesses in the courts of the United
requests an interlocutory appeal for States. The fees shall be paid by the
cause, the proceedings are stayed until party at whose instance the witness is
the Administrative Law Judge issues a subpoenaed or appears.
decision on the request. If the Adminis- (c) Paragraph (a) of this section shall
trative Law Judge grants the request, not apply to the Administrator or em-
the proceedings are stayed until the ployees of the FMCSA or to the produc-
Assistant Administrator issues a deci- tion of documents in their custody. Ap-
sion on the interlocutory appeal. The plications for the attendance of such
Administrative Law Judge must grant persons or the production of such docu-
an interlocutory appeal for cause if a ments at a hearing shall be made to
party shows that delay of the appeal the Assistant Administrator or admin-
would be detrimental to the public in- istrative law judge, if one is appointed,
terest or would result in undue preju- and shall set forth the need for such
dice to any party. evidence and its relevancy.
(d) Procedure. A party must file a no-
tice of interlocutory appeal, with any § 386.54 Administrative Law Judge.
supporting documents, with the Assist-
ant Administrator, and serve copies on (a) Powers of an Administrative Law
each party and the Administrative Law Judge. The Administrative Law Judge
Judge, not later than 10 days after the may take any action and may prescribe
Administrative Law Judge’s oral deci- all necessary rules and regulations to
sion has been issued, or a written deci- govern the conduct of the proceedings
sion has been served. A party must file to ensure a fair and impartial hearing,
a reply brief, if any, with the Assistant and to avoid delay in the disposition of
Administrator and serve a copy of the the proceedings. In accordance with
reply brief on each party, not later the rules in this subchapter, an Admin-
than 10 days after service of the appeal istrative Law Judge may do the fol-
brief. The Assistant Administrator will lowing:
render a decision on the interlocutory (1) Give notice of and hold prehearing
appeal, within a reasonable time after conferences and hearings.
receipt of the interlocutory appeal. (2) Administer oaths and affirma-
(e) The Assistant Administrator may tions.
reject frivolous, repetitive, or dilatory (3) Issue subpoenas authorized by
appeals, and may issue an order pre- law.
cluding one or more parties from mak- (4) Rule on offers of proof.
ing further interlocutory appeals, and (5) Receive relevant and material evi-
may order such further relief as re- dence.
quired. (6) Regulate the course of the admin-
[70 FR 28484, May 18, 2005] istrative adjudication in accordance
with the rules of this subchapter and
§ 386.53 Subpoenas, witness fees. the Administrative Procedure Act.
(a) Applications for the issuance of (7) Hold conferences to settle or sim-
subpoenas must be submitted to the plify the issues by consent of the par-
Assistant Administrator, or in cases ties.
that have been called for a hearing, to (8) Dispose of procedural motions and
the administrative law judge. The ap- requests, except motions that under
plication must show the general rel- this part are made directly to the As-
evance and reasonable scope of the evi- sistant Administrator.
dence sought. Any person served with a (9) Issue orders permitting inspection
subpoena may, within 7 days after serv- and examination of lands, buildings,
ice, file a motion to quash or modify. equipment, and any other physical
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The motion must be filed with the offi- thing and the copying of any docu-
cial who approved the subpoena. The ment.

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Federal Motor Carrier Safety Administration, DOT § 386.57

(10) Make findings of fact and conclu- (8) Any other matter that will tend
sions of law, and issue decisions. to simplify the issues or expedite the
(11) To take any other action author- proceedings.
ized by these rules and permitted by (b) Order. The administrative law
law. judge shall issue an order which recites
(b) Limitations on the power of the Ad- the matters discussed, the agreements
ministrative Law Judge. The Administra- reached, and the rulings made at the
tive Law Judge is bound by the proce- prehearing conference. The order shall
dural requirements of this part and the be served on the parties and filed in the
precedent opinions of the Agency. This record of the proceedings.
section does not preclude an Adminis-
trative Law Judge from barring a per- § 386.56 Hearings.
son from a specific proceeding based on (a) As soon as practicable after his/
a finding of obstreperous or disruptive her appointment, the administrative
behavior in that proceeding. law judge shall issue an order setting
(c) Disqualification. The Administra- the date, time, and place for the hear-
tive Law Judge may disqualify himself ing. The order shall be served on the
or herself at any time, either at the re- parties and become a part of the record
quest of any party or upon his or her of the proceedings. The order may be
own initiative. Assignments of Admin- amended for good cause shown.
istrative Law Judges are made by the (b) Conduct of hearing. The adminis-
Chief Administrative Law Judge upon trative law judge presides over the
the request of the Assistant Adminis- hearing. Hearings are open to the pub-
trator. Any request for a change in lic unless the administrative law judge
such assignment, including disquali- orders otherwise.
fication, will be considered only for (c) Evidence. Except as otherwise pro-
good cause which would unduly preju- vided in these rules and the Adminis-
dice the proceeding. trative Procedure Act, 5 U.S.C. 551 et
[70 FR 28485, May 18, 2005]
seq., the Federal Rules of Evidence
shall be followed.
§ 386.55 Prehearing conferences. (d) Information obtained by investiga-
tion. Any document, physical exhibit,
(a) Convening. At any time before the or other material obtained by the Ad-
hearing begins, the administrative law ministration in an investigation under
judge, on his/her own motion or on mo- its statutory authority may be dis-
tion by a party, may direct the parties closed by the Administration during
or their counsel to participate with the proceeding and may be offered in
him/her in a prehearing conference to evidence by counsel for the Adminis-
consider the following: tration.
(1) Simplification and clarification of (e) Record. The hearing shall be
the issues; stenographically transcribed and re-
(2) Necessity or desirability of ported. The transcript, exhibits, and
amending pleadings; other documents filed in the pro-
(3) Stipulations as to the facts and ceedings shall constitute the official
the contents and authenticity of docu- record of the proceedings. A copy of the
ments; transcript and exhibits will be made
(4) Issuance of and responses to sub- available to any person upon payment
poenas; of prescribed costs.
(5) Taking of depositions and the use
of depositions in the proceedings; § 386.57 Proposed findings of fact, con-
(6) Orders for discovery, inspection clusions of law.
and examination of premises, produc- The administrative law judge shall
tion of documents and other physical afford the parties reasonable oppor-
objects, and responses to such orders; tunity to submit proposed findings of
(7) Disclosure of the names and ad- fact, conclusions of law, and supportng
dresses of witnesses and the exchange reasons therefor. If the administrative
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of documents intended to be offered in law judge orders written proposals and


evidence; and arguments, each proposed finding must

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§ 386.58 49 CFR Ch. III (10–1–07 Edition)

include a citation to the specific por- It shall also state the relief requested.
tion of the record relied on to support Failure to object to any error in the
it. Written submissions, if any, must be initial decision shall waive the right to
served within the time period set by allege such error in subsequent pro-
the administrative law judge. ceedings.
(b) Reply briefs may be filed within
§ 386.58 Burden of proof. 30 days after service of the appeal brief.
(a) Enforcement cases. The burden of (c) No other briefs shall be permitted
proof shall be on the Administration in except upon request of the Assistant
enforcement cases. Administrator.
(b) Conflict of medical opinion. The (d) Copies of all briefs must be served
burden of proof in cases arising under on all parties.
§ 391.47 of this chapter shall be on the (e) No oral argument will be per-
party petitioning for review under mitted except on order of the Assistant
§ 386.13(a). Administrator.
§ 386.63 Decision on review.
Subpart E—Decision Upon review of a decision, the Assist-
§ 386.61 Decision. ant Administrator may adopt, modify,
or set aside the administrative law
(a) Administrative Law Judge After re- judge’s findings of fact and conclusions
ceiving the proposed findings of fact, of law. He/she may also remand pro-
conclusions of law, and arguments of ceedings to the administrative law
the parties, the administrative law judge with instructions for such fur-
judge shall issue a decision. If the pro- ther proceedings as he/she deems ap-
posed findings of fact, conclusions of propriate. If not remanded, the Assist-
law, and arguments were oral, he/she ant Administrator shall issue a final
may issue an oral decision. The deci- order disposing of the proceedings, and
sion of the administrative law judge serve it on all parties.
becomes the final decision of the As-
sistant Administrator 45 days after it § 386.64 Reconsideration.
is served unless a petition or motion
(a) Within 20 days following service
for review is filed under § 386.62. The de-
of the Final Agency Order, any party
cision shall be served on all parties and
may petition the Assistant Adminis-
on the Assistant Administrator.
trator for reconsideration of the order.
(b) Hearing Officer. The Hearing Offi- If a civil penalty was imposed, the fil-
cer will prepare a report to the Assist- ing of a petition for reconsideration
ant Administrator containing findings stays the entire action, unless the As-
of fact and recommended disposition of sistant Administrator orders other-
the matter within 45 days after the wise.
conclusion of the hearing. The Assist- (b) In the event a Notice of Default
ant Administrator will issue a Final and Final Agency Order is issued by
Agency Order adopting the report, or the Field Administrator as a result of
may make other such determinations the respondent’s failure to reply in ac-
as appropriate. The Assistant Adminis- cordance with § 386.14(a), the only issue
trator’s decision to adopt a Hearing Of- that will be considered upon reconsid-
ficer’s report may be reviewed in ac- eration is whether a default has oc-
cordance with § 386.64. curred under § 386.14(c). The Final
[50 FR 40306, Oct. 2, 1985, as amended at 70 FR Agency Order may be vacated where a
28485, May 18, 2005] respondent can demonstrate excusable
neglect, a meritorious defense, or due
§ 386.62 Review of administrative law diligence in seeking relief.
judge’s decision. (c) Either party may serve an answer
(a) All petitions to review must be to a petition for reconsideration within
accompanied by exceptions and briefs. 30 days of the service date of the peti-
Each petition must set out in detail ob- tion.
jections to the initial decision and (d) Following the close of the 30-day
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shall state whether such objections are period, the Assistant Administrator
related to alleged errors of law or fact. will rule on the petition.

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Federal Motor Carrier Safety Administration, DOT § 386.72

(e) The ruling on the petition will be for review of the order in the United
the Final Agency Order. A petition for States Court of Appeals in the circuit
reconsideration of the Assistant Ad- where the violation is alleged to have
ministrator’s ruling will not be per- occurred, or where the violator has its
mitted. principal place of business or residence,
[70 FR 28485, May 18, 2005]
or in the United States Court of Ap-
peals for the District of Columbia Cir-
§ 386.65 Failure to comply with final cuit.
order. (b) Judicial review will be based on a
If, within 30 days of receipt of a final determination of whether the findings
agency order issued under this part, and conclusions in the Final Agency
the respondent does not submit in writ- Order were supported by substantial
ing his/her acceptance of the terms of evidence or were otherwise not in ac-
an order directing compliance, or, cordance with law. No objection that
where appropriate, pay a civil penalty, has not been raised before the Agency
or file an appeal under § 386.67, the case will be considered by the court, unless
may be referred to the Attorney Gen- reasonable grounds existed for failure
eral with a request that an action be or neglect to do so. The commence-
brought in the appropriate United ment of proceedings under this section
States District Court to enforce the will not, unless ordered by the court,
terms of a compliance order or collect operate as a stay of the Final Agency
the civil penalty. Order of the Agency.
[70 FR 28485, May 18, 2005]
§ 386.66 Motions for rehearing or for
modification.
Subpart F—Injunctions and
(a) No motion for rehearing or for Imminent Hazards
modification of an order shall be enter-
tained for 1 year following the date the § 386.71 Injunctions.
Assistant Administrator’s order goes Whenever it is determined that a per-
into effect. After 1 year, any party may son has engaged, or is about to engage,
file a motion with the Assistant Ad- in any act or practice constituting a
ministrator requesting a rehearing or violation of section 31502 of title 49,
modification of the order. The motion
United States Code; of the Motor Car-
must contain the following:
rier Safety Act of 1984; the Hazardous
(1) A copy of the order about which
Materials Transportation Act; or any
the change is requested;
regulation or order issued under that
(2) A statement of the changed cir-
section or those Acts for which the
cumstances justifying the request; and
Federal Motor Carrier Safety Adminis-
(3) Copies of all evidence intended to
trator exercises enforcement responsi-
be relied on by the party submitting
bility, the Chief Counsel may request
the motion.
(b) Upon receipt of the motion, the the United States Attorney General to
Assistant Administrator may make a bring an action in the appropriate
decision denying the motion or modi- United States District Court for such
fying the order in whole or in part. He/ relief as is necessary or appropriate, in-
she may also, prior to making his/her cluding mandatory or prohibitive in-
decision, order such other proceedings junctive relief, interim equitable relief,
under these rules as he/she deems nec- and punitive damages, as provided by
essary and may request additional in- section 213(c) of the Motor Carrier
formation from the party making the Safety Act of 1984 and section 111(a) of
motion. the Hazardous Materials Transpor-
tation Act (49 U.S.C. 507(c) 5122).
§ 386.67 Judicial review. [70 FR 28485, May 18, 2005]
(a) Any party to the underlying pro-
ceeding, who, after an administrative § 386.72 Imminent hazard.
adjudication, is adversely affected by a (a) Whenever it is determined that an
Final Agency Order issued under 49 imminent hazard exists as a result of
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U.S.C. 521 may, within 30 days of serv- the transportation by motor vehicle of
ice of the Final Agency Order, petition a particular hazardous material, the

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§ 386.81 49 CFR Ch. III (10–1–07 Edition)

Chief Counsel or Deputy Chief Counsel cease all or part of its operations shall
of the FMCSA may bring, or request not prevent vehicles in transit at the
the United States Attorney General to time the order is served from pro-
bring, an action in the appropriate ceeding to their immediate destina-
United States District Court for an tions, unless any such vehicle or its
order suspending or restricting the driver is specifically ordered out of
transportation by motor vehicle of the service forthwith. However, vehicles
hazardous material or for such other and drivers proceeding to their imme-
order as is necessary to eliminate or diate destination shall be subject to
ameliorate the imminent hazard, as compliance upon arrival.
provided by 49 U.S.C. 5122. In this para- (3) For purposes of this section the
graph, ‘‘imminent hazard’’ means the term ‘‘immediate destination’’ is the
existence of a condition that presents a next scheduled stop of the vehicle al-
substantial likelihood that death, seri- ready in motion where the cargo on
ous illness, severe personal injury, or a board can be safely secured.
substantial endangerment to health, (4) Failure to comply immediately
property, or the environment may with an order issued under this section
occur before a notice of investigation shall subject the motor carrier em-
proceeding, or other administrative ployer or driver to penalties prescribed
hearing or formal proceeding, to abate in subpart G of this part.
the risk of harm can be completed.
(b)(1) Whenever it is determined that [50 FR 40306, Oct. 2, 1985, as amended at 53 FR
2036, Jan. 26, 1988; 53 FR 50970, Dec. 19, 1988;
a violation of 49 U.S.C. 31502 or the 56 FR 10184, Mar. 11, 1991; 65 FR 7756, Feb. 16,
Motor Carrier Safety Act of 1984, as 2000; 65 FR 58664, Oct. 2, 2000]
amended, or the Commercial Motor Ve-
hicle Safety Act of 1986, as amended, or
a regulation issued under such section Subpart G—Penalties
or Acts, or a combination of such viola-
tions, poses an imminent hazard to SOURCE: 56 FR 10184, Mar. 11, 1991, unless
safety, the Director of the Office of En- otherwise noted.
forcement and Compliance or a State
Director, or his or her delegate, shall § 386.81 General.
order a vehicle or employee operating (a) The amounts of civil penalties
such vehicle out of service, or order an that can be assessed for regulatory vio-
employer to cease all or part of the em- lations subject to the proceedings in
ployer’s commercial motor vehicle op- this subchapter are established in the
erations, as provided by 49 U.S.C. statutes granting enforcement powers.
521(b)(5). In making any such order, no The determination of the actual civil
restrictions shall be imposed on any penalties assessed in each proceeding is
employee or employer beyond that re- based on those defined limits or mini-
quired to abate the hazard. In this mums and consideration of information
paragraph, ‘‘imminent hazard’’ means available at the time the claim is made
any condition of vehicle, employee, or concerning the nature, gravity of the
commercial motor vehicle operations violation and, with respect to the vio-
which substantially increases the like- lator, the degree of culpability, history
lihood of serious injury or death if not of prior offenses, ability to pay, effect
discontinued immediately. on ability to continue to do business,
(2) Upon the issuance of an order and such other matters as justice and
under paragraph (b)(1) of this section, public safety may require. In addition
the motor carrier employer or driver to these factors, a civil penalty as-
employee shall comply immediately sessed under 49 U.S.C. 14901(a) and (d)
with such order. Opportunity for re- concerning household goods is also
view shall be provided in accordance based on the degree of harm caused to
with 5 U.S.C. 554, except that such re- a shipper and whether the shipper has
view shall occur not later than 10 days been adequately compensated before
after issuance of such order, as pro- institution of the civil penalty pro-
vided by section 213(b) of the Motor ceeding. In adjudicating the claims and
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Carrier Safety Act of 1984 (49 U.S.C. orders under the administrative proce-
521(b)(5)). An order to an employer to dures herein, additional information

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Federal Motor Carrier Safety Administration, DOT § 386.83

may be developed regarding these fac- date specified for payment by the
tors that may affect the final amount FMCSA’s final agency order is prohib-
of the claim. ited from operating in interstate com-
(b) When assessing penalties for vio- merce starting on the next (i.e., the
lations of notices and orders or settling 91st) day. The prohibition continues
claims based on these assessments, until the FMCSA has received full pay-
consideration will be given to good ment of the penalty.
faith efforts to achieve compliance (2) Civil penalties paid in installments.
with the terms of the notices and or- The FMCSA Service Center may allow
ders. a CMV owner or operator to pay a civil
[56 FR 10184, Mar. 11, 1991, as amended at 65 penalty in installments. If the CMV
FR 7756, Feb. 16, 2000] owner or operator fails to make an in-
stallment payment on schedule, the
§ 386.82 Civil penalties for violations payment plan is void and the entire
of notices and orders. debt is payable immediately. A CMV
(a) Additional civil penalties are owner or operator that fails to pay the
chargeable for violations of notices and full outstanding balance of its civil
orders which are issued under civil for- penalty within 90 days after the date of
feiture proceedings pursuant to 49 the missed installment payment, is
U.S.C. 521(b). These notices and orders prohibited from operating in interstate
are as follows: commerce on the next (i.e., the 91st)
(1) Notice to abate—§ 386.11 (b)(2) and day. The prohibition continues until
(c)(1)(iv); the FMCSA has received full payment
(2) Notice to post—§ 386.11(b)(3); of the entire penalty.
(3) Final order—§ 386.14, § 386.17, (3) Appeals to Federal Court. If the
§ 386.22, and § 386.61; and CMV owner or operator appeals the
(4) Out-of-service order—§ 386.72(b)(1). final agency order to a Federal Circuit
(b) A schedule of these additional Court of Appeals, the terms and pay-
penalties is provided in the appendix A ment due date of the final agency order
to this part. All the penalties are maxi- are not stayed unless the Court so di-
mums, and discretion will be retained rects.
to meet special circumstances by set-
(b) Show Cause Proceeding. (1) The
ting penalties for violations of notices
FMCSA will notify a CMV owner or op-
and orders, in some cases, at less than
erator in writing if it has not received
the maximum.
payment within 45 days after the date
(c) Claims for penalties provided in
this section and in the appendix A to specified for payment by the final
this part shall be made through the agency order or the date of a missed in-
civil forfeiture proceedings contained stallment payment. The notice will in-
in this part. The issues to be decided in clude a warning that failure to pay the
such proceedings will be limited to entire penalty within 90 days after pay-
whether violations of notices and or- ment was due, will result in the CMV
ders occurred as claimed and the appro- owner or operator being prohibited
priate penalty for such violations. from operating in interstate com-
Nothing contained herein shall be con- merce.
strued to authorize the reopening of a (2) The notice will order the CMV
matter already finally adjudicated owner or operator to show cause why it
under this part. should not be prohibited from oper-
ating in interstate commerce on the
[56 FR 10184, Mar. 11, 1991, as amended at 67 91st day after the date specified for
FR 61821, Oct. 2, 2002; 70 FR 28486, May 18,
payment. The prohibition may be
2005]
avoided only by submitting to the
§ 386.83 Sanction for failure to pay Chief Safety Officer:
civil penalties or abide by payment (i) Evidence that the respondent has
plan; operation in interstate com- paid the entire amount due; or
merce prohibited. (ii) Evidence that the respondent has
(a)(1) General rule. A CMV owner or filed for bankruptcy under chapter 11,
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operator that fails to pay a civil pen- title 11, United States Code. Respond-
alty in full within 90 days after the ents in bankruptcy must also submit

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§ 386.84 49 CFR Ch. III (10–1–07 Edition)

the information required by paragraph der of its civil penalty in full within 90
(d) of this section. days after the date of the missed in-
(3) The notice will be delivered by stallment payment, is suspended on the
certified mail or commercial express next (i.e., the 91st) day. The suspension
service. If a CMV owner’s or operator’s continues until the FMCSA has re-
principal place of business is in a for- ceived full payment of entire penalty.
eign country, the notice will be deliv- (3) Appeals to Federal Court. If the re-
ered to the CMV owner’s or operator’s spondent broker, freight forwarder, or
designated agent. for-hire motor carrier appeals the final
(c) A CMV owner or operator that agency order to a Federal Circuit Court
continues to operate in interstate com- of Appeals, the terms and payment due
merce in violation of this section may date of the final agency order are not
be subject to additional sanctions stayed unless the Court so directs.
under paragraph IV (h) of appendix A (b) Show Cause Proceeding. (1) The
to part 386. FMCSA will notify a respondent
(d) This section does not apply to any broker, freight forwarder, or for-hire
person who is unable to pay a civil pen- motor carrier in writing if it has not
alty because the person is a debtor in a received payment within 45 days after
case under chapter 11, title 11, United the date specified for payment by the
States Code. CMV owners or operators final agency order or the date of a
in bankruptcy proceedings under chap-
missed installment payment. The no-
ter 11 must provide the following infor-
tice will include a warning that failure
mation in their response to the
to pay the entire penalty within 90
FMCSA:
days after payment was due, will result
(1) The chapter of the Bankruptcy
in the suspension of the respondent’s
Code under which the bankruptcy pro-
registration.
ceeding is filed (i.e., chapter 7 or 11);
(2) The bankruptcy case number; (2) The notice will order the respond-
(3) The court in which the bank- ent to show cause why its registration
ruptcy proceeding was filed; and should not be suspended on the 91st day
(4) Any other information requested after the date specified for payment.
by the agency to determine a debtor’s The prohibition may be avoided only
bankruptcy status. by submitting to the Chief Safety Offi-
cer:
[65 FR 78428, Dec. 15, 2000]
(i) Evidence that the respondent has
§ 386.84 Sanction for failure to pay paid the entire amount due; or
civil penalties or abide by payment (ii) Evidence that the respondent has
plan; suspension or revocation of filed for bankruptcy under chapter 11,
registration. title 11, United States Code. Respond-
(a)(1) General rule. The registration of ents in bankruptcy must also submit
a broker, freight forwarder, or for-hire the information required by paragraph
motor carrier that fails to pay a civil (d) of this section.
penalty in full within 90 days after the (3) The notice will be delivered by
date specified for payment by the certified mail or commercial express
FMCSA’s final agency order, will be service. If a respondent’s principal
suspended starting on the next (i.e., the place of business is in a foreign coun-
91st) day. The suspension continues try, it will be delivered to the respond-
until the FMCSA has received full pay- ent’s designated agent.
ment of the penalty. (c) The registration of a broker,
(2) Civil penalties paid in installments. freight forwarder or for-hire motor car-
The FMCSA Service Center may allow rier that continues to operate in inter-
a respondent broker, freight forwarder, state commerce in violation of this
or for-hire motor carrier to pay a civil section after its registration has been
penalty in installments. If the respond- suspended may be revoked after an ad-
ent fails to make an installment pay- ditional notice and opportunity for a
ment on schedule, the payment plan is proceeding in accordance with 49 U.S.C.
void and the entire debt is payable im- 13905(c). Additional sanctions may be
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mediately. The registration of a re- imposed under paragraph IV (h) of ap-


spondent that fails to pay the remain- pendix A to part 386.

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Federal Motor Carrier Safety Administration, DOT Pt. 386, App. B

(d) This section does not apply to any Penalty—Up to $16,000 per violation.
person who is unable to pay a civil pen- (This violation applies to motor carriers, in-
alty because the person is a debtor in a cluding an independent contractor who is
not a ‘‘driver,’’ as defined under paragraph
case under chapter 11, title 11, United
IVa above.)
States Code. Brokers, freight for- c. Violation—Operation of a commercial
warders, or for-hire motor carriers in motor vehicle by a driver after the vehicle
bankruptcy proceedings under chapter was placed out of service and before the re-
11 must provide the following informa- quired repairs are made.
tion in their response to the FMCSA: Penalty—$2,100 each time the vehicle is so
(1) The chapter of the Bankruptcy operated.
Code under which the bankruptcy pro- (This violation applies to drivers as defined
ceeding is filed (i.e., chapter 7 or 11); in IVa above.)
(2) The bankruptcy case number; d. Violation—Requiring or permitting the
(3) The court in which the bank- operation of a commercial motor vehicle
placed out of service before the required re-
ruptcy proceeding was filed; and pairs are made.
(4) Any other information requested Penalty—Up to $16,000 each time the vehi-
by the agency to determine a debtor’s cle is so operated after notice of the defect is
bankruptcy status. received.
[65 FR 78428, Dec. 15, 2000] (This violation applies to motor carriers, in-
cluding an independent owner-operator who
APPENDIX A TO PART 386—PENALTY is not a ‘‘driver,’’ as defined in IVa above.)
e. Violation—Failure to return written cer-
SCHEDULE; VIOLATIONS OF NOTICES
tification of correction as required by the
AND ORDERS out-of-service order.
I. Notice To Abate Penalty—Up to $750 per violation.
f. Violation—Knowingly falsifies written
Violation—Failure to cease violations of certification of correction required by the
the regulations in the time prescribed in the out-of-service order.
notice. (The time within to comply with a Penalty—Considered the same as the viola-
notice to abate shall not begin to run with tions described in paragraphs IVc and IVd
respect to contested violations, i.e., where above, and subject to the same penalties.
there are material issues in dispute under NOTE: Falsification of certification may
§ 386.14, until such time as the violation has also result in criminal prosecution under 18
been established.) U.S.C. 1001.
Penalty reinstatement of any deferred as- g. Violation—Operating in violation of an
sessment or payment of a penalty or portion order issued under § 386.72(b) to cease all or
thereof. part of the employer’s commercial motor ve-
II. [Reserved] hicle operations, i.e., failure to cease oper-
ations as ordered.
III. Final Order Penalty—Up to $16,000 per day the oper-
ation continues after the effective date and
Violation—Failure to comply with Final
time of the order to cease.
Agency Order.
h. Violation—Conducting operations dur-
Penalty—Automatic reinstatement of any
ing a period of suspension under §§ 386.83 or
penalty previously reduced or held in abey-
386.84 for failure to pay penalties.
ance and restoration of the full amount as-
sessed in the Notice of Claim less any pay- Penalty—Up to $11,000 for each day that
ments previously made. operations are conducted during the suspen-
sion period.
IV. Out-of-Service Order [56 FR 10184, Mar. 11, 1991, as amended at 63
a. Violation—Operation of a commercial FR 12414, Mar. 13, 1998; 65 FR 78429, Dec. 15,
vehicle by a driver during the period the 2000; 68 FR 15383, Mar. 31, 2003; 70 FR 28486,
driver was placed out of service. May 18, 2005; 72 FR 55102, Sept. 28, 2007]
Penalty—Up to $2,100 per violation.
(For purposes of this violation, the term APPENDIX B TO PART 386—PENALTY
’’driver‘‘ means an operator of a commercial SCHEDULE; VIOLATIONS AND MAX-
motor vehicle, including an independent con- IMUM CIVIL PENALTIES
tractor who, while in the course of operating
a commercial motor vehicle, is employed or The Debt Collection Improvement Act of
used by another person.) 1996 [Public Law 104–134, title III, chapter 10,
b. Violation—Requiring or permitting a Sec. 31001, par. (s), 110 Stat. 1321–373] amend-
driver to operate a commercial vehicle dur- ed the Federal Civil Penalties Inflation Ad-
cprice-sewell on PROD1PC63 with CFR

ing the period the driver was placed out of justment Act of 1990 to require agencies to
service. adjust for inflation ‘‘each civil monetary

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Pt. 386, App. B 49 CFR Ch. III (10–1–07 Edition)
penalty provided by law within the jurisdic- (d) Financial responsibility violations. A
tion of the Federal agency * * *’’ and to pub- motor carrier that fails to maintain the lev-
lish that regulation in the FEDERAL REG- els of financial responsibility prescribed by
ISTER. Pursuant to that authority, the infla- Part 387 of this subchapter is subject to a
tion-adjusted civil penalties listed in para- maximum penalty of $16,000 for each viola-
graphs (a) through (h) of this appendix super- tion. Each day of a continuing violation con-
sede the corresponding civil penalty amounts stitutes a separate offense.
listed in title 49, United States Code. (e) Violations of the Hazardous Materials
What are the types of violations and max- Regulations (HMRs) and Safety Permitting
imum monetary penalties? Regulations found in subpart E of Part 385.
(a) Violations of the Federal Motor Carrier This paragraph applies to violations by
Safety Regulations (FMCSRs): motor carriers, drivers, shippers and other
(1) Recordkeeping. A person or entity that persons who transport hazardous materials
fails to prepare or maintain a record re- on the highway in commercial motor vehi-
quired by parts 40, 382, 385, and 390–99 of this cles or cause hazardous materials to be so
subchapter, or prepares or maintains a re- transported.
quired record that is incomplete, inaccurate, (1) All knowing violations of 49 U.S.C.
or false, is subject to a maximum civil pen- chapter 51 or orders or regulations issued
alty of $1,000 for each day the violation con- under the authority of that chapter applica-
tinues, up to $10,000. ble to the transportation or shipment of haz-
ardous materials by commercial motor vehi-
(2) Knowing falsification of records. A person
cle on highways are subject to a civil penalty
or entity that knowingly falsifies, destroys,
of not less than $250 and not more than
mutilates, or changes a report or record re-
$50,000 for each violation. Each day of a con-
quired by parts 382, 385, and 390–99 of this
tinuing violation constitutes a separate of-
subchapter, knowingly makes or causes to be
fense.
made a false or incomplete record about an
(2) All knowing violations of 49 U.S.C.
operation or business fact or transaction, or
chapter 51 or orders or regulations issued
knowingly makes, prepares, or preserves a under the authority of that chapter applica-
record in violation of a regulation or order of ble to training related to the transportation
the Secretary is subject to a maximum civil or shipment of hazardous materials by com-
penalty of $10,000 if such action misrepre- mercial motor vehicle on highways are sub-
sents a fact that constitutes a violation ject to a civil penalty of not less than $450
other than a reporting or recordkeeping vio- and not more than $50,000 for each violation.
lation. (3) All knowing violations of 49 U.S.C.
(3) Non-recordkeeping violations. A person or chapter 51 or orders, regulations, or exemp-
entity that violates parts 382, 385, or 390–99 of tions issued under the authority of that
this subchapter, except a recordkeeping re- chapter applicable to the manufacture, fab-
quirement, is subject to a civil penalty not rication, marking, maintenance, recondi-
to exceed $11,000 for each violation. tioning, repair, or testing of a packaging or
(4) Non-recordkeeping violations by drivers. A container that is represented, marked, cer-
driver who violates parts 382, 385, and 390–99 tified, or sold as being qualified for use in
of this subchapter, except a recordkeeping the transportation or shipment of hazardous
violation, is subject to a civil penalty not to materials by commercial motor vehicle on
exceed $2,750. highways are subject to a civil penalty of not
(5) Violation of 49 CFR 392.5. A driver placed less than $250 and not more than $50,000 for
out of service for 24 hours for violating the each violation.
alcohol prohibitions of 49 CFR 392.5(a) or (b) (4) Whenever regulations issued under the
who drives during that period is subject to a authority of 49 U.S.C. chapter 51 require
civil penalty not to exceed $3,750 for each compliance with the FMCSRs while trans-
violation. porting hazardous materials, any violations
(b) Commercial driver’s license (CDL) viola- of the FMCSRs will be considered a violation
tions. Any person who violates 49 CFR part of the HMRs and subject to a civil penalty of
383, subparts B, C, E, F, G, or H is subject to not less than $250 and not more than $50,000.
a civil penalty of $3,750. (5) If any violation subject to the civil pen-
(c) Special penalties pertaining to violations alties set out in paragraphs (e)(1) through (4)
of out-of-service orders by CDL-holders. A CDL- of this appendix results in death, serious ill-
holder who is convicted of violating an out- ness, or severe injury to any person or in
of-service order shall be subject to a civil substantial destruction of property, the civil
penalty of not less than $2,100 nor more than penalty may be increased to not more than
$3,750. An employer of a CDL-holder who $105,000 for each offense.
knowingly allows, requires, permits, or au- (f) Operating after being declared unfit by as-
thorizes that employee to operate a CMV signment of a final ‘‘unsatisfactory’’ safety rat-
during any period in which the CDL-holder is ing. (1) A motor carrier operating a commer-
subject to an out-of-service order, is subject cial motor vehicle in interstate commerce
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to a civil penalty of not less than $3,750 or (except owners or operators of commercial
more than $16,000. motor vehicles designed or used to transport

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Federal Motor Carrier Safety Administration, DOT Pt. 386, App. B
hazardous materials for which placarding of (6) A person who operates as a motor car-
a motor vehicle is required under regulations rier or broker for the transportation of haz-
prescribed under 49 U.S.C. chapter 51) is sub- ardous wastes in violation of the registration
ject, after being placed out of service be- provisions of 49 U.S.C. 13901 is liable for a
cause of receiving a final ‘‘unsatisfactory’’ maximum penalty of $22,000 per violation.
safety rating, to a civil penalty of not more (7) A motor carrier or freight forwarder of
than $11,000 (49 CFR 385.13). Each day the household goods, or their receiver or trustee,
transportation continues in violation of a that does not comply with any regulation re-
final ‘‘unsatisfactory’’ safety rating con- lating to the protection of individual ship-
stitutes a separate offense. pers is liable for a minimum penalty of $1,100
(2) A motor carrier operating a commercial per violation.
motor vehicle designed or used to transport (8) A person—
hazardous materials for which placarding of (i) Who falsifies, or authorizes an agent or
a motor vehicle is required under regulations other person to falsify, documents used in
prescribed under 49 U.S.C. chapter 51 is sub- the transportation of household goods by
ject, after being placed out of service be- motor carrier or freight forwarder to evi-
cause of receiving a final ‘‘unsatisfactory’’ dence the weight of a shipment or
safety rating, to a civil penalty of not less (ii) Who charges for services which are not
than $250 and not more than $50,000 for each performed or are not reasonably necessary in
offense. If the violation results in death, se- the safe and adequate movement of the ship-
rious illness, or severe injury to any person ment is liable for a minimum penalty of
or in substantial destruction of property, the $2,200 for the first violation and $6,500 for
civil penalty may be increased to not more each subsequent violation.
than $105,000 for each offense. Each day the (9) A person who knowingly accepts or re-
transportation continues in violation of a ceives from a carrier a rebate or offset
final ‘‘unsatisfactory’’ safety rating con- against the rate specified in a tariff required
stitutes a separate offense. under 49 U.S.C. 13702 for the transportation
(g) Violations of the commercial regulations of property delivered to the carrier commits
(CRs). Penalties for violations of the CRs are a violation for which the penalty is equal to
specified in 49 U.S.C. Chapter 149. These pen- three times the amount accepted as a rebate
alties relate to transportation subject to the or offset and three times the value of other
Secretary’s jurisdiction under 49 U.S.C. consideration accepted or received as a re-
Chapter 135. Unless otherwise noted, a sepa- bate or offset for the six-year period before
rate violation occurs for each day the viola- the action is begun.
tion continues. (10) A person who offers, gives, solicits, or
(1) A person who fails to make a report, to receives transportation of property by a car-
specifically, completely, and truthfully an- rier at a different rate than the rate in effect
swer a question, or to make, prepare, or pre- under 49 U.S.C. 13702 is liable for a maximum
serve a record in the form and manner pre- penalty of $120,000 per violation. When acting
scribed is liable for a minimum penalty of in the scope of his/her employment, the acts
$650 per violation. or omissions of a person acting for or em-
(2) A person who operates as a carrier or ployed by a carrier or shipper are considered
broker for the transportation of property in to be the acts and omissions of that carrier
violation of the registration requirements of or shipper, as well as that person.
49 U.S.C. 13901 is liable for a minimum pen- (11) Any person who offers, gives, solicits,
alty of $650 per violation. or receives a rebate or concession related to
(3) A person who operates as a motor car- motor carrier transportation subject to ju-
rier of passengers in violation of the reg- risdiction under subchapter I of 49 U.S.C.
istration requirements of 49 U.S.C. 13901 is Chapter 135, or who assists or permits an-
liable for a minimum penalty of $2,200 per other person to get that transportation at
violation. less than the rate in effect under 49 U.S.C.
(4) A person who operates as a foreign 13702, commits a violation for which the pen-
motor carrier or foreign motor private car- alty is $200 for the first violation and $275 for
rier in violation of the provisions of 49 U.S.C. each subsequent violation.
13902 (c) is liable for a minimum penalty of (12) A freight forwarder, its officer, agent,
$650 per violation. or employee, that assists or willingly per-
(5) A person who operates as a foreign mits a person to get service under 49 U.S.C.
motor carrier or foreign motor private car- 13531 at less than the rate in effect under 49
rier without authority, before the implemen- U.S.C. 13702 commits a violation for which
tation of the land transportation provisions the penalty is up to $650 for the first viola-
of the North American Free Trade Agree- tion and up to $2,200 for each subsequent vio-
ment, outside the boundaries of a commer- lation.
cial zone along the United States-Mexico (13) A person who gets or attempts to get
border is liable for a maximum penalty of service from a freight forwarder under 49
$11,000 for an intentional violation and a U.S.C. 13531 at less than the rate in effect
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maximum penalty of $32,500 for a pattern of under 49 U.S.C. 13702 commits a violation for
intentional violations. which the penalty is up to $650 for the first

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Pt. 387 49 CFR Ch. III (10–1–07 Edition)
violation and up to $2,200 for each subse- rate for the transportation or service. De-
quent violation. parting, or offering to depart, from that pub-
(14) A person who knowingly authorizes, lished or filed rate is a violation of 49 U.S.C.
consents to, or permits a violation of 49 14902 and 14903.
U.S.C. 14103 relating to loading and unload- (21) A person—
ing motor vehicles or who knowingly vio- (i) Who knowingly and willfully fails, in
lates subsection (a) of 49 U.S.C. 14103 is liable violation of a contract, to deliver to, or un-
for a penalty of not more than $11,000 per load at, the destination of a shipment of
violation. household goods in interstate commerce for
(15) A person, or an officer, employee, or which charges have been estimated by the
agent of that person, who tries to evade reg- motor carrier transporting such goods, and
ulation under Part B of Subtitle IV, Title 49, for which the shipper has tendered a pay-
U.S.C., for carriers or brokers is liable for a ment in accordance with part 375, subpart G
penalty of $220 for the first violation and at of this chapter, is liable for a civil penalty of
least $275 for a subsequent violation. not less than $10,000 for each violation. Each
(16) A person required to make a report to day of a continuing violation constitutes a
the Secretary, answer a question, or make, separate offense.
prepare, or preserve a record under Part B of (ii) Who is a carrier or broker and is found
Subtitle IV, Title 49, U.S.C., or an officer, to be subject to the civil penalties in para-
agent, or employee of that person, is liable graph (i) of this appendix may also have his
for a maximum penalty of $6,500 per viola- or her carrier and/or broker registration sus-
tion if it does not make the report, does not pended for not less than 12 months and not
completely and truthfully answer the ques- more than 36 months under 49 U.S.C. chapter
tion within 30 days from the date the Sec- 139. Such suspension of a carrier or broker
retary requires the answer, does not make or shall extend to and include any carrier or
preserve the record in the form and manner broker having the same ownership or oper-
prescribed, falsifies, destroys, or changes the ational control as the suspended carrier or
report or record, files a false report or broker.
record, makes a false or incomplete entry in (h) Copying of records and access to equip-
the record about a business related fact, or ment, lands, and buildings. A person subject to
prepares or preserves a record in violation of 49 U.S.C. chapter 51 or a motor carrier,
a regulation or order of the Secretary. broker, freight forwarder, or owner or oper-
(17) A motor carrier, water carrier, freight ator of a commercial motor vehicle subject
forwarder, or broker, or their officer, re- to part B of subtitle VI of title 49 U.S.C. who
ceiver, trustee, lessee, employee, or other fails to allow promptly, upon demand, the
person authorized to receive information
Federal Motor Carrier Safety Administra-
from them, who discloses information identi-
tion or an employee designated by the Fed-
fied in 49 U.S.C. 14908 without the permission
eral Motor Carrier Safety Administration to
of the shipper or consignee is liable for a
inspect and copy any record or inspect and
maximum penalty of $2,200.
examine equipment, lands, buildings, and
(18) A person who violates a provision of
other property, in accordance with 49 U.S.C.
Part B, Subtitle IV, Title 49, U.S.C., or a reg-
504(c), 5121(c), and 14122(b), is subject to a
ulation or order under Part B, or who vio-
civil penalty of not more than $1,000 for each
lates a condition of registration related to
offense. Each day of a continuing violation
transportation that is subject to jurisdiction
constitutes a separate offense, except that
under subchapter I or III or Chapter 135, or
the total of all civil penalties against any vi-
who violates a condition of registration of a
olator for all offenses related to a single vio-
foreign motor carrier or foreign motor pri-
lation shall not exceed $10,000.
vate carrier under section 13902, is liable for
a penalty of $650 for each violation if another [63 FR 12414, Mar. 13, 1998, as amended at 65
penalty is not provided in 49 U.S.C. Chapter FR 7756, Feb. 16,, 2000; 67 FR 61821, Oct. 2,
149. 2002; 68 FR 15383, Mar. 31, 2003; 69 FR 39371,
(19) A violation of Part B, Subtitle IV, June 30, 2004; 70 FR 28486, May 18, 2005; 72 FR
Title 49, U.S.C., committed by a director, of- 36789, July 5, 2007; 72 FR 55102, Sept. 28, 2007]
ficer, receiver, trustee, lessee, agent, or em-
ployee of a carrier that is a corporation is
also a violation by the corporation to which
PART 387—MINIMUM LEVELS OF FI-
the penalties of Chapter 149 apply. Acts and NANCIAL RESPONSIBILITY FOR
omissions of individuals acting in the scope MOTOR CARRIERS
of their employment with a carrier are con-
sidered to be the actions and omissions of Subpart A—Motor Carriers of Property
the carrier as well as the individual.
(20) In a proceeding begun under 49 U.S.C. Sec.
14902 or 14903, the rate that a carrier pub- 387.1 Purpose and scope.
lishes, files, or participates in under section 387.3 Applicability.
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13702 is conclusive proof against the carrier, 387.5 Definitions.


its officers, and agents that it is the legal 387.7 Financial responsibility required.

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Federal Motor Carrier Safety Administration, DOT § 387.3
387.9 Financial responsibility, minimum EDITORIAL NOTE: Nomenclature changes to
levels. part 387 appear at 66 FR 49873, Oct. 1, 2001.
387.11 State authority and designation of
agent.
387.13 Fiduciaries. Subpart A—Motor Carriers of
387.15 Forms. Property
387.17 Violation and penalty.
§ 387.1 Purpose and scope.
Subpart B—Motor Carriers of Passengers
This subpart prescribes the minimum
387.25 Purpose and scope. levels of financial responsibility re-
387.27 Applicability. quired to be maintained by motor car-
387.29 Definitions. riers of property operating motor vehi-
387.31 Financial responsibility required.
cles in interstate, foreign, or intrastate
387.33 Financial responsibility, minimum
levels. commerce. The purpose of these regu-
387.35 State authority and designation of lations is to create additional incen-
agent. tives to motor carriers to maintain and
387.37 Fiduciaries. operate their vehicles in a safe manner
387.39 Forms. and to assure that motor carriers
387.41 Violation and penalty.
maintain an appropriate level of finan-
Subpart C—Surety Bonds and Policies of cial responsibility for motor vehicles
Insurance for Motor Carriers and Prop- operated on public highways.
erty Brokers [46 FR 30982, June 11, 1981, as amended at 48
387.301 Surety bond, certificate of insur- FR 52683, Nov. 21, 1983]
ance, or other securities.
387.303 Security for the protection of the § 387.3 Applicability.
public: Minimum limits. (a) This subpart applies to for-hire
387.305 Combination vehicles. motor carriers operating motor vehi-
387.307 Property broker surety bond or trust
fund. cles transporting property in interstate
387.309 Qualifications as a self-insurer and or foreign commerce.
other securities or agreements. (b) This subpart applies to motor car-
387.311 Bonds and certificates of insurance. riers operating motor vehicles trans-
387.313 Forms and procedures. porting hazardous materials, hazardous
387.315 Insurance and surety companies.
substances, or hazardous wastes in
387.317 Refusal to accept, or revocation by
the FMCSA of surety bonds, etc. interstate, foreign, or intrastate com-
387.319 Fiduciaries. merce.
387.321 Operations in foreign commerce. (c) Exception. (1) The rules in this
387.323 Electronic filing of surety bonds, part do not apply to a motor vehicle
trust fund agreements, certificates of in- that has a gross vehicle weight rating
surance and cancellations.
(GVWR) of less than 10,000 pounds. This
Subpart D—Surety Bonds and Policies of exception does not apply if the vehicle
Insurance for Freight Forwarders is used to transport any quantity of a
Division 1.1, 1.2, or 1.3 material, any
387.401 Definitions. quantity of a Division 2.3, Hazard Zone
387.403 General requirements.
387.405 Limits of liability. A, or Division 6.1, Packing Group I,
387.407 Surety bonds and certificates of in- Hazard Zone A, or to a highway route
surance. controlled quantity of a Class 7 mate-
387.409 Insurance and surety companies. rial as it is defined in 49 CFR 173.403, in
387.411 Qualifications as a self-insurer and interstate or foreign commerce.
other securities or agreements.
387.413 Forms and procedure.
(2) The rules in this part do not apply
387.415 Acceptance and revocation by the to the transportation of non-bulk oil,
FMCSA. non-bulk hazardous materials, sub-
387.417 Fiduciaries. stances, or wastes in intrastate com-
387.419 Electronic filing of surety bonds, merce, except that the rules in this
certificates of insurance and cancella- part do apply to the transportation of a
tions.
highway route controlled quantity of a
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AUTHORITY: 49 U.S.C. 13101, 13301, 13906,


14701, 31138, and 31139; and 49 CFR 1.73.

285

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§ 387.5 49 CFR Ch. III (10–1–07 Edition)

Class 7 material as defined in 49 CFR Zone A, or Division 6.1, packing Group


173.403, in intrastate commerce. I, Hazard Zone A material, in any
[46 FR 30982, June 11, 1981; 46 FR 45612, Sept.
quantity.
14, 1981, as amended at 48 FR 5559, Feb. 7, Insured and principal—the motor car-
1983; 48 FR 52683, Nov. 21, 1983; 49 FR 38290, rier named in the policy of insurance,
Sept. 28, 1984; 59 FR 63923, Dec. 12, 1994] surety bond, endorsement, or notice of
cancellation, and also the fiduciary of
§ 387.5 Definitions. such motor carrier.
As used in this subpart— Insurance premium the monetary sum
Accident includes continuous or re- an insured pays an insurer for accept-
peated exposure to the same conditions ance of liability for public liability
resulting in public liability which the claims made against the insured.
insured neither expected nor intended. Motor carrier means a for-hire motor
Bodily injury means injury to the carrier or a private motor carrier. The
body, sickness, or disease including term includes, but is not limited to, a
death resulting from any of these. motor carrier’s agent, officer, or rep-
Cancellation of insurance the with- resentative; an employee responsible
drawal of insurance coverage by either for hiring, supervising, training, as-
the insurer or the insured. signing, or dispatching a driver; or an
Endorsement an amendment to an in- employee concerned with the installa-
surance policy. tion, inspection, and maintenance of
Environmental restoration restitution motor vehicle equipment and/or acces-
for the loss, damage, or destruction of sories.
natural resources arising out of the ac-
Property damage means damage to or
cidental discharge, dispersal, release or
loss of use of tangible property.
escape into or upon the land, atmos-
phere, watercourse, or body of water of Public liability liability for bodily in-
any commodity transported by a motor jury or property damage and includes
carrier. This shall include the cost of liability for environmental restoration.
removal and the cost of necessary State means a State of the United
measure taken to minimize or mitigate States, the District of Columbia, Puer-
damage to human health, the natural to Rico, the Virgin Islands, American
environment, fish, shellfish, and wild- Samoa, Guam, and the Northern Mar-
life. iana Islands.
Evidence of security a surety bond or a [46 FR 30982, June 11, 1981; 46 FR 45612, Sept.
policy of insurance with the appro- 14, 1981; 47 FR 12801, Mar. 25, 1982, as amended
priate endorsement attached. at 48 FR 52683, Nov. 21, 1983; 51 FR 33856,
Financial responsibility the financial Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 59 FR
reserves (e.g., insurance policies or sur- 63923, Dec. 12, 1994; 62 FR 16709, Apr. 8, 1997;
ety bonds) sufficient to satisfy liability 63 FR 33275, June 18, 1998]
amounts set forth in this subpart cov-
§ 387.7 Financial responsibility re-
ering public liability. quired.
For-hire carriage means the business
of transporting, for compensation, the (a) No motor carrier shall operate a
goods or property of another. motor vehicle until the motor carrier
In bulk—the transportation, as cargo, has obtained and has in effect the min-
of property, except Division 1.1, 1.2, or imum levels of financial responsibility
1.3 materials, and Division 2.3, Hazard as set forth in § 387.9 of this subpart.
Zone A gases, in containment systems (b)(1) Policies of insurance, surety
with capacities in excess of 3500 water bonds, and endorsements required
gallons. under this section shall remain in ef-
In bulk (Division 1.1, 1.2, and 1.3 explo- fect continuously until terminated.
sives)—the transportation, as cargo, of Cancellation may be effected by the in-
any Division 1.1, 1.2, or 1.3 materials in surer or the insured motor carrier giv-
any quantity. ing 35 days’ notice in writing to the
In bulk (Division 2.3, Hazard Zone A or other. The 35 days’ notice shall com-
Division 6.1, Packing Group I, Hazard mence to run from the date the notice
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Zone A materials)—the transportation, is mailed. Proof of mailing shall be suf-


as cargo, of any Division 2.3, Hazard ficient proof of notice.

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Federal Motor Carrier Safety Administration, DOT § 387.9

(2) Exception. Policies of insurance (1) ‘‘Endorsement(s) for Motor Car-


and surety bonds may be obtained for a rier Policies of Insurance for Public Li-
finite period of time to cover any lapse ability Under Sections 29 and 30 of the
in continuous compliance. Motor Carrier Act of 1980’’ (Form MCS–
(3) Exception. A Mexico-domiciled 90) issued by an insurer(s);
motor carrier operating solely in mu- (2) A ‘‘Motor Carrier Surety Bond for
nicipalities in the United States on the Public Liability Under Section 30 of
U.S.-Mexico international border or the Motor Carrier Act of 1980’’ (Form
within the commercial zones of such MCS–82) issued by a surety; or
municipalities with a Certificate of (3) A written decision, order, or au-
Registration issued under part 368 may thorization of the Federal Motor Car-
meet the minimum financial responsi- rier Safety Administration authorizing
bility requirements of this subpart by a motor carrier to self-insure under
obtaining insurance coverage, in the § 387.309, provided the motor carrier
required amounts, for periods of 24 maintains a satisfactory safety rating
hours or longer, from insurers that as determined by the Federal Motor
meet the requirements of § 387.11 of this Carrier Safety Administration under
subpart. A Mexican motor carrier so part 385 of this chapter.
insured must have available for inspec- (e) The proof of minimum levels of fi-
tion in each of its vehicles copies of the nancial responsibility required by this
following documents: section shall be considered public in-
(i) The Certificate of Registration; formation and be produced for review
(ii) The required insurance endorse- upon reasonable request by a member
ment (Form MCS–90); and of the public.
(iii) An insurance identification card, (f) All vehicles operated within the
binder, or other document issued by an United States by motor carriers domi-
authorized insurer which specifies both ciled in a contiguous foreign country,
the effective date and the expiration shall have on board the vehicle a leg-
date of the temporary insurance cov- ible copy, in English, of the proof of
erage authorized by this exception. the required financial responsibility
Mexician motor carriers insured under (Form MCS–90 or MCS–82) used by the
this exception are also exempt from motor carrier to comply with para-
the notice of cancellation requirements graph (d) of this section.
stated on Form MCS–90. (g) Any motor vehicle in which there
(c) Policies of insurance and surety is no evidence of financial responsi-
bonds required under this section may bility required by paragraph (f) of this
be replaced by other policies of insur- section shall be denied entry into the
ance or surety bonds. The liability of United States.
the retiring insurer or surety, as to [46 FR 30982, June 11, 1981; 46 FR 45612, Sept.
events after the termination date, shall 14, 1981, as amended at 48 FR 5559, Feb. 7,
be considered as having terminated on 1983; 48 FR 52683, Nov. 21, 1983; 51 FR 22083,
the effective date of the replacement June 18, 1986; 54 FR 49092, Nov. 29, 1989; 59 FR
policy of insurance or surety bond or at 63923, Dec. 12, 1994; 67 FR 12661, Mar. 19, 2002]
the end of the 35 day cancellation pe-
riod required in paragraph (b) of this § 387.9 Financial responsibility, min-
section, whichever is sooner. imum levels.
(d) Proof of the required financial re- The minimum levels of financial re-
sponsibility shall be maintained at the sponsibility referred to in § 387.7 of this
motor carrier’s principal place of busi- subpart are hereby prescribed as fol-
ness. The proof shall consist of— lows:
SCHEDULE OF LIMITS—PUBLIC LIABILITY
Type of carriage Commodity transported Jan. 1, 1985

(1) For-hire (In interstate or foreign Property (nonhazardous) ............................................................................ $750,000


commerce, with a gross vehicle
weight rating of 10,001 or more
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pounds).

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§ 387.11 49 CFR Ch. III (10–1–07 Edition)

SCHEDULE OF LIMITS—PUBLIC LIABILITY—Continued


Type of carriage Commodity transported Jan. 1, 1985

(2) For-hire and Private (In inter- Hazardous substances, as defined in 49 CFR 171.8, transported in 5,000,000
state, foreign, or intrastate com- cargo tanks, portable tanks, or hopper-type vehicles with capacities in
merce, with a gross vehicle weight excess of 3,500 water gallons; or in bulk Division 1.1, 1.2, and 1.3
rating of 10,001 or more pounds). materials, Division 2.3, Hazard Zone A, or Division 6.1, Packing
Group I, Hazard Zone A material; in bulk Division 2.1 or 2.2; or high-
way route controlled quantities of a Class 7 material, as defined in 49
CFR 173.403.
(3) For-hire and Private (In interstate Oil listed in 49 CFR 172.101; hazardous waste, hazardous materials, 1,000,000
or foreign commerce, in any quan- and hazardous substances defined in 49 CFR 171.8 and listed in 49
tity; or in intrastate commerce, in CFR 172.101, but not mentioned in (2) above or (4) below.
bulk only; with a gross vehicle
weight rating of 10,001 or more
pounds).
(4) For-hire and Private (In interstate Any quantity of Division 1.1, 1.2, or 1.3 material; any quantity of a Divi- 5,000,000
or foreign commerce, with a gross sion 2.3, Hazard Zone A, or Division 6.1, Packing Group I, Hazard
vehicle weight rating of less than Zone A material; or highway route controlled quantities of a Class 7
10,000 pounds). material as defined in 49 CFR 173.403.

[59 FR 63923, Dec. 12, 1994, as amended at 67 FR 61821, Oct. 2, 2002]

§ 387.11 State authority and designa- § 387.13 Fiduciaries.


tion of agent. The coverage of fiduciaries shall at-
A policy of insurance or surety bond tach at the moment of succession of
does not satisfy the financial responsi- such fiduciaries.
bility requirements of this subpart un- [46 FR 30982, June 11, 1981]
less the insurer or surety furnishing
the policy or bond is— § 387.15 Forms.
(a) Legally authorized to issue such Endorsements for policies of insur-
policies or bonds in each State in ance (Illustration I) and surety bonds
which the motor carrier operates; or (Illustration II) must be in the form
(b) Legally authorized to issue such prescribed by the FMCSA and approved
policies or bonds in the State in which by the OMB. Endorsements to policies
the motor carrier has its principal of insurance and surety bonds shall
place of business or domicile, and is specify that coverage thereunder will
willing to designate a person upon remain in effect continuously until ter-
whom process, issued by or under the minated, as required in § 387.7 of this
authority of any court having jurisdic- subpart. The continuous coverage re-
tion of the subject matter, may be quirement does not apply to Mexican
served in any proceeding at law or eq- motor carriers insured under
uity brought in any State in which the § 387.7(b)(3) of this subpart. The en-
motor carrier operates; or dorsement and surety bond shall be
(c) Legally authorized to issue such issued in the exact name of the motor
policies or bonds in any State of the carrier.
United States and eligible as an excess ILLUSTRATION I
or surplus lines insurer in any State in
Form MCS–90 (3/82)
which business is written, and is will- Form Approved
ing to designate a person upon whom OMB No. 2125–0074
process, issued by or under the author-
ity of any court having jurisdiction of ENDORSEMENT FOR MOTOR CARRIER POLICIES
OF INSURANCE FOR PUBLIC LIABILITY UNDER
the subject matter, may be served in
SECTIONS 29 AND 30 OF THE MOTOR CARRIER
any proceeding at law or equity ACT OF 1980
brought in any State in which the
Issued to llllllllllllllllll
motor carrier operates.
of llllllllllllllllllllll
[46 FR 30982, June 11, 1981, as amended at 48 Dated at lllllllllllllllllll
cprice-sewell on PROD1PC63 with CFR

FR 52683, Nov. 21, 1983] this lllllll day of llllllllll,


19ll

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Federal Motor Carrier Safety Administration, DOT § 387.15
Amending Policy No. llllllllllll Public Liability means liability for bodily in-
Effective Date llllllllllllllll jury, property damage, and environmental
Name of Insurance Company llllllll restoration.
Countersigned by llllllllllll The insurance policy to which this en-
Authorized Company Representative dorsement is attached provides automobile
The policy to which this endorsement is at- liability insurance and is amended to assure
tached provides primary or excess insurance, compliance by the insured, within the limits
as indicated by ‘‘X’’, for the limits shown: stated herein, as a motor carrier of property,
b This insurance is primary and the com- with sections 29 and 30 of the Motor Carrier
pany shall not be liable for amounts in ex- Act of 1980 and the rules and regulations of
cess of $lllll for each accident. the Federal Motor Carrier Safety Adminis-
b This insurance is excess and the company tration.
shall not be liable for amounts in excess of In consideration of the premium stated in
$lllll for each accident in excess of the policy to which this endorsement is at-
the underlying limit of $lllll for each tached, the insurer (the company) agrees to
accident. pay, within the limits of liability described
herein, any final judgment recovered against
Whenever required by the FMCSA the com- the insured for public liability resulting
pany agrees to furnish the FMCSA a dupli- from negligence in the operation, mainte-
cate of said policy and all its endorsements. nance or use of motor vehicles subject to the
The company also agrees, upon telephone re- financial responsibility requirements of sec-
quest by an authorized representative of the tions 29 and 30 of the Motor Carrier Act of
FMCSA, to verify that the policy is in force 1980 regardless of whether or not each motor
as of a particular date. The telephone num- vehicle is specifically described in the policy
ber to call is: llllll and whether or not such negligence occurs
Cancellation of this endorsement may be ef- on any route or in any territory authorized
fected by the company or the insured by giv- to be served by the insured or elsewhere.
ing (1) thirty-five (35) days notice in writing Such insurance as is afforded, for public li-
to the other party (said 35 days notice to ability, does not apply to injury to or death
commence from the date the notice is of the insured’s employees while engaged in
mailed, proof of mailing shall be sufficient the course of their employment, or property
proof of notice), and (2) if the insured is sub- transported by the insured, designated as
ject to the FMCSA’s jurisdiction, by pro- cargo. It is understood and agreed that no
viding thirty (30) days notice to the FMCSA condition, provision, stipulation, or limita-
(said 30 days notice to commence from the tion contained in the policy, this endorse-
date the notice is received by the FMCSA at ment, or any other endorsement thereon, or
its office in Washington, DC). violation thereof, shall relieve the company
from liability or from the payment of any
DEFINITIONS AS USED IN THIS ENDORSEMENT final judgment, within the limits of liability
herein described, irrespective of the financial
Accident includes continuous or repeated ex-
condition, insolvency or bankruptcy of the
posure to conditions which results in bod-
insured. However, all terms, conditions, and
ily injury, property damage, or environ- limitations in the policy to which the en-
mental damage which the insured neither dorsement is attached shall remain in full
expected or intended. force and effect as binding between the in-
Motor Vehicle means a land vehicle, machine, sured and the company. The insured agrees
truck, tractor, trailer, or semitrailer pro- to reimburse the company for any payment
pelled or drawn by mechanical power and made by the company on account of any ac-
used on a highway for transporting prop- cident, claim, or suit involving a breach of
erty, or any combination thereof. the terms of the policy, and for any payment
Bodily Injury means injury to the body, sick- that the company would not have been obli-
ness, or disease to any person, including gated to make under the provisions of the
death resulting from any of these. policy except for the agreement contained in
Environmental Restoration means restitution this endorsement.
for the loss, damage, or destruction of nat- It is further understood and agreed that,
ural resources arising out of the accidental upon failure of the company to pay any final
discharge, dispersal, release or escape into judgment recovered against the insured as
or upon the land, atmosphere, watercourse, provided herein, the judgment creditor may
or body of water, of any commodity trans- maintain an action in any court of com-
ported by a motor carrier. This shall in- petent jurisdiction against the company to
clude the cost of removal and the cost of compel such payment.
necessary measures taken to minimize or The limits of the company’s liability for
mitigate damage to human health, the nat- the amounts prescribed in this endorsement
ural environment, fish, shellfish, and wild- apply separately to each accident and any
life.
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payment under the policy because of any one


Property Damage means damage to or loss of accident shall not operate to reduce the li-
use of tangible property. ability of the company for the payment of

289

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§ 387.15 49 CFR Ch. III (10–1–07 Edition)
final judgments resulting from any other ac- the applicable governing provisions,
cident. then this obligation shall be void, oth-
ILLUSTRATION II erwise it will remain in full effect.
Within the limits described herein,
Form MCS–82 (4/83) the Surety extends to such losses re-
(Form approved by Office of Management gardless of whether such motor vehi-
and Budget under control no. 2125–0075) cles are specifically described herein
and whether occurring on the route or
MOTOR CARRIER PUBLIC LIABILITY SURETY in the territory authorized to be served
BOND UNDER SECTIONS 29 AND 30 OF THE by the Principal or elsewhere.
MOTOR CARRIER ACT OF 1980 The liability of the Surety on each
Motor carrier prin- motor vehicle subject to the financial
Surety company and
Parties principal place of cipal, FMCSA Dock- responsibility requirements of Sec-
et No. and principal
business address place of business tion’s 29 and 30 of the Motor Carrier
Act of 1980 for each accident shall not
................................. ................................. exceed $lllll, and shall be a con-
................................. .................................
................................. ................................. tinuing one notwithstanding any re-
................................. ................................. covery hereunder.
Purpose—This is an agreement be- The surety agrees, upon telephone re-
tween the Surety and the Principal quest by an authorized representative
under which the Surety, its successors of the FMCSA, to verify that the sur-
and assigness, agree to be responsible ety bond is in force as of a particular
for the payment of any final judgment date. The telephone number is:
or judgments against the Principal for llllll
public liability, property damage, and This bond is effective from lll
environmental restoration liability (12:01 a.m., standard time, at the ad-
claims in the sums prescribed herein; dress of the Principal as stated herein)
subject to the governing provisions and and shall countine in force until termi-
the following conditions. nated as described herein. The prin-
Governing provisions—(1) Sections 29 cipal or the Surety may at any time
and 30 of the Motor Carrier Act of 1980 terminate this bond by giving (1) thirty
(49 U.S.C. 13906). five (35) days notice in writing to the
(2) Rules and regulations of the Fed- other party (said 35 day notice to com-
eral Motor Carrier Safety Administra- mence from the date the notice is
tion. mailed, proof of mailing shall be suffi-
Conditions—The Principal is or in- cient proof of notice), and (2) if the
tends to become a motor carrier of Principal is subject to the FMCSA’s ju-
property subject to the applicable gov- risdiction, by providing thirty (30) days
erning provisions relating to financial notice to the FMCSA (said 30 days no-
responsibility for the protection of the tice to commence from the date notice
public. is received by the FMCSA at its office
This bond assures compliance by the in Washington, DC). The Surety shall
Principal with the applicable gov- not be liable for the payment of any
erning provisions, and shall inure to judgment or judgments against the
the benefit of any person or persons Principal for public liability, property
who shall recover a final judgment or damage, or environmental restoration
judgments against the Principal for claims resulting from accidents which
public liability, property damage, or occur after the termination of this
environmental restoration liability bond as described herein, but such ter-
claims (excluding injury to or death of mination shall not affect the liability
the Principal’s employees while en- of the Surety for the payment of any
gaged in the course of their employ- such judgment or judgments resulting
ment, and loss of or damange to prop- from accidents which occur during the
erty of the principal, and the cargo time the bond is in effect.
transported by the Principal). If every (AFFIX CORPORATE SEAL)
Date lllllllllllllllllllll
final judgment shall be paid for such Surety llllllllllllllllllll
claims resulting from the negligent op- City lllllllllllllllllllll
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eration, maintenance, or use of motor State llllllllllllllllllll


vehicles in transportation subject to By llllllllllllllllllllll

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Federal Motor Carrier Safety Administration, DOT § 387.29
ACKNOWLEDGEMENT OF SURETY § 387.25 Purpose and scope.
State of lllllllllllllllllll This subpart prescribes the minimum
County of llllllllllllllllll
levels of financial responsibility re-
On this llllll day of llllllll, quired to be maintained by for-hire
19ll, before me personally came
lllllllllll, who, being by me duly
motor carriers of passengers operating
sworn, did depose and say that he/she resides motor vehicles in interstate or foreign
in llllllllll; that he/she is the commerce. The purpose of these regu-
lllllllll of the llllllllll, lations is to create additional incen-
the corporation described in and which exe- tives to carriers to operate their vehi-
cuted the foregoing instrument; that he/she cles in a safe manner and to assure
knows the seal of said corporation, that the
that they maintain adequate levels of
seal affixed to said instrument is such cor-
porate seal, that it was so affixed by order of financial responsibility.
the board of directors of said corporation,
that he/she signed his/her name thereto by § 387.27 Applicability.
like order, and he/she duly acknowledged to (a) This subpart applies to for-hire
me that he/she executed the same for and on
motor carriers transporting passengers
behalf of said corporation.
(OFFICIAL SEAL) in interstate or foreign commerce.
llllllllllllllllllllllll (b) Exception. The rules in this sub-
Title of official administering oath lllll part do not apply to—
Surety Company File No. llllllllll (1) A motor vehicle transporting only
[46 FR 30982, June 11, 1981, as amended at 48 school children and teachers to or from
FR 52683, Nov. 21, 1983; 49 FR 27292, July 2, school;
1984; 49 FR 38290, Sept. 28, 1984; 51 FR 33856, (2) A motor vehicle providing taxicab
Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 54 FR service and having a seating capacity
49092, Nov. 29, 1989; 59 FR 63924, Dec. 12, 1994]
of less than 7 passengers and not oper-
§ 387.17 Violation and penalty. ated on a regular route or between
specified points;
Any person (except an employee who
(3) A motor vehicle carrying less
acts without knowledge) who know-
than 16 individuals in a single daily
ingly violates the rules of this subpart
round trip to commute to and from
shall be liable to the United States for
civil penalty of no more than $11,000 for work; and
each violation, and if any such viola- (4) A motor vehicle operated by a
tion is a continuing one, each day of motor carrier under contract providing
violation will constitute a separate of- transportation of preprimary, primary,
fense. The amount of any such penalty and secondary students for extra-
shall be assessed by the FMCSA’s Ad- curricular trips organized, sponsored,
ministrator, by written notice. In de- and paid by a school district.
termining the amount of such penalty, [48 FR 52683, Nov. 21, 1983, as amended at 63
the Administrator, or his/her author- FR 33275, June 18, 1998]
ized delegate shall take into account
the nature, circumstances, extent, the § 387.29 Definitions.
gravity of the violation committed As used in this subpart—
and, with respect to the person found
Accident includes continuous or re-
to have committed such violation, the
peated exposure to the same conditions
degree of culpability, any history of
resulting in public liability which the
prior offenses, ability to pay, effect on
insured neither expected nor intended.
ability to continue to do business, and
such other matters as justice may re- Bodily injury means injury to the
quire. body, sickness, or disease including
death resulting from any of these.
[59 FR 63924, Dec. 12, 1994] Endorsement an amendment to an in-
surance policy.
Subpart B—Motor Carriers of Financial responsibility the financial
Passengers reserves (e.g., insurance policies or sur-
ety bonds) sufficient to satisfy liability
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SOURCE: 48 FR 52683, Nov. 21, 1983, unless amounts set forth in this subpart cov-
otherwise noted. ering public liability.

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§ 387.31 49 CFR Ch. III (10–1–07 Edition)

For-hire carriage means the business financial responsibility as set forth in


of transporting, for compensation, pas- § 387.33 of this subpart.
sengers and their property, including (b) Policies of insurance, surety
any compensated transportation of the bonds, and endorsements required
goods or property or another. under this section shall remain in ef-
Insured and principal the motor car- fect continuously until terminated.
rier named in the policy of insurance, (1) Cancellation may be effected by
surety bond, endorsement, or notice of the insurer or the insured motor car-
cancellation, and also the fiduciary of rier giving 35 days notice in writing to
such motor carrier. the other. The 35 days notice shall
Insurance premium the monetary sum commence to run from the date the no-
an insured pays an insurer for accept- tice is mailed. Proof of mailing shall be
ance of liability for public liability sufficient proof of notice.
claims made against the insured. (2) Exception. Policies of insurance
Motor carrier means a for-hire motor and surety bonds may be obtained for a
carrier. The term includes, but is not finite period of time to cover any lapse
limited to, a motor carrier’s agent, of- in continuous compliance.
ficer, or representative; an employee (3) Exception. Mexican motor carriers
responsible for hiring, supervising, may meet the minimum financial re-
training, assigning, or dispatching a sponsibility requirements of this sub-
driver; or an employee concerned with part by obtaining insurance coverage,
the installation, inspection, and main- in the required amounts, for periods of
tenance of motor vehicle equipment 24 hours or longer, from insurers that
and/or accessories. meet the requirements of § 387.35 of this
Property damage means damage to or subpart. A Mexican motor carrier so
loss of use of tangible property. insured must have available for inspec-
tion in each of its vehicles copies of the
Public liability liability for bodily in-
following documents:
jury or property damage.
(i) The required insurance endorse-
Seating capacity any plan view loca- ment (Form MCS–90B); and
tion capable of accommodating a per- (ii) An insurance identification card,
son at least as large as a 5th percentile binder, or other document issued by an
adult female, if the overall seat con- authorized insurer which specifies both
figuration and design and vehicle de- the effective date and the expiration
sign is such that the position is likely date of the temporary insurance cov-
to be used as a seating position while erage authorized by this exception.
the vehicle is in motion, except for
auxiliary seating accommodations Mexican motor carriers insured under
such as temporary or folding jump this exception are also exempt from
seats. Any bench or split bench seat in the notice of cancellation requirements
a passenger car, truck or multi-purpose stated on Form MCS–90B.
passenger vehicle with a gross vehicle (c) Policies of insurance and surety
weight rating less than 10,000 pounds, bonds required under this section may
having greater than 50 inches of hip be replaced by other policies of insur-
room (measured in accordance with ance or surety bonds. The liability of
SEA Standards J1100(a)) shall have not retiring insurer or surety, as to events
less than three designated seating posi- after the termination date, shall be
tions, unless the seat design or vehicle considered as having terminated on the
design is such that the center position effective date of the replacement pol-
cannot be used for seating. icy of insurance or surety bond or at
the end or the 35 day cancellation pe-
[48 FR 52683, Nov. 21, 1983, as amended at 63 riod required in paragraph (b) of this
FR 33276, June 18, 1998] section, whichever is sooner.
(d) Proof of the required financial re-
§ 387.31 Financial responsibility re- sponsibility shall be maintained at the
quired. motor carrier’s principal place of busi-
(a) No motor carrier shall operate a ness. The proof shall consist of—
motor vehicle transporting passengers (1) ‘‘Endorsement(s) for Motor Car-
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until the motor carrier has obtained riers of Passengers Policies of Insur-
and has in effect the minimum levels of ance for Public Liability Under Section

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Federal Motor Carrier Safety Administration, DOT § 387.39

18 of the Bus Regulatory Reform Act of § 387.35 State authority and designa-
1982’’ (Form MCS–90B) issued by an in- tion of agent.
surer(s); or A policy of insurance or surety bond
(2) A ‘‘Motor Carrier of Passengers does not satisfy the financial responsi-
Surety Bond for Public Liability Under bility requirements of this subpart un-
Section 18 of the Bus Regulatory Re- less the insurer or surety furnishing
form Act of 1982’’ (Form MCS–82B) the policy or bond is—
issued by a surety. (a) Legally authorized to issue such
(e) The proof of minimum levels of fi- policies or bonds in each State in
nancial responsibility required by this which the motor carrier operates, or
section shall be considered public in- (b) Legally authorized to issue such
formation and be produced for review policies or bonds in the State in which
upon reasonable request by a member the motor carrier has its principal
of the public. place of business or domicile, and is
(f) All passenger carrying vehicles willing to designate a person upon
whom process, issued by or under the
operated within the United States by
authority of any court having jurisdic-
motor carriers domiciled in a contig-
tion of the subject matter, may be
uous foreign country, shall have on served in any proceeding at law or eq-
board the vehicle a legible copy, in uity brought in any State in which the
English, of the proof of the required fi- motor carrier operates; or
nancial responsibility (Forms MCS–90B (c) Legally authorized to issue such
or MCS–82B) used by the motor carrier policies or bonds in any State of the
to comply with paragraph (d) of this United States and eligible as an excess
section. or surplus lines insurer in any State in
(g) Any motor vehicle in which there which business is written, and is will-
is no evidence of financial responsi- ing to designate a person upon whom
bility required by paragraph (f) of this process, issued by or under the author-
section shall be denied entry into the ity of any court having jurisdiction of
United States. the subject matter, may be served in
any proceeding at law or equity
[48 FR 52683, Nov. 21, 1983, as amended at 50 brought in any State in which the
FR 7062, Feb. 20, 1985; 54 FR 49092, Nov. 29,
motor carrier operates.
1989; 60 FR 38743, July 28, 1995]
§ 387.37 Fiduciaries.
§ 387.33 Financial responsibility, min-
imum levels. The coverage of fiduciaries shall at-
tach at the moment of succession of
The minimum levels of financial re- such fiduciaries.
sponsibility referred to in § 387.31 of
this subpart are hereby prescribed as § 387.39 Forms.
follows: Endorsements for policies of insur-
SCHEDULE OF LIMITS ance (Illustration I) and surety bonds
(Illustration II) must be in the form
Public Liability prescribed by the FMCSA and approved
For-hire motor carriers of passengers oper- by the OMB. Endorsements to policies
ating in interstate or foreign commerce. of insurance and surety bonds shall
specify that coverage thereunder will
Effective dates remain in effect continuously until ter-
Vehicle seating capacity Nov. 19, Nov. 19, minated, as required in § 387.31 of this
1983 1985 subpart. The continuous coverage re-
quirement does not apply to Mexican
(1) Any vehicle with a seating ca-
pacity of 16 passengers or more $2,500,000 $5,000,000 motor carriers insured under
(2) Any vehicle with a seating ca- § 387.31(b)(3) of this subpart. The en-
pacity of 15 passengers or less 1 750,000 1,500,000 dorsement and surety bond shall be
1 Except as provided in § 387.27(b). issued in the exact name of the motor
carrier.
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§ 387.39 49 CFR Ch. III (10–1–07 Edition)
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294
ER02OC02.001</GPH>

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Federal Motor Carrier Safety Administration, DOT § 387.39

(Approved by the Office of Management and Budget under control number 2125–0518)
[48 FR 52683, Nov. 21, 1983, as amended at 49 FR 22326, May 29, 1984; 54 FR 49093, Nov. 29, 1989;
67 FR 61821, 61822, Oct. 2, 2002]
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295
ER02OC02.002</GPH>

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§ 387.41 49 CFR Ch. III (10–1–07 Edition)

§ 387.41 Violation and penalty. nance or use of motor vehicles in trans-


Any person (except an employee who portation subject to Subtitle IV, part
acts without knowledge) who know- B, chapter 135 of title 49 of the U.S.
ingly violates the rules of this subpart Code, or for loss of or damage to prop-
shall be liable to the United States for erty of others, or, in the case of motor
civil penalty of no more than $11,000 for carriers of property operating freight
each violation, and if any such viola- vehicles described in § 387.303(b)(2) of
tion is a continuing one, each day of this part, for environmental restora-
violation will constitute a separate of- tion.
fense. The amount of any such penalty (2) Motor Carriers of property which
shall be assessed by the Administrator are subject to the conditions set forth
or his/her designee, by written notice. in paragraph (a)(1) of this section and
In determining the amount of such transport the commodities described in
penalty, the Administrator or his/her § 387.303(b)(2), are required to obtain se-
designee shall take into account the curity in the minimum limits pre-
nature, circumstances, extent, the scribed in § 387.303(b)(2).
gravity of the violation committed (b) Common carriers-cargo insurance;
and, with respect to the person found exempt commodities. No common carrier
to have committed such violation, the by motor vehicle subject to Subtitle
degree of culpability, any history of IV, part B, chapter 135 of title 49 of the
prior offenses, ability to pay, effect on U.S. Code nor any foreign (Mexican)
ability to continue to do business, and common carrier of exempt commod-
such other matters as justice may re- ities shall engage in interstate or for-
quire. eign commerce, nor shall any certifi-
cate be issued to such a carrier or re-
[53 FR 47543, Nov. 23, 1988] main in force unless and until there
shall have been filed with and accepted
Subpart C—Surety Bonds and Poli- by the FMCSA, a surety bond, certifi-
cies of Insurance for Motor cate of insurance, proof of qualifica-
Carriers and Property Brokers tions as a self-insurer, or other securi-
ties or agreements in the amounts pre-
CROSS REFERENCE: Prescribed forms relat- scribed in § 387.303, conditioned upon
ing to this part are listed in 49 CFR part 1003. such carrier making compensation to
SOURCE: 32 FR 20032, Dec. 20, 1967, unless
shippers or consignees for all property
otherwise noted. Redesignated at 61 FR 54709, belonging to shippers or consignees and
Oct. 21, 1996. coming into the possession of such car-
rier in connection with its transpor-
§ 387.301 Surety bond, certificate of in- tation service: Provided, That the re-
surance, or other securities. quirements of this paragraph shall not
(a) Public liability. (1) No common or apply in connection with the transpor-
contract carrier or foreign (Mexican) tation of the following commodities:
motor private carrier or foreign motor Agricultural ammonium nitrate.
carrier transporting exempt commod- Agricultural nitrate of soda.
ities subject to Subtitle IV, part B, Anhydrous ammonia—used as a fertilizer
chapter 135 of title 49 of the U.S. Code only.
shall engage in interstate or foreign Ashes, wood or coal.
commerce, and no certificate or permit Bituminous concrete (also known as black-
shall be issued to such a carrier or re- top or amosite), including mixtures of as-
phalt paving.
main in force unless and until there Cement, dry, in containers or in bulk.
shall have been filed with and accepted Cement, building blocks.
by the FMCSA surety bonds, certifi- Charcoal.
cates of insurance, proof of qualifica- Chemical fertilizer.
tions as self-insurer, or other securities Cinder blocks.
or agreements, in the amounts pre- Cinders, coal.
scribed in § 387.303, conditioned to pay Coal.
Coke.
any final judgment recovered against Commercial fertilizer.
such motor carrier for bodily injuries
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Concrete materials and added mixtures.


to or the death of any person resulting Corn cobs.
from the negligent operation, mainte- Cottonseed hulls.

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Federal Motor Carrier Safety Administration, DOT § 387.303
Crushed stone. Treated poles.
Drilling salt. Veneer.
Dry fertilizer. Volcanic scoria.
Fish scrap. Waste, hazardous and nonhazardous, trans-
Fly ash. ported solely for purposes of disposal.
Forest products; viz: Logs, billets, or bolts, Water, other than mineral or prepared—
native woods, Canadian wood or Mexican water.
pine; pulpwood, fuel wood, wood kindling; Wood chips, not processed.
and wood sawdust or shavings (shingle Wooden pallets, unassembled.
tow) other than jewelers’ or paraffined. Wreck or disabled motor vehicles.
Foundry and factory sweepings. Other materials or commodities of low
Garbage. value, upon specific application to and ap-
Gravel, other than bird gravel. proval by the FMCSA.
Hardwood and parquet flooring.
Haydite. (c) Continuing compliance required.
Highway construction materials, when Such security as is accepted by the
transported in dump trucks and unloaded FMCSA in accordance with the require-
at destination by dumping. ments of section 13906 of title 49 of the
Ice. U.S. Code, shall remain in effect at all
Iron ore. times.
Lime and limestone.
Liquid fertilizer solutions, in bulk, in tank [48 FR 51780, Nov. 14, 1983, as amended at 60
vehicles. FR 63981, Dec. 13, 1995; 62 FR 49941, Sept. 24,
Lumber. 1997]
Manure.
Meat scraps. § 387.303 Security for the protection of
Mud drilling salt. the public: Minimum limits.
Ores, in bulk, including ore concentrates.
(a) Definitions. (1) Primary security
Paving materials, unless contain oil hauled
in tank vehicles. means public liability coverage pro-
Peat moss. vided by the insurance or surety com-
Peeler cores. pany responsible for the first dollar of
Plywood. coverage.
Poles and piling, other than totem poles. (2) Excess security means public liabil-
Potash, used as commercial fertilizer. ity coverage above the primary secu-
Pumice stone, in bulk in dump vehicles. rity, or above any additional under-
Salt, in bulk or in bags.
lying security, up to and including the
Sand, other than asbestos, bird, iron, mona-
zite, processed, or tobacco sand. required minimum limits set forth in
Sawdust. paragraph (b)(2) of this section.
Scoria stone. (b)(1) Motor carriers subject to
Scrap iron. § 387.301(a)(1) are required to have secu-
Scrap steel. rity for the required minimum limits
Shells, clam, mussel, or oyster. as follows:
Slag, other than slag with commercial value
for the further extraction of metals. Passenger Carriers: Kind of Equipment
Slag, derived aggregates—cinders.
Minimum
Slate, crushed or scrap. Vehicle seating capacity limit
Slurry, as waste material.
Soil, earth or marl, other than infusorial, di- (i) Any vehicle with a seating capacity of 16
atomaceous, tripoli, or inoculated soil or passengers or more ....................................... $5,000,000
earth. (ii) Any vehicle designed or used to transport
more than 8 passengers (including the driv-
Stone, unglazed and unmanufactured, includ- er) for compensation ...................................... 1,500,000
ing ground agricultural limestone.
Sugar beet pulp.
Sulphate of ammonia, bulk, used as fer- (2) Motor carriers subject to
tilizer. § 387.301(a)(2) are required to have secu-
Surfactants. rity for the required minimum limits
Trap rock. as follows:
July 1, July 1,
Kind of equipment Commodity transported 1983* 1984*

(a) Freight Vehicles of Property (non-hazardous) ............................................................................ $500,000 $750,000


10,001 Pounds or
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More GVWR.

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§ 387.305 49 CFR Ch. III (10–1–07 Edition)

July 1, July 1,
Kind of equipment Commodity transported 1983* 1984*

(b) Freight Vehicles of Hazardous substances, as defined in § 171.8, transported in cargo tanks, 1,000,000 5,000,000
10,001 Pounds or portable tanks, or hopper-type vehicles with capacities in excess of
More GVWR. 3,500 water gallons, or in bulk Class A or B explosives, poison gas
(Poison A) liquefied compressed gas or compressed gas, or highway
route controlled quantity radioactive materials as defined in § 173.455.
(c) Freight Vehicles of Oil listed in § 172.101; hazardous waste, hazardous materials and haz- 500,000 1,000,000
10,001 Pounds or ardous substances defined in § 171.8 and listed in § 172.101, but not
More GVWR. mentioned in (b) above or (d) below.
(d) Freight Vehicles Any quantity of Class A or B explosives; any quantity of poison gas (Poi- 1,000,000 5,000,000
Under 10,001 Pounds son A); or highway route controlled quantity radioactive materials as
GVWR. defined in § 173.455.
*NOTE: The effective date of the current required minimum limit in § 387.303(b)(2) was January 6, 1983, in accordance with the
requirements of Pub. L. 97–424, 96 Stat. 2097.

(3) Motor carriers subject to the min- tice at § 387.313(d) are not applicable to
imum limits governed by this section, these carriers.
which are also subject to Department (c) Motor common carriers: Cargo liabil-
of Transportation limits requirements, ity. Security required to compensate
are at no time required to have secu- shippers or consignees for loss or dam-
rity for more than the required min- age to property belonging to shippers
imum limits established by the Sec- or consignees and coming into the pos-
retary of Transportation in the appli- session of motor carriers in connection
cable provisions of 49 CFR Part 387— with their transportation service, (1)
Minimum Levels of Financial Respon- for loss of or damage to property car-
sibility for Motor Carriers. ried on any one motor vehicle—$5,000,
(4) Foreign motor carriers and foreign (2) for less of or damage to or aggregate
of losses or damages of or to property
motor private carriers. Foreign motor
occurring at any one time and place—
carriers and foreign motor private car-
$10,000.
riers (Mexican), subject to the require-
ments of 49 U.S.C. 13902(c) and 49 CFR [47 FR 55944, Dec. 14, 1982, as amended at 48
part 368 regarding obtaining certifi- FR 43333, Sept. 23, 1983; 48 FR 45775, Oct. 7,
1983; 48 FR 51780, Nov. 14, 1983; 49 FR 1991,
cates of registration from the FMCSA,
Jan. 17, 1984; 49 FR 27767, July 6, 1984; 50 FR
must meet our minimum financial re- 40030, Oct. 1, 1985; 53 FR 36984, Sept. 23, 1988;
sponsibility requirements by obtaining 54 FR 52034, Dec. 20, 1989; 55 FR 47338, Nov. 13,
insurance coverage, in the required 1990; 62 FR 49941, Sept. 24, 1997; 67 FR 61824,
amounts, for periods of 24 hours or Oct. 2, 2002; 68 FR 56198, Sept. 30, 2003; 72 FR
longer, from insurance or surety com- 55701, Oct. 1, 2007]
panies, that meet the requirements of
§ 387.305 Combination vehicles.
49 CFR 387.315. These carriers must
have available for inspection, in each The following combinations will be
vehicle operating in the United States, regarded as one motor vehicle for pur-
copies of the following documents: poses of this part, (a) a tractor and
(i) The certificate of registration; trailer or semitrailer when the tractor
(ii) The required insurance endorse- is engaged solely in drawing the trailer
or semitrailer, and (b) a truck and
ment (Form MCS–90); and
trailer when both together bear a sin-
(iii) An insurance identification card,
gle load.
binder, or other document issued by an
authorized insurer which specifies both § 387.307 Property broker surety bond
the effective date and the expiration or trust fund.
date of the insurance coverage. (a) Security. A property broker must
Notwithstanding the provisions of have a surety bond or trust fund in ef-
§ 387.301(a)(1), the filing of evidence of fect for $10,000. The FMCSA will not
insurance is not required as a condition issue a property broker license until a
to the issuance of a certificate of reg- surety bond or trust fund for the full
istration. Further, the reference to limits of liability prescribed herein is
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continuous coverage at § 387.313(a)(6) in effect. The broker license shall re-


and the reference to cancellation no- main valid or effective only as long as

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Federal Motor Carrier Safety Administration, DOT § 387.309

a surety bond or trust fund remains in remain in effect continuously until ter-
effect and shall ensure the financial re- minated as herein provided.
sponsibility of the broker. (i) Cancellation notice. The surety
(b) Evidence of Security. Evidence of a bond and the trust fund agreement
surety bond must be filed using the may be cancelled as only upon 30 days’
FMCSA’s prescribed Form BMC 84. Evi- written notice to the FMCSA, on pre-
dence of a trust fund with a financial scribed Form BMC 36, by the principal
institution must be filed using the or surety for the surety bond, and on
FMCSA’s prescribed Form BMC 85. The prescribed Form BMC 85, by the
surety bond or the trust fund shall en- trustor/broker or trustee for the trust
sure the financial responsibility of the fund agreement. The notice period
broker by providing for payments to commences upon the actual receipt of
shippers or motor carriers if the broker the notice at the FMCSA’s Wash-
fails to carry out its contracts, agree- ington, DC office.
ments, or arrangements for the sup- (ii) Termination by replacement.
plying of transportation by authorized Broker surety bonds or trust fund
motor carriers. agreements which have been accepted
(c) Financial Institution—when used in by the FMCSA under these rules may
this section and in forms prescribed be replaced by other surety bonds or
under this section, where not otherwise trust fund agreements, and the liabil-
distinctly expressed or manifestly in- ity of the retiring surety or trustee
compatible with the intent thereof, under such surety bond or trust fund
shall mean—Each agent, agency, agreements shall be considered as hav-
branch or office within the United ing terminated as of the effective date
States of any person, as defined by the of the replacement surety bond or trust
ICC Termination Act, doing business in fund agreement. However, such termi-
one or more of the capacities listed nation shall not affect the liability of
below: the surety or the trustee hereunder for
(1) An insured bank (as defined in the payment of any damages arising as
section 3(h) of the Federal Deposit In- the result of contracts, agreements or
surance Act (12 U.S.C. 1813(h)); arrangements made by the broker for
(2) A commercial bank or trust com- the supplying of transportation prior
pany; to the date such termination becomes
(3) An agency or branch of a foreign effective.
bank in the United States; (3) Filing and copies. Broker surety
(4) An insured institution (as defined bonds and trust fund agreements must
in section 401(a) of the National Hous- be filed with the FMCSA in duplicate.
ing Act (12 U.S.C. 1724(a));
(5) A thrift institution (savings bank, [53 FR 10396, Mar. 31, 1988]
building and loan association, credit
union, industrial bank or other); § 387.309 Qualifications as a self-in-
(6) An insurance company; surer and other securities or agree-
(7) A loan or finance company; or ments.
(8) A person subject to supervision by (a) As a self-insurer. The FMCSA will
any state or federal bank supervisory consider and will approve, subject to
authority. appropriate and reasonable conditions,
(d) Forms and Procedures—(1) Forms the application of a motor carrier to
for broker surety bonds and trust agree- qualify as a self-insurer, if the carrier
ments. Form BMC–84 broker surety furnishes a true and accurate state-
bond will be filed with the FMCSA for ment of its financial condition and
the full security limits under sub- other evidence that establishes to the
section (a); or Form BMC–85 broker satisfaction of the FMCSA the ability
trust fund agreement will be filed with of the motor carrier to satisfy its obli-
the FMCSA for the full security limits gation for bodily injury liability, prop-
under paragraph (a) of this section. erty damage liability, or cargo liabil-
(2) Broker surety bonds and trust fund ity. Application Guidelines: In addition
agreements in effect continuously. Surety to filing Form BMC 40, applicants for
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bonds and trust fund agreements shall authority to self-insure against bodily
specify that coverage thereunder will injury and property damage claims

299

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§ 387.311 49 CFR Ch. III (10–1–07 Edition)

should submit evidence that will allow § 387.311 Bonds and certificates of in-
the FMCSA to determine: surance.
(1) The adequacy of the tangible net (a) Public liability. Each Form BMC 82
worth of the motor carrier in relation surety bond filed with the FMCSA
to the size of operations and the extent must be for the full limits of liability
of its request for self-insurance author- required under § 387.303(b)(1). Form
ity. Applicant should demonstrate that MCS–82 surety bonds and other forms
it will maintain a net worth that will of similar import prescribed by the De-
ensure that it will be able to meet its partment of Transportation, may be
statutory obligations to the public to aggregated to comply with the min-
indemnify all claimants in the event of imum security limits required under
loss. § 387.303(b)(1) or § 387.303(b)(2). Each
(2) The existence of a sound self-insur- Form BMC 91 certificate of insurance
ance program. Applicant should dem- filed with the FMCSA will always rep-
onstrate that it has established, and resent the full security minimum lim-
will maintain, an insurance program its required for the particular carrier,
that will protect the public against all while it remains in force, under
claims to the same extent as the min- § 387.303(b)(1) or § 387.303(b)(2), which-
imum security limits applicable to ap- ever is applicable. Any previously exe-
plicant under § 387.303 of this part. Such cuted Form BMC 91 filed before the
current revision which is left on file
a program may include, but not be lim-
with the FMCSA after the effective
ited to, one or more of the following:
date of this regulation, and not can-
Irrevocable letters of credit; irrev-
celed within 30 days of that date will be
ocable trust funds; reserves; sinking
deemed to certify the same coverage
funds; third-party financial guarantees, limits as would the filing of a revised
parent company or affiliate sureties; Form BMC 91. Each Form BMC 91X cer-
excess insurance coverage; or other tificate of insurance filed with the
similar arrangements. FMCSA will represent the full security
(3) The existence of an adequate safety limits under § 387.303(b)(1) or
program. Applicant must submit evi- § 387.303(b)(2) or the specific security
dence of a current ‘‘satisfactory’’ safe- limits of coverage as indicated on the
ty rating by the United States Depart- face of the form. If the filing reflects
ment of Transportation. Non-rated car- aggregation, the certificate must show
riers need only certify that they have clearly whether the insurance is pri-
not been rated. Applications by car- mary or, if excess coverage, the
riers with a less than satisfactory rat- amount of underlying coverage as well
ing will be summarily denied. Any self- as amount of the maximum limits of
insurance authority granted by the coverage. * Each Form BMC 91MX cer-
FMCSA will automatically expire 30 tificate of insurance filed with the
days after a carrier receives a less than FMCSA will represent the security
satisfactory rating from DOT. limits of coverage as indicated on the
(4) Additional information. Applicant face of the form. The Form BMC 91MX
must submit such additional informa- must show clearly whether the insur-
tion to support its application as the ance is primary or, if excess coverage,
FMCSA may require. the amount of underlying coverage as
(b) Other securities or agreements. The well as amount of the maximum limits
FMCSA also will consider applications of coverage.
for approval of other securities or (b) Cargo Liability. Each form BMC 83
agreements and will approve any such surety bond filed with the FMCSA
application if satisfied that the secu- must be for the full limits of liability
rity or agreement offered will afford required under § 387.303(c). Each Form
the security for protection of the pub-
lic contemplated by 49 U.S.C. 13906. *NOTE: Aggregation to meet the require-
ment of § 387.303(b)(1) will not be allowed
[48 FR 51780, Nov. 14, 1983 and 51 FR 15008, until the completion of our rulemaking in Ex
Apr. 22, 1986, as amended at 52 FR 3815, Feb. Parte No. MC–5 (Sub-No. 2), Motor Carrier and
cprice-sewell on PROD1PC63 with CFR

6, 1987; 62 FR 49941, Sept. 24, 1997; 68 FR 56199, Freight Forwarder Insurance Procedures and
Sept. 30, 2003] Minimum Amounts of Liability.

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Federal Motor Carrier Safety Administration, DOT § 387.313

BMC 34 certificate of insurance filed Department of Transportation pre-


with the FMCSA will represent the full scribed form endorsement and Form
security limits under § 387.303(c) or the BMC 91X certificate is required of each
specific security limits of coverage as insurer. When insurance is provided by
indicated on the face of the form. If the more than one insurer to aggregate
filing reflects aggregation, the certifi- coverage for security limits under
cate must show clearly whether the in- § 387.303(c) a separate Form BMC 32 en-
surance is primary or, if excess cov- dorsement and Form BMC 34 certifi-
erage, the amount of underlying cov- cate of insurance is required for each
erage as well as amount of the max- insurer.
imum limits of coverage. For aggregation of insurance for for-
(c) Each policy of insurance in con- eign motor private carriers of nonhaz-
nection with the certificate of insur- ardous commodities to cover security
ance which is filed with the FMCSA, limits under § 387.303(b)(4), a separate
shall be amended by attachment of the Form BMC 90 with the specific
appropriate endorsement prescribed by amounts of underlying and limits of
the FMCSA and the certificate of in- coverage shown thereon or appended
surance filed must accurately reflect thereto, or Department of Transpor-
that endorsement. tation prescribed form endorsement,
[47 FR 55944, Dec. 14, 1982, as amended at 48 and Form BMC 91MX certificate is re-
FR 43332, Sept. 23, 1983; 48 FR 51781, Nov. 14, quired for each insurer.
1983; 50 FR 40030, Oct. 1, 1985; 62 FR 49941, (3) Use of Certificates and Endorsements
Sept. 24, 1997; 68 FR 56199, Sept. 30, 2003] in BMC Series. Form BMC 91 certificates
§ 387.313 Forms and procedures. of insurance will be filed with the
FMCSA for the full security limits
(a) Forms for endorsements, certificates under § 387.303 (b)(1) or (b)(2).
of insurance and others—(1) In form pre-
Form BMC 91X certificate of insurance
scribed. Endorsements for policies of in-
will be filed to represent full coverage
surance and surety bonds, certificates
of insurance, applications to qualify as or any level of aggregation for the se-
a self-insurer, or for approval of other curity limits under § 387.303 (b)(1) or
securities or agreements, and notices (b)(2).
of cancellation must be in the form Form BMC 90 endorsement will be used
prescribed and approved by the with each filing of Form BMC 91 or
FMCSA. Form 91X certificate with the FMCSA
(2) Aggregation of Insurance.** When which certifies to coverage not gov-
insurance is provided by more than one erned by the requirements of the De-
insurer in order to aggregate security partment of Transportation. Form BMC
limits for carriers operating only 32 endorsement and Form BMC 34 cer-
freight vehicles under 10,000 pounds tificate of insurance and Form BMC 83
Gross Vehicle Weight Rating, as de- surety bonds are used for the limits of
fined in § 387.303(b)(1), a separate Form cargo liability under § 387.303(c).
BMC 90, with the specific amounts of Form BMC 91MX certificate of insur-
underlying and limits of coverage ance will be filed to represent any level
shown thereon or appended thereto, of aggregation for the security limits
and Form BMC 91X certificate is re- under § 387.303(b)(4).
quired of each insurer. (4) Use of Endorsements in MCS Series.
For aggregation of insurance for all When Security limits certified under
other carriers to cover security limits § 387.303 (b)(1) or (b)(2) involves cov-
under § 387.303 (b)(1) or (b)(2), a separate erage also required by the Department
of Transportation a Form MCS endorse-
**NOTE: See NOTE for Rule 387.311. Also, it ment prescribed by the Department of
should be noted that DOT is considering pre- Transportation such as, and including,
scribing adaptations of the Form MCS 90 en- the Form MCS 90 endorsement is re-
dorsement and the Form MCS 82 surety bond
quired.
for use by passenger carriers and Rules
§§ 387.311 and 387.313 have been written suffi- (5) Surety bonds. When surety bonds
are used rather than certificates of in-
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ciently broad to provide for this contingency


when new forms are prescribed by that Agen- surance, Form BMC 82 is required for
cy. the security limits under § 387.303(b)(1)

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§ 387.315 49 CFR Ch. III (10–1–07 Edition)

not subject to regulation by the De- FMCSA under these rules may be re-
partment of Transportation, and Form placed by other certificates of insur-
MCS 82, or any form of similar import ance, surety bonds or other security,
prescribed by the Department of Trans- and the liability of the retiring insurer
portation, is used for the security lim- or surety under such certificates of in-
its subject also to minimum coverage surance or surety bonds shall be con-
requirements of the Department of sidered as having terminated as of the
Transportation. effective date of the replacement cer-
(6) Surety bonds and certificates in ef- tificate of insurance, surety bond or
fect continuously. Surety bonds and cer- other security, provided the said re-
tificates of insurance shall specify that placement certificate, bond or other se-
coverage thereunder will remain in ef-
curity is acceptable to the FMCSA
fect continuously until terminated as
under the rules and regulations in this
herein provided, except: (1) When filed
expressly to fill prior gaps or lapses in part.
coverage or to cover grants of emer- [47 FR 55944, Dec. 14, 1982, as amended at 48
gency temporary authority of unusu- FR 43334, Sept. 23, 1983; 48 FR 51781, Nov. 14,
ally short duration and the filing clear- 1983; 50 FR 40030, Oct. 1, 1985; 51 FR 34623,
ly so indicates, or (2) in special or un- Sept. 30, 1986; 62 FR 49941, Sept. 24, 1997]
usual circumstances, when special per-
mission is obtained for filing certifi- § 387.315 Insurance and surety compa-
cates of insurance or surety bonds on nies.
terms meeting other particular needs A certificate of insurance or surety
of the situation. bond will not be accepted by the
(b) Filing and copies. Certificates of FMCSA unless issued by an insurance
insurance, surety bonds, and notices of or surety company that is authorized
cancellation must be filed with the (licensed or admitted) to issue bonds or
FMCSA in triplicate. underlying insurance policies:
(c) Name of insured. Certificates of in- (a) In each state in which the motor
surance and surety bonds shall be
carrier is authorized by the FMCSA to
issued in the full and correct name of
operate, or
the individual, partnership, corpora-
tion or other person to whom the cer- (b) In the state in which the motor
tificate, permit, or license is, or is to carrier has its principal place of busi-
be, issued. In the case of a partnership, ness or domicile, and will designate in
all partners shall be named. writing upon request by the FMCSA, a
(d) Cancellation notice. Except as pro- person upon whom process, issued by or
vided in paragraph (e) of this section, under the authority of a court of com-
surety bonds, certificates of insurance petent jurisdiction, may be served in
and other securities or agreements any proceeding at law or equity
shall not be cancelled or withdrawn brought in any state in which the car-
until 30 days after written notice has rier operates, or
been submitted to the FMCSA at its of- (c) In any state, and is eligible as an
fices in Washington, DC, on the pre- excess or surplus lines insurer in any
scribed form (Form BMC–35, Notice of state in which business is written, and
Cancellation Motor Carrier Policies of will make the designation of process
Insurance under 49 U.S.C. 13906, and agent described in paragraph (b) of this
BMC–36, Notice of Cancellation Motor section.
Carrier and Broker Surety Bonds, as
appropriate) by the insurance com- [56 FR 28111, June 19, 1991]
pany, surety or sureties, motor carrier,
broker or other party thereto, as the § 387.317 Refusal to accept, or revoca-
tion by the FMCSA of surety bonds,
case may be, which period of thirty (30) etc.
days shall commence to run from the
date such notice on the prescribed form The FMCSA may, at any time, refuse
is actually received by the FMCSA. to accept or may revoke its acceptance
(e) Termination by replacement. Cer- of any surety bond, certificate of insur-
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tificates of insurance or surety bonds ance, qualifications as a self-insurer, or


which have been accepted by the other securities or agreements if, in its

302

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Federal Motor Carrier Safety Administration, DOT § 387.323

judgment such security does not com- shall have been filed with and accepted
ply with these sections or for any rea- by the FMCSA a certificate of insur-
son fails to provide satisfactory or ade- ance, surety bond, proof of qualifica-
quate protection for the public. Rev- tions as a self-insurer, or other securi-
ocation of acceptance of any certificate ties or agreements in the amount pre-
of insurance, surety bond or other se- scribed in § 387.303(b), conditioned to
curity shall not relieve the motor car- pay any final judgment recovered
rier from compliance with § 387.301(d). against such motor carrier for bodily
[47 FR 55945, Dec. 14, 1982, as amended at 62
injuries to or the death of any person
FR 49942, Sept. 24, 1997] resulting from the negligent operation,
maintenance, or use of motor vehicles
§ 387.319 Fiduciaries. in transportation between places in a
(a) Definitions. The terms ‘‘insured’’ foreign country or between a place in
and ‘‘principal’’ as used in a certificate one foreign country and a place in an-
of insurance, surety bond, and notice of other foreign country, insofar as such
cancellation, filed by or for a motor transportation takes place in the
carrier, include the motor carrier and United States, or for loss of or damage
its fiduciary as of the moment of suc- to property of others. The security for
cession. The term ‘‘fiduciary’’ means the protection of the public required by
any person authorized by law to collect this section shall be maintained in ef-
and preserve property of incapacitated, fect at all times and shall be subject to
financially disabled, bankrupt, or de- the provisions of §§ 387.309 through
ceased holders of operating rights, and 387.319. The requirements of § 387.315(a)
assignees of such holders. shall be satisfied if the insurance or
(b) Insurance coverage in behalf of fi- surety company, in addition to having
duciaries to apply concurrently. The cov- been approved by the FMCSA, is le-
erage furnished under the provisions of gally authorized to issue policies or
this section on behalf of fiduciaries surety bonds in at least one of the
shall not apply subsequent to the effec- States in the United States, or one of
tive date of other insurance, or other the Provinces in Canada, and has filed
security, filed with and approved by with the FMCSA the name and address
the FMCSA in behalf of such fidu- of a person upon whom legal process
ciaries. After the coverage provided in may be served in each State in or
this section shall have been in effect through which the motor carrier oper-
thirty (30) days, it may be cancelled or ates. Such designation may from time
withdrawn within the succeeding pe- to time be changed by like designation
riod of thirty (30) days by the insurer, similarly filed, but shall be maintained
the insured, the surety, or the prin- during the effectiveness of any certifi-
cipal upon ten (10) days’ notice in writ- cate of insurance or surety bond issued
ing to the FMCSA at its office in Wash- by the company, and thereafter with
ington, DC, which period of ten (10) respect to any claims arising during
days shall commence to run from the the effectiveness of such certificate or
date such notice is actually received by bond. The term ‘‘motor carrier’’ as
the FMCSA. After such coverage has used in this section shall not include
been in effect for a total of sixty (60) private carriers or carriers operating
days, it may be cancelled or withdrawn under the partial exemption from regu-
only in accordance with § 1043.7. lation in 49 U.S.C. 13503 and 13506.
[32 FR 20032, Dec. 20, 1967, as amended at 47 [47 FR 55945, Dec. 14, 1982, as amended at 62
FR 49596, Nov. 1, 1982; 47 FR 55945, Dec. 14, FR 49942, Sept. 24, 1997]
1982; 55 FR 11197, Mar. 27, 1990]
§ 387.323 Electronic filing of surety
§ 387.321 Operations in foreign com- bonds, trust fund agreements, cer-
merce. tificates of insurance and cancella-
No motor carrier may operate in the tions.
United States in the course of trans- (a) Insurers may, at their option and
portation between places in a foreign in accordance with the requirements
country or between a place in one for- and procedures set forth in paragraphs
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eign country and a place in another (a) through (d) of this section, file
foreign country unless and until there forms BMC 34, BMC 35, BMC 36, BMC

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§ 387.401 49 CFR Ch. III (10–1–07 Edition)

82, BMC 83, BMC 84, BMC 85, BMC 91, (c) Filings may be transmitted online
and BMC 91X electronically, in lieu of via the Internet at: http://fhwa-
using the prescribed printed forms. li.volpe.dot.gov or via American Stand-
(b) Each insurer must obtain author- ard Code Information Interchange
ization to file electronically by reg- (ASCII). All ASCII transmission must
istering with the FMCSA. An indi- be in fixed format, i.e., all records must
vidual account number and password have the same number of fields and
for computer access will be issued to same length. The record layouts for
each registered insurer. ASCII electronic transactions are de-
scribed in the following table:
ELECTRONIC INSURANCE FILING TRANSACTIONS
Required
F=filing Start
Field name Number of positions Description End field
C=cancel field
B=both

Record type ................... 1 Numeric .................... 1=Filing B 1 1


2=Cancellation
Insurer number .............. 8 Text ........................... FMCSA Assigned Insurer Number B 2 9
(Home Office) With Suffix
(Issuing Office), If Different, e.g.
12345–01.
Filing type ...................... 1 Numeric .................... 1 = BI&PD B 10 10
2 = Cargo
3 = Bond
4 = Trust Fund
FMCSA docket number 8 Text ........................... FMCSA Assigned MC or FF Num- B 11 18
ber, e.g., MC000045.
Insured legal name ....... 120 Text ....................... Legal Name ..................................... B 19 138
Insured d/b/a name ....... 60 Text ......................... Doing Business As Name If Dif- B 139 198
ferent From Legal Name.
Insured address ............ 35 Text ......................... Either street or mailing address ...... B 199 233
Insured city .................... 30 Text ......................... ......................................................... B 234 263
Insured state ................. 2 Text ........................... ......................................................... B 264 265
Insured zip code ............ 9 Numeric (Do not include dash if using 9 digit B 266 274
code).
Insured country ............. 2 Text ........................... (Will default to US) .......................... B 275 276
Form code ..................... 10 Text ......................... BMC–91, BMC–91X, BMC–34, B 277 286
BMC–35, etc.
Full, primary or excess 1 Text ........................... If BMC–91X, P or E = indicator of F 287 287
coverage. primary or excess policy; 1 = Full
under § 387.303(b)(1); 2 = Full
under § 387.303(b)(2).
Limit of liability ............... 5 Numeric .................... $ in Thousands ............................... F 288 292
Underlying limit of liabil- 5 Numeric .................... $ in Thousands (will default to $000 F 293 297
ity. if Primary).
Effective date ................ 8 Text ........................... MM/DD/YY Format for both Filing B 298 305
or Cancellation.
Policy number ............... 25 Text ......................... Surety companies may enter bond B 306 330
number.

(d) All registered insurers agree to Subpart D—Surety Bonds and Poli-
furnish upon request to the FMCSA a cies of Insurance for Freight
duplicate original of any policy (or Forwarders
policies) and all endorsements, surety
bond, trust fund agreement, or other
filing. SOURCE: 55 FR 11201, Mar. 27, 1990, unless
otherwise noted. Redesignated at 61 FR 54710,
[60 FR 16810, Apr. 3, 1995, as amended at 62 Oct. 21, 1996.
FR 49942, Sept. 24, 1997; 66 FR 49873, Oct. 1,
2001] § 387.401 Definitions.
(a) Freight forwarder means a person
holding itself out to the general public
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(other than as an express, pipeline,

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Federal Motor Carrier Safety Administration, DOT § 387.409

rail, sleeping car, motor, or water car- ated by or under its control in per-
rier) to provide transportation of prop- forming such service.
erty for compensation in interstate
[55 FR 11201, Mar. 27, 1990. Redesignated at 61
commerce, and in the ordinary course FR 54710, Oct. 21, 1996, as amended at 62 FR
of its business: 49942, Sept. 24, 1997]
(1) Performs or provides for assem-
bling, consolidating, break-bulk, and § 387.405 Limits of liability.
distribution of shipments; and The minimum amounts for cargo and
(2) Assumes responsibility for trans- public liability security are identical
portation from place of receipt to des- to those prescribed for motor carriers
tination; and at 49 CFR 387.303.
(3) Uses for any part of the transpor-
tation a carrier subject to FMCSA ju- [55 FR 11201, Mar. 27, 1990. Redesignated at 61
risdiction. FR 54710, Oct. 21, 1996, as amended at 62 FR
(b) Household goods freight forwarder 49942, Sept. 24, 1997]
(HHGFF) means a freight forwarder of
§ 387.407 Surety bonds and certificates
household goods, unaccompanied bag- of insurance.
gage, or used automobiles.
(c) Motor vehicle means any vehicle, (a) The limits of liability under
machine, tractor, trailer, or § 387.405 may be provided by aggrega-
semitrailer propelled or drawn by me- tion under the procedures at 49 CFR
chanical power and used to transport part 387, subpart C.
property, but does not include any ve- (b) Each policy of insurance used in
hicle, locomotive, or car operated ex- connection with a certificate of insur-
clusively on a rail or rails. The fol- ance filed with the FMCSA shall be
lowing combinations will be regarded amended by attachment of the appro-
as one motor vehicle: priate endorsement prescribed by the
(1) A tractor that draws a trailer or FMCSA (or the Department of Trans-
semitrailer; and portation, where applicable).
(2) A truck and trailer bearing a sin- [55 FR 11201, Mar. 27, 1990. Redesignated at 61
gle load. FR 54710, Oct. 21, 1996, as amended at 62 FR
49942, Sept. 24, 1997]
§ 387.403 General requirements.
(a) Cargo. A freight forwarder (in- § 387.409 Insurance and surety compa-
cluding a HHGFF) may not operate nies.
until it has filed with the FMCSA an A certificate of insurance or surety
approriate surety bond, certificate of bond will not be accepted by the
insurance, qualifications as a self-in- FMCSA unless issued by an insurance
surer, or other securities or agree- or surety company that is authorized
ments, in the amounts prescribed at (licensed or admitted) to issue bonds or
§ 387.405, for loss of or damage to prop- underlying insurance policies:
erty. (a) In each state in which the freight
(b) Public liability. A HHGFF may not forwarder is authorized by the FMCSA
perform transfer, collection, and deliv- to perform service, or
ery service until it has filed with the (b) In the state in which the freight
FMCSA an appropriate surety bond, forwarder has its principal place of
certificate of insurance, qualifications business or domicile, and will des-
as a self-insurer, or other securities or ignate in writing upon request by the
agreements, in the amounts prescribed FMCSA, a person upon whom process,
at § 387.405, conditioned to pay any issued by or under the authority of a
final judgment recovered against such court of competent jurisdiction, may
HHGFF for bodily injury to or the be served in any proceeding at law or
death of any person, or loss of or dam- equity brought in any state in which
age to property (except cargo) of oth- the freight forwarder performs service;
ers, or, in the case of freight vehicles or
described at 49 CFR 387.303(b)(2), for en- (c) In any state, and is eligible as an
vironmental restoration, resulting excess or surplus lines insurer in any
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from the negligent operation, mainte- state in which business is written, and
nance, or use of motor vehicles oper- will make the designation of process

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§ 387.411 49 CFR Ch. III (10–1–07 Edition)

agent prescribed in paragraph (b) of ment’s effective date, if acceptable to


this section. the FMCSA.
[56 FR 28111, June 19, 1991] [55 FR 11201, Mar. 27, 1990. Redesignated at 61
FR 54710, Oct. 21, 1996, as amended at 62 FR
§ 387.411 Qualifications as a self-in- 49942, Sept. 24, 1997]
surer and other securities or agree-
ments. § 387.415 Acceptance and revocation
(a) Self-insurer. The FMCSA will ap- by the FMCSA.
prove the application of a freight The FMCSA may at any time refuse
fowarder to qualify as a self-insurer if to accept or may revoke its acceptance
it is able to meet its obligations for of any surety bond, certificate of insur-
bodily-injury, property-damage, and ance, qualifications as a self-insurer, or
cargo liability without adversely af- other security or agreement that does
fecting its business.
not comply with these rules or fails to
(b) Other securities and agreements.
provide adequate public protection.
The FMCSA will grant applications for
approval of other securities and agree- § 387.417 Fiduciaries.
ments if the public will be protected as
contemplated by 49 U.S.C. 13906(c). (a) Interpretations. The terms ‘‘in-
sured’’ and ‘‘principal’’ as used in a cer-
[55 FR 11201, Mar. 27, 1990. Redesignated at 61 tificate of insurance, surety bond, and
FR 54710, Oct. 21, 1996, as amended at 62 FR
49942, Sept. 24, 1997] notice of cancellation, filed by or for a
freight forwarder, include the freight
§ 387.413 Forms and procedure. forwarder and its fiduciary (as defined
(a) Forms. Endorsements for policies at 49 CFR 387.319(a)) as of the moment
of insurance, surety bonds, certificates of succession.
of insurance, applications to qualify as (b) Span of security coverage. The cov-
a self-insurer or for approval of other erage furnished for a fiduciary shall
securities or agreements, and notices not apply after the effective date of
of cancellation must be in the form other insurance or security, filed with
prescribed at 49 CFR part 387, subpart and accepted by the FMCSA for such fi-
C. duciary. After the coverage shall have
(b) Procedure. Certificates of insur- been in effect 30 days, it may be can-
ance, surety bonds, and notices of can- celled or withdrawn within the suc-
cellation must be filed with the ceeding 30 days by the insurer, the in-
FMCSA in triplicate. sured, the surety, or the principal 10
(c) Names. Certificates of insurance days after the FMCSA receives written
and surety bonds shall be issued in the notice. After such coverage has been in
full name (including any trade name) effect 60 days, it may be cancelled or
of the individual, partnership (all part- withdrawn only in accordance with
ners named), corporation, or other per- § 387.413(d).
son holding or to be issued the permit.
(d) Cancellation. Except as provided in [55 FR 11201, Mar. 27, 1990. Redesignated at 61
paragraph (e) of this section, certifi- FR 54710, Oct. 21, 1996, as amended at 62 FR
cates of insurance, surety bonds, and 49942, Sept. 24, 1997]
other securities and agreements shall
§ 387.419 Electronic filing of surety
not be cancelled or withdrawn until 30
bonds, certificates of insurance and
days after the FMCSA receives written cancellations.
notice from the insurance company,
surety, freight forwarder, or other Insurers may, at their option and in
party, as the case may be. accordance with the requirements and
(e) Termination by replacement. Cer- procedures set forth at 49 CFR 387.323,
tificates of insurance or surety bonds file certificates of insurance, surety
may be replaced by other certificates bonds, and other securities and agree-
of insurance, surety bonds, or other se- ments electronically.
curity, and the liability of the retiring
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[60 FR 16811, Apr. 3, 1995, as amended at 62


insurer or surety shall be considered as
FR 49942, Sept. 24, 1997]
having terminated as of the replace-

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Federal Motor Carrier Safety Administration, DOT § 388.5

PART 388—COOPERATIVE § 388.4 Exchange of information.


AGREEMENTS WITH STATES (a) Federal Motor Carrier Safety Ad-
ministration furnishing information to
Sec. State. Information that comes to the
388.1 Eligibility. attention of an employee of the Fed-
388.2 Extent of acceptance.
eral Motor Carrier Safety Administra-
388.3 Cancellation.
388.4 Exchange of information.
tion in the course of his/her official du-
388.5 Requests for assistance. ties of investigation, inspection, or ex-
388.6 Joint investigation, inspection, or ex- amination of the property, equipment,
amination. and records of a motor carrier or oth-
388.7 Joint administrative activities related ers, pursuant to 49 U.S.C. 504(c), and
to enforcement of safety and hazardous that is believed to be a violation of any
materials laws and regulations. law or regulation of the State per-
388.8 Supplemental agreements. taining to unsafe motor carrier oper-
AUTHORITY: 49 U.S.C. 113 and 502; 49 CFR ations and practices, shall be commu-
1.73. nicated to the appropriate State au-
SOURCE: 33 FR 19725, Dec. 25, 1968, unless thority by an official of the Federal
otherwise noted. Motor Carrier Safety Administration.
EDITORIAL NOTE: Nomenclature changes to (b) State furnishing information to Fed-
part 388 appear at 66 FR 49873, Oct. 1, 2001. eral Motor Carrier Safety Administration.
Information that comes to the atten-
§ 388.1 Eligibility. tion of a duly authorized agent of the
Any State may agree with the Fed- State in the course of his/her official
eral Motor Carrier Safety Administra- duties of investigation, inspection, or
tion to enforce the safety laws and reg- examination of the property, equip-
ulations of said State and the United ment, and records of a motor carrier or
States concerning motor carrier trans- others, and that is believed to be a vio-
portation by filing with the Adminis- lation of any provision of the safety or
trator at Administrator, Federal Motor hazardous materials laws of the United
Carrier Safety Administration, 1200 States concerning highway transpor-
New Jersey Ave., SE., Washington, DC tation or the regulations of the Federal
20590–0001, a written acceptance of the Motor Carrier Safety Administration
terms herein. thereunder, shall be communicated to
the Field Administrator.
[33 FR 19725, Dec. 25, 1968, as amended at 72
FR 55702, Oct. 1, 2007] [51 FR 12621, Apr. 14, 1986, as amended at 67
FR 61824, Oct. 2, 2002]
§ 388.2 Extent of acceptance.
§ 388.5 Requests for assistance.
The written acceptance may be in
letter form, signed by competent au- (a) State request for Federal Motor Car-
thority of said State charged with reg- rier Safety Administration assistance.
ulations of motor carrier saftey and Upon written request of the appro-
hazardous materials transportation priate State authority, the officials of
and shall specify the terms herein per- the Federal Motor Carrier Safety Ad-
taining to the obligations of a State in ministration for that State shall, as
which said State will participate. To time, personnel, and funds permit, ob-
the extent that a State agrees to par- tain evidence for use by said State in
ticipate in the terms herein, officials of the enforcement of its laws and regula-
the Federal Motor Carrier Safety Ad- tions concerning unsafe motor carrier
ministration will reciprocate. operations. Evidence obtained in this
manner shall be transmitted to the ap-
§ 388.3 Cancellation. propriate State authority together
Cancellation or withdrawal, in whole with the name and address of an agent
or in part, from any agreement made or employee, if any, having knowledge
under this chapter may be effected by of the facts, who shall be made avail-
written notice from either party indi- able when necessary to testify as a wit-
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cating the effective date of said can- ness in an enforcement proceeding or


cellation or withdrawal. other action.

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§ 388.6 49 CFR Ch. III (10–1–07 Edition)

(b) Federal Motor Carrier Safety Ad- istrative action, the Field Adminis-
ministration request for State assistance. trator and the appropriate State au-
Upon written request from a Regional thority shall, when warranted, sched-
Director of Motor Carriers, the appro- ule joint conferences of staff members
priate State authority, shall, as time, of both agencies. Information shall be
personnel, and funds permit, obtain exchanged as to the nature and extent
evidence in the State for use by the of the authority and capabilities of the
Federal Motor Carrier Safety Adminis- respective agencies to enforce the safe-
tration in its enforcement of the safety ty and hazardous materials laws and
and hazardous materials laws and regu- regulations of the State or of the
lations of the United States concerning United States concerning motor carrier
highway transportation. Evidence ob- transportation. The Federal Motor Car-
tained in this manner shall be trans- rier Safety Administration and the
mitted to the Field Administrator, to- State (or appropriate State authority)
gether with the name and address of an shall use their best efforts to inform
agent or employee, if any, having each other of changes in their rules and
knowledge of the facts, who shall be regulations and cooperate with and as-
made available when necessary to tes- sist each other in conducting training
tify as a witness in an enforcement schools for Federal and State enforce-
proceeding or other action. ment officials engaged in such duties.
[33 FR 19725, Dec. 25, 1968, as amended at 51 [33 FR 19725, Dec. 25, 1968, as amended at 51
FR 12621, Apr. 14, 1986; 60 FR 38743, July 28, FR 12621, Apr. 14, 1986; 67 FR 61824, Oct. 2,
1995; 67 FR 61824, Oct. 2, 2002] 2002]

§ 388.6 Joint investigation, inspection, § 388.8 Supplemental agreements.


or examination.
The terms specified in this part may
Upon agreement by the Field Admin- be supplemented from time to time by
istrator and the appropriate State au- specific agreement between the Federal
thority, there will be conducted a joint Motor Carrier Safety Administration
investigation, inspection, or examina- and the appropriate State authority in
tion of the property, equipment, or order to further implement the provi-
records of motor carriers or others, for sions of 49 U.S.C. 502.
the enforcement of the safety and haz-
ardous materials laws and regulations [51 FR 12621, Apr. 14, 1986]
of the United States and the State con-
cerning highway transportation. The PART 389—RULEMAKING PROCE-
said Field Administrator and the ap- DURES—FEDERAL MOTOR CAR-
propriate State authority shall decide RIER SAFETY REGULATIONS
as to the location and time, the objec-
tives sought, and the identity of the Subpart A—General
person who will supervise the joint ef-
Sec.
fort and make the necessary decisions. 389.1 Applicability.
Any agent or employee of either agen- 389.3 Definitions.
cy who has personal knowledge of per- 389.5 Regulatory docket.
tinent facts shall be made available 389.7 Records.
when necessary to testify as a witness
in an enforcement proceeding or other Subpart B—Procedures for Adoption of
action. Rules
[33 FR 19725, Dec. 25, 1968, as amended at 51 389.11 General.
FR 12621, Apr. 14, 1986; 67 FR 61824, Oct. 2, 389.13 Initiation of rule making.
2002] 389.15 Contents of notices of proposed rule
making.
§ 388.7 Joint administrative activities 389.17 Participation by interested persons.
related to enforcement of safety 389.19 Petitions for extension of time to
and hazardous materials laws and comment.
regulations. 389.21 Contents of written comments.
389.23 Consideration of comments received.
To facilitate the interchange of in-
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389.25 Additional rule making proceedings.


formation and evidence, and the con- 389.27 Hearings.
duct of joint investigation and admin- 389.29 Adoption of final rules.

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Federal Motor Carrier Safety Administration, DOT § 389.15
389.31 Petitions for rule making. www.regulations.gov. Copies may be
389.33 Processing of petition. downloaded or printed.
389.35 Petitions for reconsideration.
389.37 Proceedings on petitions for reconsid- [72 FR 55702, Oct. 1, 2007]
eration.
§ 389.7 Records.
AUTHORITY: 49 U.S.C. 113, 501 et seq., 31101 et
seq., 31138, 31139, 31301 et seq., and 31502; 42 Records of the Administrator relat-
U.S.C. 4917; and 49 CFR 1.73. ing to rule making proceedings are
SOURCE: 35 FR 9209, June 12, 1970, unless available for inspection as provided in
otherwise noted. section 552(b) of title 5 of the United
States Code and part 7 of the regula-
EDITORIAL NOTE: Nomenclature changes to
tions of the Secretary of Transpor-
part 389 appear at 66 FR 49873, Oct. 1, 2001.
tation (part 7 of this title; 32 FR 9284 et
seq.).
Subpart A—General
[35 FR 9209, June 12, 1970, as amended at 53
§ 389.1 Applicability. FR 2036, Jan. 26, 1988]
This part prescribes rulemaking pro-
cedures that apply to the issuance, Subpart B—Procedures for
amendment and revocation of rules Adoption of Rules
under an Act.
§ 389.11 General.
[62 FR 37152, July 11, 1997]
Unless the Administrator, for good
§ 389.3 Definitions. cause, finds a notice is impractical, un-
necessary, or contrary to the public in-
Act means statutes granting the Sec- terest, and incorporates such a finding
retary authority to regulate motor car- and a brief statement of the reasons for
rier safety. it in the rule, a notice of proposed rule-
Administrator means the Federal making must be issued, and interested
Motor Carrier Safety Administrator. persons are invited to participate in
[62 FR 37152, July 11, 1997] the rulemaking proceedings involving
rules under an Act.
§ 389.5 Regulatory docket.
[62 FR 37152, July 11, 1997]
(a) Information and data deemed rel-
evant by the Administrator relating to § 389.13 Initiation of rule making.
rulemaking actions, including notices
The Administrator initiates rule
of proposed rulemaking; comments re-
making on his/her own motion. How-
ceived in response to notices; petitions
ever, in so doing, he/she may, in his/her
for rulemaking and reconsideration;
discretion, consider the recommenda-
denials of petitions for rulemaking and
tions of his/her staff or other agencies
reconsideration; records of additional
of the United States or of other inter-
rule making proceedings under § 389.25;
ested persons.
and final rules are maintained at head-
quarters, Federal Motor Carrier Safety [35 FR 9209, June 12, 1970, as amended at 53
Administration, 1200 New Jersey Ave., FR 2036, Jan. 26, 1988]
SE., Washington, DC 20590–0001.
(b) Except for material ordered with- § 389.15 Contents of notices of pro-
held from the public under section posed rule making.
552(b) of title 5 of the United States (a) Each notice of proposed rule mak-
Code, any person may examine dock- ing is published in the FEDERAL REG-
eted material in the Department of ISTER, unless all persons subject to it
Transportation Docket Management are named and are personally served
Facility in the following ways: with a copy of it.
(1) At headquarters at any time dur- (b) Each notice, whether published in
ing regular business hours. Copies may the FEDERAL REGISTER or personally
be obtained upon payment of a fee. served, includes:
(2) On the Web site regulations.gov, at (1) A statement of the time, place,
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any time, by using the uniform re- and nature of the proposed rule making
sources locator (URL) http:// proceeding;

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§ 389.17 49 CFR Ch. III (10–1–07 Edition)

(2) A reference to the authority under § 389.23 Consideration of comments re-


which it is issued; ceived.
(3) A description of the subjects and All timely comments are considered
issues involved or the substance and before final action is taken on a rule
terms of the proposed rule; making proposal. Late filed comments
(4) A statement of the time within may be considered as far as prac-
which written comments must be sub- ticable.
mitted; and
(5) A statement of how and to what § 389.25 Additional rule making pro-
ceedings.
extent interested persons may partici-
pate in the proceeding. The Administrator may initiate any
further rule making proceedings that
§ 389.17 Participation by interested he/she finds necessary or desirable. or
persons. example, interested persons may be in-
(a) Any interested person may par- vited to make oral arguments, to par-
ticipate in rule making proceedings by ticipate in conferences between the Ad-
submitting comments in writing con- ministrator or his/her representative at
taining information, views, or argu- which minutes of the conference are
ments. kept, to appear at informal hearings
presided over by officials designated by
(b) In his/her discretion, the Adminis-
the Administrator at which a tran-
trator may invite any interested per-
script or minutes are kept, or partici-
son to participate in the rule making
pate in any other proceeding to assure
procedures described in § 389.25.
informed administrative action and to
[35 FR 9209, June 12, 1970, as amended at 53 protect the public interest.
FR 2036, Jan. 26, 1988]
[35 FR 9209, June 12, 1970, as amended at 53
FR 2036, Jan. 26, 1988]
§ 389.19 Petitions for extension of time
to comment. § 389.27 Hearings.
A petition for extension of the time (a) Sections 556 and 557 of title 5,
to submit comments must be received United States Code, do not apply to
in duplicate not later than three (3) hearings held under this part. Unless
days before expiration of the time stat- otherwise specified, hearings held
ed in the notice. The filing of the peti- under this part are informal, non-
tion does not automatically extend the adversary, fact-finding procedures at
time for petitioner’s comments. Such a which there are no formal pleadings or
petition is granted only if the peti- adverse parties. Any rule issued in a
tioner shows good cause for the exten- case in which an informal hearing is
sion, and if the extension is consistent held is not necessarily based exclu-
with the public interest. If an exten- sively on the record of the hearing.
sion is granted, it is granted to all per- (b) The Administrator designates a
sons, and it is published in the FED- representative to conduct any hearing
ERAL REGISTER. held under this part. The Chief Counsel
of the Federal Motor Carrier Safety
§ 389.21 Contents of written comments. Administration designates a member of
All written comments must be in his/her staff to serve as legal officer at
English and submitted in five (5) leg- the hearing.
ible copies, unless the number of copies [35 FR 9209, June 12, 1970, as amended at 53
is specified in the notice. Any inter- FR 2036, Jan. 26, 1988]
ested person must submit as part of
his/her written comments all material § 389.29 Adoption of final rules.
that he/she considers relevant to any Final rules are prepared by rep-
statement of fact made by him/her. In- resentatives of the office concerned
corporation of material by reference is and the Office of the Chief Counsel. The
to be avoided. However, if such incor- rule is then submitted to the Adminis-
poration is necessary, the incorporated trator for his/her consideration. If the
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material shall be identified with re- Administrator adopts the rule, it is


spect to document and page. published in the FEDERAL REGISTER,

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Federal Motor Carrier Safety Administration, DOT § 389.37

unless all persons subject to it are § 389.35 Petitions for reconsideration.


named and are personally served with a
(a) Any interested person may peti-
copy of it.
tion the Administrator for reconsider-
[35 FR 9209, June 12, 1970, as amended at 53 ation of any rule issued under this
FR 2036, Jan. 26, 1988] part. The petition must be in English
and submitted in five (5) legible copies
§ 389.31 Petitions for rule making. to the Administrator, Federal Motor
(a) Any interested person may peti- Carrier Safety Administration, 1200
tion the Administrator to establish, New Jersey Ave., SE., Washington, DC
amend, or repeal a rule. 20590–0001, and received not later than
(b) Each petition filed under this sec- thirty (30) days after publication of the
tion must: rule in the FEDERAL REGISTER. Peti-
(1) Be submitted in duplicate to the tions filed after that time will be con-
Administrator, Federal Motor Carrier sidered as petitions filed under § 389.31.
Safety Administration, 1200 New Jer- The petition must contain a brief
sey Ave., SE., Washington, DC 20590– statement of the complaint and an ex-
0001; planation as to why compliance with
(2) Set forth the text or substance of the rule is not practicable, is unreason-
the rule or amendment proposed, or able, or is not in the public interest.
specify the rule that the petitioner (b) If the petitioner requests the con-
seeks to have repealed, as the case may sideration of additional facts, he/she
be; must state the reason they were not
(3) Explain the interest of the peti- presented to the Administrator within
tioner in the action requested; the prescribed time.
(4) Contain any information and ar- (c) The Administrator does not con-
guments available to the petitioner to sider repetitious petitions.
support the action sought. (d) Unless the Administrator other-
wise provides, the filing of a petition
[35 FR 9209, June 12, 1970, as amended at 45 under this section does not stay the ef-
FR 46424, July 10, 1980; 53 FR 2036, Jan. 26, fectiveness of the rule.
1988; 72 FR 55702, Oct. 1, 2007]
[35 FR 9209, June 12, 1970, as amended at 53
§ 389.33 Processing of petition. FR 2036, Jan. 26, 1988; 72 FR 55702, Oct. 1,
2007]
(a) Unless the Administrator other-
wise specifies, no public hearing, argu- § 389.37 Proceedings on petitions for
ment, or other proceeding is held di- reconsideration.
rectly on a petition before its disposi- The Administrator may grant or
tion under this section. deny, in whole or in part, any petition
(b) Grants. If the Administrator de- for reconsideration without further
termines that the petition contains proceedings. In the event he/she deter-
adequate justification, he/she initiates mines to reconsider any rule, he/she
rule making action under this Subpart may issue a final decision on reconsid-
B. eration without further proceedings, or
(c) Denials. If the Administrator de- he/she may provide such opportunity to
termines that the petition does not jus- submit comment or information and
tify rule making, he/she denies the pe- data as he/she deems appropriate.
tition. Whenever the Administrator deter-
(d) Notification. Whenever the Admin- mines that a petition should be granted
istrator determines that a petition or denied, he/she prepares a notice of
should be granted or denied, the Office the grant or denial of a petition for re-
of the Chief Counsel prepares a notice consideration, for issuance to the peti-
of that grant or denial for issuance to tioner, and issues it to the petitioner.
the petitioner, and the Administrator The Administrator may consolidate pe-
issues it to the petitioner. titions relating to the same rule.
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[35 FR 9209, June 12, 1970, as amended at 53 [35 FR 9209, June 12, 1970, as amended at 53
FR 2036, Jan. 26, 1988] FR 2036, Jan. 26, 1988]

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Pt. 390 49 CFR Ch. III (10–1–07 Edition)

PART 390—FEDERAL MOTOR CAR- § 390.3 General applicability.


RIER SAFETY REGULATIONS; GEN- (a) The rules in subchapter B of this
ERAL chapter are applicable to all employ-
ers, employees, and commercial motor
Subpart A—General Applicability and vehicles, which transport property or
Definitions passengers in interstate commerce.
(b) The rules in Part 383, Commercial
Sec.
390.1 Purpose.
Driver’s License Standards; Require-
390.3 General applicability. ments and Penalties, are applicable to
390.5 Definitions. every person who operates a commer-
390.7 Rules of construction. cial motor vehicle, as defined in § 383.5
of this subchapter, in interstate or
Subpart B—General Requirements and intrastate commerce and to all em-
Information ployers of such persons.
(c) The rules in Part 387, Minimum
390.9 State and local laws, effect on.
390.11 Motor carrier to require observance
Levels of Financial Responsibility for
of driver regulations. Motor Carriers, are applicable to motor
390.13 Aiding or abetting violations. carriers as provided in § 387.3 or 387.27
390.15 Assistance in investigations and spe- of this subchapter.
cial studies. (d) Additional requirements. Nothing in
390.16 [Reserved] subchapter B of this chapter shall be
390.17 Additional equipment and acces- construed to prohibit an employer from
sories. requring and enforcing more stringent
390.19 Motor carrier identification report.
requirements relating to safety of oper-
390.21 Marking of CMVs.
390.23 Relief from regulations.
ation and employee safety and health.
390.25 Extension of relief from regulations— (e) Knowledge of and compliance
emergencies. with the regulations.
390.27 Locations of motor carrier safety (1) Every employer shall be knowl-
service centers. edgeable of and comply with all regula-
390.29 Location of records or documents. tions contained in this subchapter
390.31 Copies of records or documents. which are applicable to that motor car-
390.33 Commercial motor vehicles used for rier’s operations.
purposes other than defined.
390.35 Certificates, reports, and records: (2) Every driver and employee shall
Falsification, reproduction, or alter- be instructed regarding, and shall com-
ation. ply with, all applicable regulations
390.37 Violation and penalty. contained in this subchapter.
(3) All motor vehicle equipment and
Subpart C [Reserved] accessories required by this subchapter
shall be maintained in compliance with
AUTHORITY: 49 U.S.C. 508, 13301, 13902, 31133, all applicable performance and design
31136, 31502, 31504; Sec. 204, Pub. L. 104–88, 109 criteria set forth in this subchapter.
Stat. 803, 941 (49 U.S.C. 701 note); Sec. 114,
Pub. L. 103–311, 108 Stat. 1673, 1677; Sec. 217,
(f) Exceptions. Unless otherwise spe-
229, Pub. L. 106–159, 113 Stat. 1748, 1767; and 49 cifically provided, the rules in this sub-
CFR 1.73. chapter do not apply to—
(1) All school bus operations as de-
SOURCE: 53 FR 18052, May 19, 1988, unless
otherwise noted.
fined in § 390.5;
(2) Transportation performed by the
EDITORIAL NOTE: Nomenclature changes to Federal government, a State, or any
part 390 appear at 66 FR 49873, Oct. 1, 2001.
political subdivision of a State, or an
agency established under a compact be-
Subpart A—General Applicability tween States that has been approved
and Definitions by the Congress of the United States;
(3) The occasional transportation of
§ 390.1 Purpose. personal property by individuals not
This part establishes general applica- for compensation nor in the further-
bility, definitions, general require- ance of a commercial enterprise;
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ments and information as they pertain (4) The transportation of human


to persons subject to this chapter. corpses or sick and injured persons;

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Federal Motor Carrier Safety Administration, DOT § 390.5

(5) The operation of fire trucks and of CMVs, for carriers subject to the re-
rescue vehicles while involved in emer- quirements of § 385.403 of this chapter.
gency and related operations; Intrastate motor carriers operating
(6)(i) The operation of commercial prior to January 1, 2005, are excepted
motor vehicles designed or used to from § 390.19(a)(1).
transport between 9 and 15 passengers
[53 FR 18052, May 19, 1988, as amended at 54
(including the driver), not for direct FR 12202, Mar. 24, 1989; 58 FR 33776, June 21,
compensation, provided the vehicle 1993; 59 FR 8752, Feb. 23, 1994; 59 FR 67554,
does not otherwise meet the definition Dec. 29, 1994; 62 FR 1296, Jan. 9, 1997; 63 FR
of a commercial motor vehicle, except 33276, June 18, 1998; 64 FR 48516, Sept. 3, 1999;
that motor carriers operating such ve- 66 FR 2766, Jan. 11, 2001; 68 FR 47875, Aug. 12,
hicles are required to comply with 2003; 69 FR 39372, June 30, 2004; 72 FR 36790,
§§ 390.15, 390.19, and 390.21(a) and (b)(2). July 5, 2007]
(ii) The operation of commercial
§ 390.5 Definitions.
motor vehicles designed or used to
transport between 9 and 15 passengers Unless specifically defined elsewhere,
(including the driver) for direct com- in this subchapter:
pensation, provided the vehicle is not Accident means—
being operated beyond a 75 air-mile ra- (1) Except as provided in paragraph
dius (86.3 statute miles or 138.9 kilo- (2) of this definition, an occurrence in-
meters) from the driver’s normal work- volving a commercial motor vehicle
reporting location, and provided the operating on a highway in interstate or
vehicle does not otherwise meet the intrastate commerce which results in:
definition of a commercial motor vehi- (i) A fatality;
cle, except that motor carriers oper- (ii) Bodily injury to a person who, as
ating such vehicles are required to a result of the injury, immediately re-
comply with §§ 390.15, 390.19, and ceives medical treatment away from
390.21(a) and (b)(2). the scene of the accident; or
(7) Either a driver of a commercial (iii) One or more motor vehicles in-
motor vehicle used primarily in the curring disabling damage as a result of
transportation of propane winter heat- the accident, requiring the motor vehi-
ing fuel or a driver of a motor vehicle cle(s) to be transported away from the
used to respond to a pipeline emer- scene by a tow truck or other motor
gency, if such regulations would pre- vehicle.
vent the driver from responding to an (2) The term accident does not in-
emergency condition requiring imme- clude:
diate response as defined in § 390.5. (i) An occurrence involving only
(g) Motor carriers that transport haz- boarding and alighting from a sta-
ardous materials in intrastate commerce. tionary motor vehicle; or
The rules in the following provisions of (ii) An occurrence involving only the
subchapter B of this chapter apply to loading or unloading of cargo.
motor carriers that transport haz- Alcohol concentration (AC) means the
ardous materials in intrastate com- concentration of alcohol in a person’s
merce and to the motor vehicles that blood or breath. When expressed as a
transport hazardous materials in intra- percentage it means grams of alcohol
state commerce: per 100 milliliters of blood or grams of
(1) Part 385, subparts A and E, for alcohol per 210 liters of breath.
carriers subject to the requirements of Bus means any motor vehicle de-
§ 385.403 of this chapter. signed, constructed, and or used for the
(2) Part 386, Rules of practice for transportation of passengers, including
motor carrier, broker, freight for- taxicabs.
warder, and hazardous materials pro- Business district means the territory
ceedings, of this chapter. contiguous to and including a highway
(3) Part 387, Minimum Levels of Fi- when within any 600 feet along such
nancial Responsibility for Motor Car- highway there are buildings in use for
riers, to the extent provided in § 387.3 of business or industrial purposes, includ-
this chapter. ing but not limited to hotels, banks, or
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(4) Section 390.19, Motor carrier iden- office buildings which occupy at least
tification report, and § 390.21, Marking 300 feet of frontage on one side or 300

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§ 390.5 49 CFR Ch. III (10–1–07 Edition)

feet collectively on both sides of the cation transmissions) or essential sup-


highway. plies (such as, food and fuel). It does
Charter transportation of passengers not include transportation related to
means transportation, using a bus, of a long-term rehabilitation of damaged
group of persons who pursuant to a physical infrastructure or routine com-
common purpose, under a single con- mercial deliveries after the initial
tract, at a fixed charge for the motor threat to life and property has passed.
vehicle, have acquired the exclusive Direct compensation means payment
use of the motor vehicle to travel to- made to the motor carrier by the pas-
gether under an itinerary either speci- sengers or a person acting on behalf of
fied in advance or modified after hav- the passengers for the transportation
ing left the place of origin. services provided, and not included in a
Commercial motor vehicle means any total package charge or other assess-
self-propelled or towed motor vehicle ment for highway transportation serv-
used on a highway in interstate com- ices.
merce to transport passengers or prop- Disabling damage means damage
erty when the vehicle— which precludes departure of a motor
(1) Has a gross vehicle weight rating vehicle from the scene of the accident
or gross combination weight rating, or in its usual manner in daylight after
gross vehicle weight or gross combina- simple repairs.
tion weight, of 4,536 kg (10,001 pounds) (1) Inclusions. Damage to motor vehi-
or more, whichever is greater; or cles that could have been driven, but
(2) Is designed or used to transport would have been further damaged if so
more than 8 passengers (including the driven.
driver) for compensation; or (2) Exclusions. (i) Damage which can
(3) Is designed or used to transport be remedied temporarily at the scene
more than 15 passengers, including the of the accident without special tools or
driver, and is not used to transport pas- parts.
sengers for compensation; or (ii) Tire disablement without other
(4) Is used in transporting material damage even if no spare tire is avail-
found by the Secretary of Transpor- able.
tation to be hazardous under 49 U.S.C. (iii) Headlamp or taillight damage.
5103 and transported in a quantity re- (iv) Damage to turn signals, horn, or
quiring placarding under regulations windshield wipers which makes them
prescribed by the Secretary under 49 inoperative.
CFR, subtitle B, chapter I, subchapter Driveaway-towaway operation means
C. an operation in which an empty or un-
Conviction means an unvacated adju- laden motor vehicle with one or more
dication of guilt, or a determination sets of wheels on the surface of the
that a person has violated or failed to roadway is being transported:
comply with the law in a court of origi- (1) Between vehicle manufacturer’s
nal jurisdiction or by an authorized ad- facilities;
ministrative tribunal, an unvacated (2) Between a vehicle manufacturer
forfeiture of bail or collateral depos- and a dealership or purchaser;
ited to secure the person’s appearance (3) Between a dealership, or other en-
in court, a plea of guilty or nolo tity selling or leasing the vehicle, and
contendere accepted by the court, the a purchaser or lessee;
payment of a fine or court cost, or vio- (4) To a motor carrier’s terminal or
lation of a condition of release without repair facility for the repair of dis-
bail, regardless of whether or not the abling damage (as defined in § 390.5) fol-
penalty is rebated, suspended, or pro- lowing a crash; or
bated. (5) To a motor carrier’s terminal or
Direct assistance means transpor- repair facility for repairs associated
tation and other relief services pro- with the failure of a vehicle component
vided by a motor carrier or its driver(s) or system; or
incident to the immediate restoration (6) By means of a saddle-mount or
of essential services (such as, elec- tow-bar.
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tricity, medial care, sewer, water, tele- Driver means any person who oper-
communications, and telecommuni- ates any commercial motor vehicle.

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Federal Motor Carrier Safety Administration, DOT § 390.5

Driving a commercial motor vehicle tanks. In the case of a pipeline emer-


while under the influence of alcohol gency, such conditions include (but are
means committing any one or more of not limited to) indication of an abnor-
the following acts in a CMV: Driving a mal pressure event, leak, release or
CMV while the person’s alcohol con- rupture.
centration is 0.04 or more; driving Emergency relief means an operation
under the influence of alcohol, as pre- in which a motor carrier or driver of a
scribed by State law; or refusal to un- commercial motor vehicle is providing
dergo such testing as is required by direct assistance to supplement State
any State or jurisdiction in the en- and local efforts and capabilities to
forcement of Table 1 to § 383.51 or save lives or property or to protect
§ 392.5(a)(2) of this subchapter. public health and safety as a result of
Emergency means any hurricane, tor- an emergency as defined in this sec-
nado, storm (e.g. thunderstorm, snow- tion.
storm, icestorm, blizzard, sandstorm, Employee means any individual, other
etc.), high water, wind-driven water, than an employer, who is employed by
tidal wave, tsunami, earthquake, vol- an employer and who in the course of
canic eruption, mud slide, drought, for- his or her employment directly affects
est fire, explosion, blackout or other commercial motor vehicle safety. Such
occurrence, natural or man-made, term includes a driver of a commercial
which interrupts the delivery of essen- motor vehicle (including an inde-
tial services (such as, electricity, med- pendent contractor while in the course
ical care, sewer, water, telecommuni-
of operating a commercial motor vehi-
cations, and telecommunication trans-
cle), a mechanic, and a freight handler.
missions) or essential supplies (such as,
Such term does not include an em-
food and fuel) or otherwise imme-
ployee of the United States, any State,
diately threatens human life or public
any political subdivision of a State, or
welfare, provided such hurricane, tor-
any agency established under a com-
nado, or other event results in:
pact between States and approved by
(1) A declaration of an emergency by
the Congress of the United States who
the President of the United States, the
is acting within the course of such em-
Governor of a State, or their author-
ployment.
ized representatives having authority
to declare emergencies; by the FMCSA Employer means any person engaged
Field Administrator for the geo- in a business affecting interstate com-
graphical area in which the occurrence merce who owns or leases a commer-
happens; or by other Federal, State or cial motor vehicle in connection with
local government officials having au- that business, or assigns employees to
thority to declare emergencies, or operate it, but such terms does not in-
(2) A request by a police officer for clude the United States, any State, any
tow trucks to move wrecked or dis- political subdivision of a State, or an
abled motor vehicles. agency established under a compact be-
Emergency condition requiring imme- tween States approved by the Congress
diate response means any condition of the United States.
that, if left unattended, is reasonably Exempt intracity zone means the geo-
likely to result in immediate serious graphic area of a municipality or the
bodily harm, death, or substantial commercial zone of that municipality
damage to property. In the case of described in appendix F to subchapter
transportation of propane winter heat- B of this chapter. The term ‘‘exempt
ing fuel, such conditions shall include intracity zone’’ does not include any
(but are not limited to) the detection municipality or commercial zone in
of gas odor, the activation of carbon the State of Hawaii. For purposes of
monoxide alarms, the detection of car- § 391.62, a driver may be considered to
bon monoxide poisoning, and any real operate a commercial motor vehicle
or suspected damage to a propane gas wholly within an exempt intracity zone
system following a severe storm or notwithstanding any common control,
flooding. An ‘‘emergency condition re- management, or arrangement for a
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quiring immediate response’’ does not continuous carriage or shipment to or


include requests to refill empty gas from a point without such zone.

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§ 390.5 49 CFR Ch. III (10–1–07 Edition)

Exempt motor carrier means a person Hazardous material means a substance


engaged in transportation exempt from or material which has been determined
economic regulation by the Federal by the Secretary of Transportation to
Motor Carrier Safety Administration be capable of posing an unreasonable
(FMCSA) under 49 U.S.C. 13506. ‘‘Ex- risk to health, safety, and property
empt motor carriers’’ are subject to when transported in commerce, and
the safety regulations set forth in this which has been so designated.
subchapter. Hazardous substance means a mate-
Farm vehicle driver means a person rial, and its mixtures or solutions, that
who drives only a commercial motor is identified in the appendix to § 172.101,
vehicle that is— List of Hazardous Substances and Re-
(a) Controlled and operated by a portable Quantities, of this title when
farmer as a private motor carrier of offered for transportation in one pack-
property; age, or in one transport motor vehicle
(b) Being used to transport either— if not packaged, and when the quantity
(1) Agricultural products, or of the material therein equals or ex-
(2) Farm machinery, farm supplies, ceeds the reportable quantity (RQ).
or both, to or from a farm; This definition does not apply to petro-
(c) Not being used in the operation of leum products that are lubricants or
a for-hire motor carrier; fuels, or to mixtures or solutions of
(d) Not carrying hazardous materials hazardous substances if in a concentra-
of a type or quantity that requires the tion less than that shown in the table
commercial motor vehicle to be plac- in § 171.8 of this title, based on the re-
arded in accordance with § 177.823 of portable quantity (RQ) specified for the
this subtitle; and materials listed in the appendix to
(e) Being used within 150 air-miles of § 172.101.
the farmer’s farm. Hazardous waste means any material
Farmer means any person who oper- that is subject to the hazardous waste
ates a farm or is directly involved in manifest requirements of the EPA
the cultivation of land, crops, or live- specified in 40 CFR part 262 or would be
stock which— subject to these requirements absent
(a) Are owned by that person; or an interim authorization to a State
(b) Are under the direct control of under 40 CFR part 123, subpart F.
that person. Highway means any road, street, or
Fatality means any injury which re- way, whether on public or private prop-
sults in the death of a person at the erty, open to public travel. ‘‘Open to
time of the motor vehicle accident or public travel’’ means that the road sec-
within 30 days of the accident. tion is available, except during sched-
Federal Motor Carrier Safety Adminis- uled periods, extreme weather or emer-
trator means the chief executive of the gency conditions, passable by four-
Federal Motor Carrier Safety Adminis- wheel standard passenger cars, and
tration, an agency within the Depart- open to the general public for use with-
ment of Transportation. out restrictive gates, prohibitive signs,
For-hire motor carrier means a person or regulation other than restrictions
engaged in the transportation of goods based on size, weight, or class of reg-
or passengers for compensation. istration. Toll plazas of public toll
Gross combination weight rating roads are not considered restrictive
(GCWR) means the value specified by gates.
the manufacturer as the loaded weight Interstate commerce means trade, traf-
of a combination (articulated) motor fic, or transportation in the United
vehicle. In the absence of a value speci- States—
fied by the manufacturer, GCWR will (1) Between a place in a State and a
be determined by adding the GVWR of place outside of such State (including a
the power unit and the total weight of place outside of the United States);
the towed unit and any load thereon. (2) Between two places in a State
Gross vehicle weight rating (GVWR) through another State or a place out-
means the value specified by the manu- side of the United States; or
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facturer as the loaded weight of a sin- (3) Between two places in a State as
gle motor vehicle. part of trade, traffic, or transportation

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Federal Motor Carrier Safety Administration, DOT § 390.5

originating or terminating outside the Out-of-service order means a declara-


State or the United States. tion by an authorized enforcement offi-
Intrastate commerce means any trade, cer of a Federal, State, Canadian,
traffic, or transportation in any State Mexican, or local jurisdiction that a
which is not described in the term driver, a commercial motor vehicle, or
‘‘interstate commerce.’’ a motor carrier operation is out of
Medical examiner means a person who service pursuant to 49 CFR 386.72, 392.5,
is licensed, certified, and/or registered, 392.9a, 395.13, or 396.9, or compatible
in accordance with applicable State laws, or the North American Standard
laws and regulations, to perform phys- Out-of-Service Criteria.
ical examinations. The term includes Person means any individual, part-
but is not limited to, doctors of medi- nership, association, corporation, busi-
cine, doctors of osteopathy, physician ness trust, or any other organized
assistants, advanced practice nurses, group of individuals.
and doctors of chiropractic. Previous employer means any DOT
Motor carrier means a for-hire motor regulated person who employed the
carrier or a private motor carrier. The driver in the preceding 3 years, includ-
term includes a motor carrier’s agents, ing any possible current employer.
officers and representatives as well as Principal place of business means the
employees responsible for hiring, su- single location designated by the
pervising, training, assigning, or dis- motor carrier, normally its head-
patching of drivers and employees con- quarters, for purposes of identification
cerned with the installation, inspec- under this subchapter. The motor car-
tion, and maintenance of motor vehicle rier must make records required by
equipment and/or accessories. For pur- parts 382, 387, 390, 391, 395, 396, and 397
poses of subchapter B, this definition of this subchapter available for inspec-
includes the terms employer, and exempt tion at this location within 48 hours
motor carrier. (Saturdays, Sundays, and Federal holi-
Motor vehicle means any vehicle, ma- days excluded) after a request has been
chine, tractor, trailer, or semitrailer made by a special agent or authorized
propelled or drawn by mechanical representative of the Federal Motor
power and used upon the highways in Carrier Safety Administration.
the transportation of passengers or Private motor carrier means a person
property, or any combination thereof who provides transportation of prop-
determined by the Federal Motor Car- erty or passengers, by commercial
rier Safety Administration, but does motor vehicle, and is not a for-hire
not include any vehicle, locomotive, or motor carrier.
car operated exclusively on a rail or Private motor carrier of passengers
rails, or a trolley bus operated by elec- (business) means a private motor car-
tric power derived from a fixed over- rier engaged in the interstate transpor-
head wire, furnishing local passenger tation of passengers which is provided
transportation similar to street-rail- in the furtherance of a commercial en-
way service. terprise and is not available to the pub-
Multiple-employer driver means a driv- lic at large.
er, who in any period of 7 consecutive Private motor carrier of passengers
days, is employed or used as a driver by (nonbusiness) means private motor car-
more than one motor carrier. rier involved in the interstate trans-
Operating authority means the reg- portation of passengers that does not
istration required by 49 U.S.C. 13902, 49 otherwise meet the definition of a pri-
CFR part 365, 49 CFR part 368, and 49 vate motor carrier of passengers (busi-
CFR 392.9a. ness).
Operator—See driver. Radar detector means any device or
Other terms—Any other term used in mechanism to detect the emission of
this subchapter is used in its com- radio microwaves, laser beams or any
monly accepted meaning, except where other future speed measurement tech-
such other term has been defined else- nology employed by enforcement per-
where in this subchapter. In that sonnel to measure the speed of com-
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event, the definition therein given mercial motor vehicles upon public
shall apply. roads and highways for enforcement

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§ 390.7 49 CFR Ch. III (10–1–07 Edition)

purposes. Excluded from this definition vehicle and so constructed that no part
are radar detection devices that meet of its weight, except for the towing de-
both of the following requirements: vice, rests upon the self-propelled tow-
(1) Transported outside the driver’s ing motor vehicle. A semitrailer
compartment of the commercial motor equipped with an auxiliary front axle
vehicle. For this purpose, the driver’s (converter dolly) shall be considered a
compartment of a passenger-carrying full trailer.
CMV shall include all space designed to (b) Pole trailer means any motor vehi-
accommodate both the driver and the cle which is designed to be drawn by
passengers; and another motor vehicle and attached to
(2) Completely inaccessible to, inop- the towing motor vehicle by means of a
erable by, and imperceptible to the ‘‘reach’’ or ‘‘pole,’’ or by being
driver while operating the commercial ‘‘boomed’’ or otherwise secured to the
motor vehicle. towing motor vehicle, for transporting
Regional Director of Motor Carriers long or irregularly shaped loads such
means the Field Administrator, Fed- as poles, pipes, or structural members,
eral Motor Carrier Safety Administra- which generally are capable of sus-
tion, for a given geographical area of taining themselves as beams between
the United States. the supporting connections.
Residential district means the terri- (c) Semitrailer means any motor vehi-
tory adjacent to and including a high- cle, other than a pole trailer, which is
way which is not a business district designed to be drawn by another motor
and for a distance of 300 feet or more vehicle and is constructed so that some
along the highway is primarily im- part of its weight rests upon the self-
proved with residences. propelled towing motor vehicle.
School bus means a passenger motor Truck means any self-propelled com-
vehicle which is designed or used to mercial motor vehicle except a truck
carry more than 10 passengers in addi- tractor, designed and/or used for the
tion to the driver, and which the Sec- transportation of property.
retary determines is likely to be sig- Truck tractor means a self-propelled
nificantly used for the purpose of commercial motor vehicle designed
transporting preprimary, primary, or and/or used primarily for drawing other
secondary school students to such vehicles.
schools from home or from such United States means the 50 States and
schools to home. the District of Columbia.
School bus operation means the use of
a school bus to transport only school [53 FR 18052, May 19, 1988]
children and/or school personnel from EDITORIAL NOTE: For FEDERAL REGISTER ci-
home to school and from school to tations affecting § 390.5, see the List of CFR
home. Sections Affected, which appears in the
Secretary means the Secretary of Finding Aids section of the printed volume
Transportation. and on GPO Access.
Single-employer driver means a driver § 390.7 Rules of construction.
who, in any period of 7 consecutive
days, is employed or used as a driver (a) In part 325 of subchapter A and in
solely by a single motor carrier. This this subchapter, unless the context re-
term includes a driver who operates a quires otherwise:
commercial motor vehicle on an inter- (1) Words imparting the singular in-
mittent, casual, or occasional basis. clude the plural;
Special agent See appendix B to sub- (2) Words imparting the plural in-
chapter B—Special agents. clude the singular;
State means a State of the United (3) Words imparting the present tense
States and the District of Columbia include the future tense.
and includes a political subdivision of a (b) In this subchapter the word—
State. (1) Officer includes any person au-
Trailer includes: thorized by law to perform the duties
(a) Full trailer means any motor vehi- of the office;
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cle other than a pole trailer which is (2) Writing includes printing and
designed to be drawn by another motor typewriting;

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Federal Motor Carrier Safety Administration, DOT § 390.19

(3) Shall is used in an imperative representative all reasonable assist-


sense; ance in the investigation of any acci-
(4) Must is used in an imperative dent including providing a full, true
sense; and correct response to any question of
(5) Should is used in a recommenda- the inquiry.
tory sense; (b) For accidents that occur after
(6) May is used in a permissive sense; April 29, 2003, motor carriers must
and maintain an accident register for three
(7) Includes is used as a word of inclu- years after the date of each accident.
sion, not limitation. For accidents that occurred on or prior
to April 29, 2003, motor carriers must
[53 FR 18052, May 19, 1988, as amended at 60 maintain an accident register for a pe-
FR 38744, July 28, 1995]
riod of one year after the date of each
accident. Information placed in the ac-
Subpart B—General Requirements cident register must contain at least
and Information the following:
(1) A list of accidents as defined at
§ 390.9 State and local laws, effect on. § 390.5 of this chapter containing for
Except as otherwise specifically indi- each accident:
cated, subchapter B of this chapter is (i) Date of accident.
not intended to preclude States or sub- (ii) City or town, or most near, where
divisions thereof from establishing or the accident occurred and the State
enforcing State or local laws relating where the accident occurred.
to safety, the compliance with which (iii) Driver Name.
would not prevent full compliance with (iv) Number of injuries.
these regulations by the person subject (v) Number of fatalities.
thereto. (vi) Whether hazardous materials,
other than fuel spilled from the fuel
§ 390.11 Motor carrier to require ob- tanks of motor vehicle involved in the
servance of driver regulations. accident, were released.
Whenever in part 325 of subchapter A (2) Copies of all accident reports re-
or in this subchapter a duty is pre- quired by State or other governmental
scribed for a driver or a prohibition is entities or insurers.
imposed upon the driver, it shall be the (Approved by the Office of Management and
duty of the motor carrier to require ob- Budget under control number 2126–0009)
servance of such duty or prohibition. If [69 FR 16719, Mar. 30, 2004]
the motor carrier is a driver, the driver
shall likewise be bound. § 390.16 [Reserved]
§ 390.13 Aiding or abetting violations. § 390.17 Additional equipment and ac-
cessories.
No person shall aid, abet, encourage,
or require a motor carrier or its em- Nothing in this subchapter shall be
ployees to violate the rules of this construed to prohibit the use of addi-
chapter. tional equipment and accessories, not
inconsistent with or prohibited by this
§ 390.15 Assistance in investigations subchapter, provided such equipment
and special studies. and accessories do not decrease the
(a) A motor carrier must make all safety of operation of the commercial
records and information pertaining to motor vehicles on which they are used.
an accident available to an authorized [53 FR 18052, May 19, 1988, as amended at 60
representative or special agent of the FR 38744, July 28, 1995. Redesignated at 65 FR
Federal Motor Carrier Safety Adminis- 35296, June 2, 2000]
tration, an authorized State or local
enforcement agency representative or § 390.19 Motor carrier identification
authorized third party representative, report.
upon request or as part of any inves- (a) Each motor carrier that conducts
tigation within such time as the re- operations in interstate commerce (or
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quest or investigation may specify. A intrastate commerce if the carrier re-


motor carrier shall give an authorized quires a Safety Permit as per § 385.400

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§ 390.21 49 CFR Ch. III (10–1–07 Edition)

of this chapter) must file a Motor Car- electronically or by mail separately to


rier Identification Report, Form MCS– the address mentioned in this section.
150, or the Combined Motor Carrier (d) Only the legal name or a single
Identification Report and HM Permit trade name of the motor carrier may
Application, Form MCS–150B for per- be used on the motor carrier identifica-
mitted carriers, at the following times: tion report (Form MCS–150 or MCS–
(1) Before it begins operations; and 150B).
(2) Every 24 months, according to the (e) A motor carrier that fails to file a
following schedule: Motor Carrier Identification Report,
Form MCS–150, or the Combined Motor
USDOT Number
ending in Must file by last day of; Carrier Identification Report and HM
Permit Application, Form MCS–150B,
1 ............................. January or furnishes misleading information or
2 ............................. February
3 ............................. March makes false statements upon Form
4 ............................. April MCS–150 or Form MCS–150B, is subject
5 ............................. May to the penalties prescribed in 49 U.S.C.
6 ............................. June
7 ............................. July 521(b)(2)(B).
8 ............................. August (f) Upon receipt and processing of the
9 ............................. September Motor Carrier Identification Report,
0 ............................. October
Form MCS–150, or the Combined Motor
Carrier Identification Report and HM
(3) If the next-to-last digit of its
Permit Application, Form MCS–150B,
USDOT number is odd, the motor car-
the FMCSA will issue the motor car-
rier shall file its update in every odd-
rier an identification number (USDOT
numbered calendar year. If the next-to-
Number). The motor carrier must dis-
last digit of the USDOT number is
play the number on each self-propelled
even, the motor carrier shall file its
CMV, as defined in § 390.5, along with
update in every even-numbered cal-
the additional information required by
endar year.
(b) The Motor Carrier Identification § 390.21.
(g) A motor carrier that registers its
Report, Form MCS–150, and the Com-
bined Motor Carrier Identification Re- vehicles in a State that participates in
port and HM Permit Application, Form the Performance and Registration In-
MCS–150B, with complete instructions, formation Systems Management
are available from the FMCSA Web site (PRISM) program (authorized under
at: http://www.fmcsa.dot.gov (Keyword section 4004 of the Transportation Eq-
‘‘MCS–150’’ or ‘‘MCS–150B’’); from all uity Act for the 21st Century [(Public
FMCSA Service Centers and Division Law 105–178, 112 Stat. 107]) is exempt
offices nationwide; or by calling 1–800– from the requirements of this section,
832–5660. provided it files all the required infor-
(c) The completed Motor Carrier mation with the appropriate State of-
Identification Report, Form MCS–150, fice.
or Combined Motor Carrier Identifica- [Approved by the Office of Management and
tion Report and HM Permit Applica- Budget under control number 2126–0013]
tion, Form MCS–150B, must be filed [65 FR 35296, June 2, 2000, as amended at 65
with FMCSA Office of Information FR 70514, Nov. 24, 2000; 67 FR 9416, Mar. 1,
Management. 2002; 69 FR 39372, June 30, 2004; 72 FR 55702,
(1) The form may be filed electroni- Oct. 1, 2007]
cally according to the instructions at
the agency’s web site, or it may be sent § 390.21 Marking of CMVs.
to Federal Motor Carrier Safety Ad- (a) General. Every self-propelled
ministration, Office of Information CMV, as defined in § 390.5, subject to
Technology (MC–RI), 1200 New Jersey subchapter B of this chapter must be
Ave., SE., Washington, DC 20590–0001. marked as specified in paragraphs (b),
(2) A for-hire motor carrier should (c), and (d) of this section.
submit the Form MCS–150, or Form (b) Nature of marking. The marking
MCS–150B, along with its application must display the following informa-
for operating authority (Form OP–1 or tion:
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OP–2), to the appropriate address ref- (1) The legal name or a single trade
erenced on that form, or may submit it name of the motor carrier operating

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Federal Motor Carrier Safety Administration, DOT § 390.21

the self-propelled CMV, as listed on the and legibility requirements of para-


motor carrier identification report graph (c) of this section, and such
(Form MCS–150) and submitted in ac- marking must be maintained as re-
cordance with § 390.19. quired by paragraph (c)(4) of this sec-
(2) The motor carrier identification tion.
number issued by the FMCSA, preceded (e) Rented CMVs. A motor carrier op-
by the letters ‘‘USDOT’’. erating a self-propelled CMV under a
(3) If the name of any person other rental agreement having a term not in
than the operating carrier appears on excess of 30 calendar days meets the re-
the CMV, the name of the operating quirements of this section if:
carrier must be followed by the infor- (1) The CMV is marked in accordance
mation required by paragraphs (b)(1), with the provisions of paragraphs (b)
and (2) of this section, and be preceded through (d) of this section; or
by the words ‘‘operated by.’’ (2) The CMV is marked as set forth in
(4) Other identifying information paragraph (e)(2)(i) through (iv) of this
may be displayed on the vehicle if it is section:
not inconsistent with the information (i) The legal name or a single trade
required by this paragraph. name of the lessor is displayed in ac-
(5) Each motor carrier shall meet the cordance with paragraphs (c) and (d) of
following requirements pertaining to this section.
its operation: (ii) The lessor’s identification num-
(i) All CMVs that are part of a motor ber preceded by the letters ‘‘USDOT’’ is
carrier’s existing fleet on July 3, 2000, displayed in accordance with para-
and which are marked with an ICCMC graphs (c) and (d) of this section; and
number must come into compliance (iii) The rental agreement entered
with paragraph (b)(2) of this section by into by the lessor and the renting
July 3, 2002. motor carrier conspicuously contains
(ii) All CMVs that are part of a motor the following information:
carrier’s existing fleet on July 3, 2000, (A) The name and complete physical
and which are not marked with the address of the principal place of busi-
legal name or a single trade name on ness of the renting motor carrier;
both sides of their CMVs, as shown on (B) The identification number issued
the Motor Carrier Identification Re- the renting motor carrier by the
port, Form MCS–150, must come into FMCSA, preceded by the letters
compliance with paragraph (b)(1) of ‘‘USDOT,’’ if the motor carrier has
this section by July 5, 2005. been issued such a number. In lieu of
(iii) All CMVs added to a motor car- the identification number required in
rier’s fleet on or after July 3, 2000, this paragraph, the following may be
must meet the requirements of this shown in the rental agreement:
section before being put into service (1) Information which indicates
and operating on public ways. whether the motor carrier is engaged
(c) Size, shape, location, and color of in ‘‘interstate’’ or ‘‘intrastate’’ com-
marking. The marking must— merce; and
(1) Appear on both sides of the self- (2) Information which indicates
propelled CMV; whether the renting motor carrier is
(2) Be in letters that contrast sharply transporting hazardous materials in
in color with the background on which the rented CMV;
the letters are placed; (C) The sentence: ‘‘This lessor co-
(3) Be readily legible, during daylight operates with all Federal, State, and
hours, from a distance of 50 feet (15.24 local law enforcement officials nation-
meters) while the CMV is stationary; wide to provide the identity of cus-
and tomers who operate this rental CMV’’;
(4) Be kept and maintained in a man- and
ner that retains the legibility required (iv) The rental agreement entered
by paragraph (c)(3) of this section. into by the lessor and the renting
(d) Construction and durability. The motor carrier is carried on the rental
marking may be painted on the CMV or CMV during the full term of the rental
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may consist of a removable device, if agreement. See the leasing regulations


that device meets the identification at 49 CFR 376 for information that

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§ 390.23 49 CFR Ch. III (10–1–07 Edition)

should be included in all leasing docu- date of the initial declaration of the
ments. emergency or the exemption from the
(f) Driveaway services. In driveaway regulations by the FMCSA Field Ad-
services, a removable device may be af- ministrator, whichever is less.
fixed on both sides or at the rear of a (3) Tow trucks responding to emer-
single driven vehicle. In a combination gencies. (i) The exemption provided by
driveaway operation, the device may be paragraph (a)(3) of this section is effec-
affixed on both sides of any one unit or tive only when a request has been made
at the rear of the last unit. The remov- by a Federal, State or local police offi-
able device must display the legal cer for tow trucks to move wrecked or
name or a single trade name of the disabled motor vehicles.
motor carrier and the motor carrier’s (ii) This exemption shall not exceed
USDOT number. the length of the motor carrier’s or
[65 FR 35296, June 2, 2000] driver’s direct assistance in providing
emergency relief, or 24 hours from the
§ 390.23 Relief from regulations. time of the initial request for assist-
(a) Parts 390 through 399 of this chap- ance by the Federal, State or local po-
ter shall not apply to any motor car- lice officer, whichever is less.
rier or driver operating a commercial (b) Upon termination of direct assist-
motor vehicle to provide emergency re- ance to the regional or local emer-
lief during an emergency, subject to gency relief effort, the motor carrier or
the following time limits: driver is subject to the requirements of
(1) Regional emergencies. (i) The ex- parts 390 through 399 of this chapter,
emption provided by paragraph (a)(1) of with the following exception: A driver
this section is effective only when: may return empty to the motor car-
(A) An emergency has been declared rier’s terminal or the driver’s normal
by the President of the United States, work reporting location without com-
the Governor of a State, or their au- plying with parts 390 through 399 of
thorized representatives having au- this chapter. However, a driver who in-
thority to declare emergencies; or forms the motor carrier that he or she
(B) The FMCSA Field Administrator needs immediate rest must be per-
has declared that a regional emergency mitted at least 10 consecutive hours off
exists which justifies an exemption
duty before the driver is required to re-
from parts 390 through 399 of this chap-
turn to such terminal or location. Hav-
ter.
ing returned to the terminal or other
(ii) Except as provided in § 390.25, this
location, the driver must be relieved of
exemption shall not exceed the dura-
all duty and responsibilities. Direct as-
tion of the motor carrier’s or driver’s
sistance terminates when a driver or
direct assistance in providing emer-
gency relief, or 30 days from the date of commercial motor vehicle is used in
the initial declaration of the emer- interstate commerce to transport
gency or the exemption from the regu- cargo not destined for the emergency
lations by the FMCSA Field Adminis- relief effort, or when the motor carrier
trator, whichever is less. dispatches such driver or commercial
(2) Local emergencies. (i) The exemp- motor vehicle to another location to
tion provided by paragraph (a)(2) of begin operations in commerce.
this section is effective only when: (c) When the driver has been relieved
(A) An emergency has been declared of all duty and responsibilities upon
by a Federal, State or local govern- termination of direct assistance to a
ment official having authority to de- regional or local emergency relief ef-
clare an emergency; or fort, no motor carrier shall permit or
(B) The FMCSA Field Administrator require any driver used by it to drive
has declared that a local emergency ex- nor shall any such driver drive in com-
ists which justifies an exemption from merce until:
parts 390 through 399 of this chapter. (1) The driver has met the require-
(ii) This exemption shall not exceed ments of §§ 395.3(a) and 395.5(a) of this
the duration of the motor carrier’s or chapter; and
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driver’s direct assistance in providing (2) The driver has had at least 34 con-
emergency relief, or 5 days from the secutive hours off-duty when:

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Federal Motor Carrier Safety Administration, DOT § 390.29

(i) The driver has been on duty for hour period contained in § 390.23(a)(3).
more than 60 hours in any 7 consecu- Any motor carrier or driver seeking to
tive days at the time the driver is re- extend the 30-day limit shall obtain ap-
lieved of all duty if the employing proval from the FMCSA Field Adminis-
motor carrier does not operate every trator in the region in which the motor
day in the week, or carrier’s principal place of business is
(ii) The driver has been on duty for located before the expiration of the 30-
more than 70 hours in any 8 consecu- day period. The motor carrier or driver
tive days at the time the driver is re- shall give full details of the additional
lieved of all duty if the employing relief requested. The FMCSA Field Ad-
motor carrier operates every day in the ministrator shall determine if such re-
week. lief is necessary taking into account
[57 FR 33647, July 30, 1992, as amended at 60 both the severity of the ongoing emer-
FR 38744, July 28, 1995; 68 FR 22514, Apr. 28, gency and the nature of the relief serv-
2003; 70 FR 50070, Aug. 25, 2005] ices to be provided by the carrier or
§ 390.25 Extension of relief from regu- driver. If the FMCSA Field Adminis-
lations—emergencies. trator approves an extension of the ex-
emption, he or she shall establish a
The FMCSA Field Administrator new time limit and place on the motor
may extend the 30-day time period of
carrier or driver any other restrictions
the exemption contained in
deemed necessary.
§ 390.23(a)(1), but not the 5-day time pe-
riod contained in § 390.23(a)(2) or the 24- [57 FR 33647, July 30, 1992]

§ 390.27 Locations of motor carrier safety service centers.


Service center Territory included Location of office

Eastern .................. CT, DC, DE, MA, MD, ME, NJ, NH, NY, PA, PR, 802 Cromwell Park Drive, Suite N, Glen Burnie, MD
RI, VA, VT, Virgin Islands, WV. 21061.
Midwestern ............ IA, IL, IN, KS, MI, MO, MN, NE, OH, WI .................. 19900 Governors Drive, Suite 210, Olympia Fields,
IL 60461–1021.
Southern ................ AL, AR, FL, GA, KY, LA, MS, NC, OK, SC, TN, TX 1800 Century Boulevard, Suite 1700, Atlanta, GA
30345–3220.
Western ................. American Samoa, AK, AZ, CA, CO, Guam, HI, ID, Golden Hills Office Centre, 12600 West Colfax Ave-
Mariana Islands, MT, ND, NM, NV, OR, SD, UT, nue, Suite B–300, Lakewood, CO 80215.
WA, WY.

NOTE 1: Canadian carriers, for information regarding proper service center, contact a
FMCSA division (State) office in AK, ME, MI, MT, NY, ND, VT, or WA.
NOTE 2: Mexican carriers, for information regarding proper service center, contact a
FMCSA division (State) office in AZ, CA, NM, or TX.
[65 FR 35297, June 2, 2000, as amended at 67 FR 61824, Oct. 2, 2002; 67 FR 63019, Oct. 9, 2002;
72 FR 55702, Oct. 1, 2007]

§ 390.29 Location of records or docu- quest by a special agent or authorized


ments. representative of the Federal Motor
(a) A motor carrier with multiple of- Carrier Safety Administration at the
fices or terminals may maintain the motor carrier’s principal place of busi-
records and documents required by this ness or other location specified by the
subchapter at its principal place of agent or representative within 48 hours
business, a regional office, or driver after a request is made. Saturdays,
work-reporting location unless other- Sundays, and Federal holidays are ex-
wise specified in this subchapter. cluded from the computation of the 48-
(b) All records and documents re- hour period of time.
quired by this subchapter which are [63 FR 33276, June 18, 1998]
maintained at a regional office or driv-
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er work-reporting location shall be


made available for inspection upon re-

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§ 390.31 49 CFR Ch. III (10–1–07 Edition)

§ 390.31 Copies of records or docu- can produce, upon demand, a computer


ments. printout of the required data.
(a) All records and documents re-
quired to be maintained under this sub- § 390.33 Commercial motor vehicles
chapter must be preserved in their used for purposes other than de-
fined.
original form for the periods specified,
unless the records and documents are Whenever a commercial motor vehi-
suitably photographed and the micro- cle of one type is used to perform the
film is retained in lieu of the original functions normally performed by a
record for the required retention pe- commercial motor vehicle of another
riod. type, the requirements of this sub-
(b) To be acceptable in lieu of origi- chapter and part 325 of subchapter A
nal records, photographic copies of shall apply to the commercial motor
records must meet the following min- vehicle and to its operation in the
imum requirements: same manner as though the commer-
(1) Photographic copies shall be no
cial motor vehicle were actually a
less readily accessible than the origi-
commercial motor vehicle of the latter
nal record or document as normally
filed or preserved would be and suitable type. Example: If a commercial motor
means or facilities shall be available to vehicle other than a bus is used to per-
locate, identify, read, and reproduce form the functions normally performed
such photographic copies. by a bus, the regulations pertaining to
(2) Any significant characteristic, buses and to the transportation of pas-
feature or other attribute of the origi- sengers shall apply to that commercial
nal record or document, which photog- motor vehicle.
raphy in black and white will not pre- [53 FR 18052, May 19, 1988, as amended at 60
serve, shall be clearly indicated before FR 38744, July 28, 1995]
the photograph is made.
(3) The reverse side of printed forms § 390.35 Certificates, reports, and
need not be copied if nothing has been records: Falsification, reproduction,
added to the printed matter common to or alteration.
all such forms, but an identified speci-
No motor carrier, its agents, officers,
men of each form shall be on the film
representatives, or employees shall
for reference.
(4) Film used for photographing cop- make or cause to make—
ies shall be of permanent record-type (a) A fraudulent or intentionally
meeting in all respects the minimum false statement on any application,
specifications of the National Bureau certificate, report, or record required
of Standards, and all processes rec- by part 325 of subchapter A or this sub-
ommended by the manufacturer shall chapter;
be observed to protect it from deterio- (b) A fraudulent or intentionally
ration or accidental destruction. false entry on any application, certifi-
(5) Each roll of film shall include a cate, report, or record required to be
microfilm of a certificate or certifi- used, completed, or retained, to comply
cates stating that the photographs are with any requirement of this sub-
direct or facsimile reproductions of the chapter or part 325 of subchapter A; or
original records. Such certificate(s) (c) A reproduction, for fraudulent
shall be executed by a person or per- purposes, of any application, certifi-
sons having personal knowledge of the cate, report, or record required by this
material covered thereby. subchapter or part 325 of subchapter A.
(c) All records and documents re-
quired to be maintained under this sub- § 390.37 Violation and penalty.
chapter may be destroyed after they
have been suitably photographed for Any person who violates the rules set
preservation. forth in this subchapter or part 325 of
(d) Exception. All records except those subchapter A may be subject to civil or
requiring a signature may be main- criminal penalties.
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tained through the use of computer


technology provided the motor carrier Subpart C [Reserved]

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Federal Motor Carrier Safety Administration, DOT § 391.2

PART 391—QUALIFICATIONS OF 391.67 Farm vehicle drivers of articulated


commercial motor vehicles.
DRIVERS AND LONGER COM- 391.68 Private motor carrier of passengers
BINATION VEHICLE (LCV) DRIVER (nonbusiness).
INSTRUCTORS 391.69 Private motor carrier of passengers
(business).
Subpart A—General 391.71 [Reserved]

Sec. AUTHORITY: 49 U.S.C. 322, 504, 508, 31133,


391.1 Scope of the rules in this part; addi- 31136 and 31502; Sec. 4007(b) of Pub. L. 102–240
tional qualifications; duties of carrier- (105 Stat. 2152); Sec. 114, Pub. L. 103–311 (108
drivers. Stat. 1673, 1677); and 49 CFR 1.73.
391.2 General exemptions. SOURCE: 35 FR 6460, Apr. 22, 1970, unless
otherwise noted.
Subpart B—Qualification and
Disqualification of Drivers EDITORIAL NOTE: Nomenclature changes to
part 391 appear at 66 FR 49873, Oct. 1, 2001.
391.11 General qualifications of drivers.
391.13 Responsibilities of drivers.
391.15 Disqualification of drivers. Subpart A—General
Subpart C—Background and Character § 391.1 Scope of the rules in this part;
additional qualifications; duties of
391.21 Application for employment. carrier-drivers.
391.23 Investigation and inquiries.
391.25 Annual inquiry and review of driving
(a) The rules in this part establish
record. minimum qualifications for persons
391.27 Record of violations. who drive commercial motor vehicles
as, for, or on behalf of motor carriers.
Subpart D—Tests The rules in this part also establish
minimum duties of motor carriers with
391.31 Road test.
391.33 Equivalent of road test. respect to the qualifications of their
drivers.
Subpart E—Physical Qualifications and (b) A motor carrier who employs
Examinations himself/herself as a driver must comply
with both the rules in this part that
391.41 Physical qualifications for drivers.
apply to motor carriers and the rules
391.43 Medical examination; certificate of
physical examination. in this part that apply to drivers.
391.45 Persons who must be medically exam- [35 FR 6460, Apr. 22, 1970, as amended at 53
ined and certified. FR 18057, May 19, 1988; 60 FR 38744, July 28,
391.47 Resolution of conflicts of medical 1995]
evaluation.
391.49 Alternative physical qualification § 391.2 General exemptions.
standards for the loss or impairment of
limbs. (a) Farm custom operation. The rules
in this part do not apply to a driver
Subpart F—Files and Records who drives a commercial motor vehicle
391.51 General requirements for driver qual- controlled and operated by a person en-
ification files. gaged in custom-harvesting operations,
391.53 Driver investigation history file if the commercial motor vehicle is used
391.55 LCV Driver-Instructor qualification to—
files. (1) Transport farm machinery, sup-
plies, or both, to or from a farm for
Subpart G—Limited Exemptions custom-harvesting operations on a
391.61 Drivers who were regularly employed farm; or
before January 1, 1971. (2) Transport custom-harvested crops
391.62 Limited exemptions for intra-city to storage or market.
zone drivers. (b) Apiarian industries. The rules in
391.63 Multiple-employer drivers.
this part do not apply to a driver who
391.64 Grandfathering for certain drivers
participating in vision and diabetes waiv- is operating a commercial motor vehi-
cle controlled and operated by a bee-
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er study programs.
391.65 Drivers furnished by other motor car- keeper engaged in the seasonal trans-
riers. portation of bees.

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§ 391.11 49 CFR Ch. III (10–1–07 Edition)

(c) Certain farm vehicle drivers. The (8) Has successfully completed a driv-
rules in this part do not apply to a er’s road test and has been issued a cer-
farm vehicle driver except a farm vehi- tificate of driver’s road test in accord-
cle driver who drives an articulated ance with § 391.31, or has presented an
(combination) commercial motor vehi- operator’s license or a certificate of
cle, as defined in § 390.5. (For limited road test which the motor carrier that
exemptions for farm vehicle drivers of employs him/her has accepted as equiv-
articulated commercial motor vehicles, alent to a road test in accordance with
see § 391.67.) § 391.33.
[36 FR 24219, Dec. 22, 1971, as amended at 37 [35 FR 6460, Apr. 22, 1970, as amended at 35
FR 26112, Dec. 8, 1972; 54 FR 12202, Mar. 24, FR 17420, Nov. 13, 1970; 35 FR 19181, Dec. 18,
1989; 60 FR 38745, July 28, 1995; 61 FR 13346, 1970; 36 FR 222, Jan. 7, 1971, 36 FR 24220, Dec.
Mar. 26, 1996; 61 FR 17253, Apr. 19, 1996] 22, 1971; 45 FR 46424, July 10, 1980; 52 FR 20589,
June 1, 1987; 59 FR 60323, Nov. 23, 1994; 60 FR
38744, 38745, July 28, 1995; 63 FR 33276, June
Subpart B—Qualification and 18, 1998]
Disqualification of Drivers
§ 391.13 Responsibilities of drivers.
§ 391.11 General qualifications of driv-
ers. In order to comply with the require-
ments of § 392.9(a) and § 393.9 of this
(a) A person shall not drive a com-
subchapter, a motor carrier shall not
mercial motor vehicle unless he/she is
require or permit a person to drive a
qualified to drive a commercial motor
commercial motor vehicle unless the
vehicle. Except as provided in § 391.63, a
person—
motor carrier shall not require or per-
(a) Can, by reason of experience,
mit a person to drive a commercial
training, or both, determine whether
motor vehicle unless that person is
the cargo he/she transports (including
qualified to drive a commercial motor
baggage in a passenger-carrying com-
vehicle.
mercial motor vehicle) has been prop-
(b) Except as provided in subpart G of
erly located, distributed, and secured
this part, a person is qualified to drive
in or on the commercial motor vehicle
a motor vehicle if he/she—
he/she drives;
(1) Is at least 21 years old;
(b) Is familiar with methods and pro-
(2) Can read and speak the English cedures for securing cargo in or on the
language sufficiently to converse with commercial motor vehicle he/she
the general public, to understand high- drives.
way traffic signs and signals in the
English language, to respond to official [63 FR 33277, June 18, 1998]
inquiries, and to make entries on re-
ports and records; § 391.15 Disqualification of drivers.
(3) Can, by reason of experience, (a) General. A driver who is disquali-
training, or both, safely operate the fied shall not drive a commercial
type of commercial motor vehicle he/ motor vehicle. A motor carrier shall
she drives; not require or permit a driver who is
(4) Is physically qualified to drive a disqualified to drive a commercial
commercial motor vehicle in accord- motor vehicle.
ance with subpart E—Physical Quali- (b) Disqualification for loss of driving
fications and Examinations of this privileges. (1) A driver is disqualified for
part; the duration of the driver’s loss of his/
(5) Has a currently valid commercial her privilege to operate a commercial
motor vehicle operator’s license issued motor vehicle on public highways, ei-
only by one State or jurisdiction; ther temporarily or permanently, by
(6) Has prepared and furnished the reason of the revocation, suspension,
motor carrier that employs him/her withdrawal, or denial of an operator’s
with the list of violations or the cer- license, permit, or privilege, until that
tificate as required by § 391.27; operator’s license, permit, or privilege
(7) Is not disqualified to drive a com- is restored by the authority that re-
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mercial motor vehicle under the rules voked, suspended, withdrew, or denied
in § 391.15; and it.

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Federal Motor Carrier Safety Administration, DOT § 391.15

(2) A driver who receives a notice (v) A felony involving the use of a
that his/her license, permit, or privi- commercial motor vehicle.
lege to operate a commercial motor ve- (3) Duration of disqualification—(i)
hicle has been revoked, suspended, or First offenders. A driver is disqualified
withdrawn shall notify the motor car- for 1 year after the date of conviction
rier that employs him/her of the con- or forfeiture of bond or collateral if,
tents of the notice before the end of the during the 3 years preceding that date,
business day following the day the the driver was not convicted of, or did
driver received it. not forfeit bond or collateral upon a
(c) Disqualification for criminal and charge of an offense that would dis-
other offenses—(1) General rule. A driver qualify the driver under the rules of
who is convicted of (or forfeits bond or this section. Exemption. The period of
collateral upon a charge of) a disquali- disqualification is 6 months if the con-
fying offense specified in paragraph viction or forfeiture of bond or collat-
(c)(2) of this section is disqualified for eral soley concerned the transportation
the period of time specified in para- or possession of substances named in
graph (c)(3) of this section, if— paragraph (c)(2)(iii) of this section.
(i) The offense was committed during (ii) Subsequent offenders. A driver is
on-duty time as defined in § 395.2(a) of disqualified for 3 years after the date of
this subchapter or as otherwise speci- his/her conviction or forfeiture of bond
fied; and or collateral if, during the 3 years pre-
(ii) The driver is employed by a ceding that date, he/she was convicted
motor carrier or is engaged in activi- of, or forfeited bond or collateral upon
ties that are in furtherance of a com- a charge of, an offense that would dis-
mercial enterprise in interstate, intra- qualify him/her under the rules in this
state, or foreign commerce; section.
(2) Disqualifying offenses. The fol- (d) Disqualification for violation of out-
lowing offenses are disqualifying of- of-service orders—(1) General rule. A
fenses: driver who is convicted of violating an
(i) Driving a commercial motor vehi- out-of-service order is disqualified for
cle while under the influence of alco- the period of time specified in para-
hol. This shall include: graph (d)(2) of this section.
(A) Driving a commercial motor ve- (2) Duration of disqualification for vio-
hicle while the person’s alcohol con- lation of out-of-service orders—(i) First
centration is 0.04 percent or more; violation. A driver is disqualified for
(B) Driving under the influence of al- not less than 90 days nor more than one
cohol, as prescribed by State law; or year if the driver is convicted of a first
(C) Refusal to undergo such testing violation of an out-of-service order.
as is required by any State or jurisdic- (ii) Second violation. A driver is dis-
tion in the enforcement of qualified for not less than one year nor
§ 391.15(c)(2)(i) (A) or (B), or § 392.5(a)(2). more than five years if, during any 10-
(ii) Driving a commercial motor vehi- year period, the driver is convicted of
cle under the influence of a 21 CFR two violations of out-of-service orders
1308.11 Schedule I identified controlled in separate incidents.
substance, an amphetamine, a narcotic (iii) Third or subsequent violation. A
drug, a formulation of an amphet- driver is disqualified for not less than
amine, or a derivative of a narcotic three years nor more than five years if,
drug; during any 10-year period, the driver is
(iii) Transportation, possession, or convicted of three or more violations
unlawful use of a 21 CFR 1308.11 Sched- of out-of-service orders in separate in-
ule I identified controlled substance, cidents.
amphetamines, narcotic drugs, formu- (iv) Special rule for hazardous materials
lations of an amphetamine, or deriva- and passenger offenses. A driver is dis-
tives of narcotic drugs while the driver qualified for a period of not less than
is on duty, as the term on-duty time is 180 days nor more than two years if the
defined in § 395.2 of this subchapter; driver is convicted of a first violation
(iv) Leaving the scene of an accident of an out-of-service order while trans-
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while operating a commercial motor porting hazardous materials required


vehicle; or to be placarded under the Hazardous

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§ 391.21 49 CFR Ch. III (10–1–07 Edition)

Materials Transportation Act (49 cense or permit that has been issued to
U.S.C. 5101 et seq.), or while operating the applicant;
commercial motor vehicles designed to (6) The nature and extent of the ap-
transport more than 15 passengers, in- plicant’s experience in the operation of
cluding the driver. A driver is disquali- motor vehicles, including the type of
fied for a period of not less than three equipment (such as buses, trucks,
years nor more than five years if, dur- truck tractors, semitrailers, full trail-
ing any 10-year period, the driver is ers, and pole trailers) which he/she has
convicted of any subsequent violations operated;
of out-of-service orders, in separate in- (7) A list of all motor vehicle acci-
cidents, while transporting hazardous dents in which the applicant was in-
materials required to be placarded volved during the 3 years preceding the
under the Hazardous Materials Trans- date the application is submitted,
portation Act, or while operating com- specifying the date and nature of each
mercial motor vehicles designed to accident and any fatalities or personal
transport more than 15 passengers, in- injuries it caused;
cluding the driver. (8) A list of all violations of motor
[37 FR 24902, Nov. 23, 1972, as amended at 49 vehicle laws or ordinances (other than
FR 44215, Nov. 5, 1984; 51 FR 8200, Mar. 10, violations involving only parking) of
1986; 53 FR 18057, May 19, 1988; 53 FR 39051, which the applicant was convicted or
Oct. 4, 1988; 54 FR 40788, Oct. 3, 1989; 59 FR forfeited bond or collateral during the 3
26028, May 18, 1994; 60 FR 38744, 38745, July 28, years preceding the date the applica-
1995; 62 FR 37152, July 11, 1997; 63 FR 33277,
tion is submitted;
June 18, 1998]
(9) A statement setting forth in de-
tail the facts and circumstances of any
Subpart C—Background and denial, revocation, or suspension of any
Character license, permit, or privilege to operate
a motor vehicle that has been issued to
§ 391.21 Application for employment. the applicant, or a statement that no
(a) Except as provided in subpart G of such denial, revocation, or suspension
this part, a person shall not drive a has occurred;
commercial motor vehicle unless he/ (10)(i) A list of the names and ad-
she has completed and furnished the dresses of the applicant’s employers
motor carrier that employs him/her during the 3 years preceding the date
with an application for employment the application is submitted,
that meets the requirements of para- (ii) The dates he or she was employed
graph (b) of this section. by that employer,
(b) The application for employment (iii) The reason for leaving the em-
shall be made on a form furnished by ploy of that employer,
the motor carrier. Each application (iv) After October 29, 2004, whether
form must be completed by the appli- the (A) Applicant was subject to the
cant, must be signed by him/her, and FMCSRs while employed by that pre-
must contain the following informa- vious employer,
tion: (B) Job was designated as a safety
(1) The name and address of the em- sensitive function in any DOT regu-
ploying motor carrier; lated mode subject to alcohol and con-
(2) The applicant’s name, address, trolled substances testing require-
date of birth, and social security num- ments as required by 49 CFR part 40;
ber; (11) For those drivers applying to op-
(3) The addresses at which the appli- erate a commercial motor vehicle as
cant has resided during the 3 years pre- defined by Part 383 of this subchapter,
ceding the date on which the applica- a list of the names and addresses of the
tion is submitted; applicant’s employers during the 7-year
(4) The date on which the application period preceding the 3 years contained
is submitted; in paragraph (b)(10) of this section for
(5) The issuing State, number, and which the applicant was an operator of
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expiration date of each unexpired com- a commercial motor vehicle, together


mercial motor vehicle operator’s li- with the dates of employment and the

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Federal Motor Carrier Safety Administration, DOT § 391.23

reasons for leaving such employment; employers during the preceding three
and years.
(12) The following certification and (b) A copy of the driver record(s) ob-
signature line, which must appear at tained in response to the inquiry or in-
the end of the application form and be quiries to each State driver record
signed by the applicant: agency required by paragraph (a)(1) of
this section must be placed in the driv-
This certifies that this application was
er qualification file within 30 days of
completed by me, and that all entries on it
and information in it are true and complete the date the driver’s employment be-
to the best of my knowledge. gins and be retained in compliance
——————————————————————— with § 391.51. If no driving record exists
(Date) from the State or States, the motor
——————————————————————— carrier must document a good faith ef-
(Applicant’s signature) fort to obtain such information, and
certify that no record exists for that
(c) A motor carrier may require an
driver in that State. The inquiry to the
applicant to provide information in ad-
State driver record agencies must be
dition to the information required by
made in the form and manner each
paragraph (b) of this section on the ap-
agency prescribes.
plication form.
(c)(1) Replies to the investigations of
(d) Before an application is sub- the driver’s safety performance history
mitted, the motor carrier must inform required by paragraph (a)(2) of this sec-
the applicant that the information he/ tion, or documentation of good faith ef-
she provides in accordance with para- forts to obtain the investigation data,
graph (b)(10) of this section may be must be placed in the driver investiga-
used, and the applicant’s previous em- tion history file, after October 29, 2004,
ployers will be contacted, for the pur- within 30 days of the date the driver’s
pose of investigating the applicant’s employment begins. Any period of time
safety performance history informa- required to exercise the driver’s due
tion as required by paragraphs (d) and process rights to review the informa-
(e) of § 391.23. The prospective employer tion received, request a previous em-
must also notify the driver in writing ployer to correct or include a rebuttal,
of his/her due process rights as speci- is separate and apart from this 30-day
fied in § 391.23(i) regarding information requirement to document investigation
received as a result of these investiga- of the driver safety performance his-
tions. tory data.
[35 FR 6460, Apr. 22, 1970, as amended at 35 (2) The investigation may consist of
FR 17420, Nov. 13, 1970; 52 FR 20589, June 1, personal interviews, telephone inter-
1987; 60 FR 38744, July 28, 1995; 69 FR 16719, views, letters, or any other method for
Mar. 30, 2004] investigating that the carrier deems
appropriate. Each motor carrier must
§ 391.23 Investigation and inquiries.
make a written record with respect to
(a) Except as provided in subpart G of each previous employer contacted, or
this part, each motor carrier shall good faith efforts to do so. The record
make the following investigations and must include the previous employer’s
inquiries with respect to each driver it name and address, the date the pre-
employs, other than a person who has vious employer was contacted, or the
been a regularly employed driver of the attempts made, and the information
motor carrier for a continuous period received about the driver from the pre-
which began before January 1, 1971: vious employer. Failures to contact a
(1) An inquiry into the driver’s driv- previous employer, or of them to pro-
ing record during the preceding 3 years vide the required safety performance
to the appropriate agency of every history information, must be docu-
State in which the driver held a motor mented. The record must be main-
vehicle operator’s license or permit tained pursuant to § 391.53.
during those 3 years; and (3) Prospective employers should re-
(2) An investigation of the driver’s port failures of previous employers to
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safety performance history with De- respond to an investigation to the


partment of Transportation regulated FMCSA following procedures specified

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§ 391.23 49 CFR Ch. III (10–1–07 Edition)

at § 386.12 of this chapter and keep a (2) Whether the driver failed to un-
copy of such reports in the Driver In- dertake or complete a rehabilitation
vestigation file as part of documenting program prescribed by a substance
a good faith effort to obtain the re- abuse professional (SAP) pursuant to
quired information. § 382.605 of this chapter, or 49 CFR part
(4) Exception. For drivers with no pre- 40, subpart O. If the previous employer
vious employment experience working does not know this information (e.g.,
for a DOT regulated employer during an employer that terminated an em-
the preceding three years, documenta- ployee who tested positive on a drug
tion that no investigation was possible test), the prospective motor carrier
must be placed in the driver history in- must obtain documentation of the driv-
vestigation file, after October 29, 2004, er’s successful completion of the SAP’s
within the required 30 days of the date referral directly from the driver.
the driver’s employment begins. (3) For a driver who had successfully
(d) The prospective motor carrier completed a SAP’s rehabilitation refer-
must investigate, at a minimum, the ral, and remained in the employ of the
information listed in this paragraph referring employer, information on
from all previous employers of the ap- whether the driver had the following
plicant that employed the driver to op- testing violations subsequent to com-
erate a CMV within the previous three pletion of a § 382.605 or 49 CFR part 40,
years. The investigation request must subpart O referral:
contain specific contact information (i) Alcohol tests with a result of 0.04
on where the previous motor carrier or higher alcohol concentration;
employers should send the information (ii) Verified positive drug tests;
requested. (iii) Refusals to be tested (including
(1) General driver identification and verified adulterated or substituted
employment verification information. drug test results).
(2) The data elements as specified in (f) A prospective motor carrier em-
§ 390.15(b)(1) of this chapter for acci- ployer must provide to the previous
dents involving the driver that oc- employer the driver’s written consent
curred in the three-year period pre- meeting the requirements of § 40.321(b)
ceding the date of the employment ap- for the release of the information in
plication. paragraph (e) of this section. If the
(i) Any accidents as defined by § 390.5 driver refuses to provide this written
of this chapter. consent, the prospective motor carrier
(ii) Any accidents the previous em- employer must not permit the driver to
ployer may wish to provide that are re- operate a commercial motor vehicle for
tained pursuant to § 390.15(b)(2), or pur- that motor carrier.
suant to the employer’s internal poli- (g) After October 29, 2004, previous
cies for retaining more detailed minor employers must:
accident information. (1) Respond to each request for the
(e) In addition to the investigations DOT defined information in paragraphs
required by paragraph (d) of this sec- (d) and (e) of this section within 30
tion, the prospective motor carrier em- days after the request is received. If
ployers must investigate the informa- there is no safety performance history
tion listed below in this paragraph information to report for that driver,
from all previous DOT regulated em- previous motor carrier employers are
ployers that employed the driver with- nonetheless required to send a response
in the previous three years from the confirming the non-existence of any
date of the employment application, in such data, including the driver identi-
a safety-sensitive function that re- fication information and dates of em-
quired alcohol and controlled sub- ployment.
stance testing specified by 49 CFR part (2) Take all precautions reasonably
40. necessary to ensure the accuracy of the
(1) Whether, within the previous records.
three years, the driver had violated the (3) Provide specific contact informa-
alcohol and controlled substances pro- tion in case a driver chooses to contact
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hibitions under subpart B of part 382 of the previous employer regarding cor-
this chapter, or 49 CFR part 40. rection or rebuttal of the data.

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Federal Motor Carrier Safety Administration, DOT § 391.23

(4) Keep a record of each request and tive employer must provide this infor-
the response for one year, including the mation to the applicant within five (5)
date, the party to whom it was re- business days of receiving the written
leased, and a summary identifying request. If the prospective employer
what was provided. has not yet received the requested in-
(5) Exception. Until May 1, 2006, car- formation from the previous em-
riers need only provide information for ployer(s), then the five-business days
accidents that occurred after April 29, deadline will begin when the prospec-
2003. tive employer receives the requested
(h) The release of information under safety performance history informa-
this section may take any form that tion. If the driver has not arranged to
reasonably ensures confidentiality, in- pick up or receive the requested
cluding letter, facsimile, or e-mail. The records within thirty (30) days of the
previous employer and its agents and prospective employer making them
insurers must take all precautions rea- available, the prospective motor car-
sonably necessary to protect the driver rier may consider the driver to have
safety performance history records waived his/her request to review the
from disclosure to any person not di- records.
rectly involved in forwarding the (j)(1) Drivers wishing to request cor-
records, except the previous employer’s rection of erroneous information in
insurer, except that the previous em- records received pursuant to paragraph
ployer may not provide any alcohol or (i) of this section must send the re-
controlled substances information to quest for the correction to the previous
the previous employer’s insurer. employer that provided the records to
(i)(1) The prospective employer must the prospective employer.
expressly notify drivers with Depart- (2) After October 29, 2004, the pre-
ment of Transportation regulated em- vious employer must either correct and
ployment during the preceding three
forward the information to the pro-
years—via the application form or
spective motor carrier employer, or no-
other written document prior to any
tify the driver within 15 days of receiv-
hiring decision—that he or she has the
ing a driver’s request to correct the
following rights regarding the inves-
data that it does not agree to correct
tigative information that will be pro-
the data. If the previous employer cor-
vided to the prospective employer pur-
rects and forwards the data as re-
suant to paragraphs (d) and (e) of this
quested, that employer must also re-
section:
tain the corrected information as part
(i) The right to review information
provided by previous employers; of the driver’s safety performance his-
(ii) The right to have errors in the in- tory record and provide it to subse-
formation corrected by the previous quent prospective employers when re-
employer and for that previous em- quests for this information are re-
ployer to re-send the corrected infor- ceived. If the previous employer cor-
mation to the prospective employer; rects the data and forwards it to the
(iii) The right to have a rebuttal prospective motor carrier employer,
statement attached to the alleged erro- there is no need to notify the driver.
neous information, if the previous em- (3) Drivers wishing to rebut informa-
ployer and the driver cannot agree on tion in records received pursuant to
the accuracy of the information. paragraph (i) of this section must send
(2) Drivers who have previous Depart- the rebuttal to the previous employer
ment of Transportation regulated em- with instructions to include the rebut-
ployment history in the preceding tal in that driver’s safety performance
three years, and wish to review pre- history.
vious employer-provided investigative (4) After October 29, 2004, within five
information must submit a written re- business days of receiving a rebuttal
quest to the prospective employer, from a driver, the previous employer
which may be done at any time, includ- must:
ing when applying, or as late as 30 days (i) Forward a copy of the rebuttal to
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after being employed or being notified the prospective motor carrier em-
of denial of employment. The prospec- ployer;

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§ 391.25 49 CFR Ch. III (10–1–07 Edition)

(ii) Append the rebuttal to the driv- the procedures specified for these in-
er’s information in the carrier’s appro- vestigations.
priate file, to be included as part of the (Approved by the Office of Management and
response for any subsequent inves- Budget under control number 2126–0004)
tigating prospective employers for the
[35 FR 6460, Apr. 22, 1970, as amended at 35
duration of the three-year data reten- FR 17420, Nov. 13, 1970; 69 FR 16720, Mar. 30,
tion requirement. 2004; 72 FR 55703, Oct. 1, 2007]
(5) The driver may submit a rebuttal
initially without a request for correc- § 391.25 Annual inquiry and review of
tion, or subsequent to a request for driving record.
correction. (a) Except as provided in subpart G of
(6) The driver may report failures of this part, each motor carrier shall, at
previous employers to correct informa- least once every 12 months, make an
tion or include the driver’s rebuttal as inquiry into the driving record of each
part of the safety performance infor- driver it employs, covering at least the
mation, to the FMCSA following proce- preceding 12 months, to the appro-
dures specified at § 386.12. priate agency of every State in which
(k)(1) The prospective motor carrier the driver held a commercial motor ve-
employer must use the information de- hicle operator’s license or permit dur-
scribed in paragraphs (d) and (e) of this ing the time period.
section only as part of deciding wheth- (b) Except as provided in subpart G of
er to hire the driver. this part, each motor carrier shall, at
(2) The prospective motor carrier em- least once every 12 months, review the
ployer, its agents and insurers must driving record of each driver it em-
ploys to determine whether that driver
take all precautions reasonably nec-
meets minimum requirements for safe
essary to protect the records from dis-
driving or is disqualified to drive a
closure to any person not directly in-
commercial motor vehicle pursuant to
volved in deciding whether to hire the
§ 391.15.
driver. The prospective motor carrier
(1) The motor carrier must consider
employer may not provide any alcohol any evidence that the driver has vio-
or controlled substances information lated any applicable Federal Motor
to the prospective motor carrier em- Carrier Safety Regulations in this sub-
ployer’s insurer. chapter or Hazardous Materials Regu-
(l)(1) No action or proceeding for def- lations (49 CFR chapter I, subchapter
amation, invasion of privacy, or inter- C).
ference with a contract that is based (2) The motor carrier must consider
on the furnishing or use of information the driver’s accident record and any
in accordance with this section may be evidence that the driver has violated
brought against— laws governing the operation of motor
(i) A motor carrier investigating the vehicles, and must give great weight to
information, described in paragraphs violations, such as speeding, reckless
(d) and (e) of this section, of an indi- driving, and operating while under the
vidual under consideration for employ- influence of alcohol or drugs, that indi-
ment as a commercial motor vehicle cate that the driver has exhibited a dis-
driver, regard for the safety of the public.
(ii) A person who has provided such (c) Recordkeeping. (1) A copy of the
information; or response from each State agency to the
(iii) The agents or insurers of a per- inquiry required by paragraph (a) of
son described in paragraph (l)(1)(i) or this section shall be maintained in the
(ii) of this section, except insurers are driver’s qualification file.
not granted a limitation on liability (2) A note, including the name of the
for any alcohol and controlled sub- person who performed the review of the
stance information. driving record required by paragraph
(2) The protections in paragraph (l)(1) (b) of this section and the date of such
of this section do not apply to persons review, shall be maintained in the driv-
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who knowingly furnish false informa- er’s qualification file.


tion, or who are not in compliance with [63 FR 33277, June 18, 1998]

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Federal Motor Carrier Safety Administration, DOT § 391.31

§ 391.27 Record of violations. Subpart D—Tests


(a) Except as provided in subpart G of
§ 391.31 Road test.
this part, each motor carrier shall, at
least once every 12 months, require (a) Except as provided in subpart G, a
each driver it employs to prepare and person shall not drive a commercial
furnish it with a list of all violations of motor vehicle unless he/she has first
motor vehicle traffic laws and ordi- successfully completed a road test and
nances (other than violations involving has been issued a certificate of driver’s
only parking) of which the driver has road test in accordance with this sec-
tion.
been convicted or on account of which
he/she has forfeited bond or collateral (b) The road test shall be given by
the motor carrier or a person des-
during the preceding 12 months.
ignated by it. However, a driver who is
(b) Each driver shall furnish the list a motor carrier must be given the test
required in accordance with paragraph by a person other than himself/herself.
(a) of this section. If the driver has not The test shall be given by a person who
been convicted of, or forfeited bond or is competent to evaluate and deter-
collateral on account of, any violation mine whether the person who takes the
which must be listed, he/she shall so test has demonstrated that he/she is
certify. capable of operating the commercial
(c) The form of the driver’s list or motor vehicle, and associated equip-
certification shall be prescribed by the ment, that the motor carrier intends to
motor carrier. The following form may assign him/her.
be used to comply with this section: (c) The road test must be of sufficient
duration to enable the person who
DRIVER’S CERTIFICATION gives it to evaluate the skill of the per-
I certify that the following is a true and son who takes it at handling the com-
complete list of traffic violations (other than mercial motor vehicle, and associated
parking violations) for which I have been equipment, that the motor carriers in-
convicted or forfeited bond or collateral dur- tends to assign to him/her. As a min-
ing the past 12 months. imum, the person who takes the test
Date of conviction Offense must be tested, while operating the
Location Type of motor vehicle operated type of commercial motor vehicle the
If no violations are listed above, I certify motor carrier intends to assign him/
that I have not been convicted or forfeited her, on his/her skill at performing each
bond or collateral on account of any viola- of the following operations:
tion required to be listed during the past 12 (1) The pretrip inspection required by
months. § 392.7 of this subchapter;
(Date of certification) (Driver’s signature) (2) Coupling and uncoupling of com-
bination units, if the equipment he/she
(Motor carrier’s name) may drive includes combination units;
(Motor carrier’s address) (3) Placing the commercial motor ve-
hicle in operation;
(Reviewed by: Signature) (Title)
(4) Use of the commercial motor ve-
(d) The motor carrier shall retain the hicle’s controls and emergency equip-
list or certificate required by this sec- ment;
tion, or a copy of it, in its files as part (5) Operating the commercial motor
of the driver’s qualification file. vehicle in traffic and while passing
(e) Drivers who have provided infor- other motor vehicles;
mation required by § 383.31 of this sub- (6) Turning the commercial motor
chapter need not repeat that informa- vehicle;
tion in the annual list of violations re- (7) Braking, and slowing the commer-
quired by this section. cial motor vehicle by means other than
braking; and
[35 FR 6460, Apr. 22, 1970, as amended at 35 (8) Backing and parking the commer-
FR 17420, Nov. 13, 1970; 52 FR 20589, June 1, cial motor vehicle.
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1987; 60 FR 38745, July 28, 1995] (d) The motor carrier shall provide a
road test form on which the person who

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§ 391.33 49 CFR Ch. III (10–1–07 Edition)

gives the test shall rate the perform- trailer or tank vehicle endorsements,
ance of the person who takes it at each which has been issued to him/her to op-
operation or activity which is a part of erate specific categories of commercial
the test. After he/she completes the motor vehicles and which, under the
form, the person who gave the test laws of that State, licenses him/her
shall sign it. after successful completion of a road
(e) If the road test is successfully test in a commercial motor vehicle of
completed, the person who gave it shall the type the motor carrier intends to
complete a certificate of driver’s road assign to him/her; or
test in substantially the form pre- (2) A copy of a valid certificate of
scribed in paragraph (f) of this section. driver’s road test issued to him/her
(f) The form for the certificate of pursuant to § 391.31 within the pre-
driver’s road test is substantially as ceding 3 years.
follows: (b) If a driver presents, and a motor
CERTIFICATION OF ROAD TEST carrier accepts, a license or certificate
as equivalent to the road test, the
Driver’s name llllllllllllllll
Social Security No lllllllllllll
motor carrier shall retain a legible
Operator’s or Chauffeur’s License No llll copy of the license or certificate in its
State llllllllllllllllllll files as part of the driver’s qualifica-
Type of power unit llllll Type of trail- tion file.
er(s) llllllllllllllllllll (c) A motor carrier may require any
If passenger carrier, type of bus llllll person who presents a license or cer-
This is to certify that the above-named
tificate as equivalent to the road test
driver was given a road test under my super-
vision on llllll, 20ll, consisting of to take a road test or any other test of
approximately lll miles of driving. his/her driving skill as a condition to
It is my considered opinion that this driver his/her employment as a driver.
possesses sufficient driving skill to operate
safely the type of commercial motor vehicle [35 FR 6460, Apr. 22, 1970, as amended at 60
listed above. FR 38744, July 28, 1995; 63 FR 33277, June 18,
1998]
(Signature of examiner)
(Title) Subpart E—Physical Qualifications
(Organization and address of examiner) and Examinations
(g) A copy of the certificate required § 391.41 Physical qualifications for
by paragraph (e) of this section shall be drivers.
given to the person who was examined.
The motor carrier shall retain in the (a) A person shall not drive a com-
driver qualification file of the person mercial motor vehicle unless he/she is
who was examined— physically qualified to do so and, ex-
(1) The original of the signed road cept as provided in § 391.67, has on his/
test form required by paragraph (d) of her person the original, or a photo-
this section; and graphic copy, of a medical examiner’s
(2) The original, or a copy of, the cer- certificate that he/she is physically
tificate required by paragraph (e) of qualified to drive a commercial motor
this section. vehicle.
[35 FR 6460, Apr. 22, 1970, as amended at 36 The United States and Canada entered into
FR 223, Jan. 7, 1971; 59 FR 8752, Feb. 23, 1994; a Reciprocity Agreement, effective March 30,
60 FR 38744, July 28, 1995] 1999, recognizing that a Canadian commer-
cial driver’s license is proof of medical fit-
§ 391.33 Equivalent of road test. ness to drive. Therefore, Canadian commer-
(a) In place of, and as equivalent to, cial motor vehicle (CMV) drivers are no
the road test required by § 391.31, a per- longer required to have in their possession a
son who seeks to drive a commercial medical examiner’s certificate if the driver
has been issued, and possesses, a valid com-
motor vehicle may present, and a mercial driver’s license issued by a Canadian
motor carrier may accept— Province or Territory. However, Canadian
(1) A valid Commercial Driver’s Li- drivers who are insulin-using diabetics, who
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cense as defined in § 383.5 of this sub- have epilepsy, or who are hearing impaired
chapter, but not including double/triple as defined in § 391.41(b)(11) are not qualified

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Federal Motor Carrier Safety Administration, DOT § 391.41

(b) A person is physically qualified to cause loss of consciousness or any loss


drive a commercial motor vehicle if of ability to control a commercial
that person— motor vehicle;
(1) Has no loss of a foot, a leg, a hand, (9) Has no mental, nervous, organic,
or an arm, or has been granted a skill or functional disease or psychiatric dis-
performance evaluation certificate pur- order likely to interfere with his/her
suant to § 391.49; ability to drive a commercial motor
(2) Has no impairment of:
vehicle safely;
(i) A hand or finger which interferes
with prehension or power grasping; or (10) Has distant visual acuity of at
(ii) An arm, foot, or leg which inter- least 20/40 (Snellen) in each eye with-
feres with the ability to perform nor- out corrective lenses or visual acuity
mal tasks associated with operating a separately corrected to 20/40 (Snellen)
commercial motor vehicle; or any or better with corrective lenses, dis-
other significant limb defect or limita- tant binocular acuity of at least 20/40
tion which interferes with the ability (Snellen) in both eyes with or without
to perform normal tasks associated corrective lenses, field of vision of at
with operating a commercial motor ve- least 70° in the horizontal Meridian in
hicle; or has been granted a skill per- each eye, and the ability to recognize
formance evaluation certificate pursu- the colors of traffic signals and devices
ant to § 391.49. showing standard red, green, and
(3) Has no established medical his- amber;
tory or clinical diagnosis of diabetes (11) First perceives a forced whis-
mellitus currently requiring insulin for pered voice in the better ear at not less
control;
than 5 feet with or without the use of
(4) Has no current clinical diagnosis
of myocardial infarction, angina pec- a hearing aid or, if tested by use of an
toris, coronary insufficiency, throm- audiometric device, does not have an
bosis, or any other cardiovascular dis- average hearing loss in the better ear
ease of a variety known to be accom- greater than 40 decibels at 500 Hz, 1,000
panied by syncope, dyspnea, collapse, Hz, and 2,000 Hz with or without a hear-
or congestive cardiac failure. ing aid when the audiometric device is
(5) Has no established medical his- calibrated to American National
tory or clinical diagnosis of a res- Standard (formerly ASA Standard)
piratory dysfunction likely to interfere Z24.5—1951.
with his/her ability to control and (12)(i) Does not use a controlled sub-
drive a commercial motor vehicle safe- stance identified in 21 CFR 1308.11
ly; Schedule I, an amphetamine, a nar-
(6) Has no current clinical diagnosis cotic, or any other habit-forming drug.
of high blood pressure likely to inter- (ii) Exception. A driver may use such
fere with his/her ability to operate a a substance or drug, if the substance or
commercial motor vehicle safely; drug is prescribed by a licensed med-
(7) Has no established medical his-
ical practitioner who:
tory or clinical diagnosis of rheumatic,
arthritic, orthopedic, muscular, neuro- (A) Is familiar with the driver’s med-
muscular, or vascular disease which ical history and assigned duties; and
interferes with his/her ability to con- (B) Has advised the driver that the
trol and operate a commercial motor prescribed substance or drug will not
vehicle safely; adversely affect the driver’s ability to
(8) Has no established medical his- safely operate a commercial motor ve-
tory or clinical diagnosis of epilepsy or hicle; and
any other condition which is likely to (13) Has no current clinical diagnosis
of alcoholism.
to drive CMVs in the United States. Further-
[35 FR 6460, Apr. 22, 1970, as amended at 35
more, Canadian drivers who do not meet the
FR 17420, Nov. 13, 1970; 36 FR 223, Jan. 7, 1971;
medical fitness provisions of the Canadian
36 FR 12857, July 8, 1971; 43 FR 56900, Dec. 5,
National Safety Code for Motor Carriers but
who have been issued a waiver by one of the 1978; 55 FR 3554, Feb. 1, 1990; 60 FR 38744, July
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Canadian Provinces or Territories are not 28, 1995; 62 FR 37152, July 11, 1997; 65 FR 59369,
qualified to drive CMVs in the United States. Oct. 5, 2000; 67 FR 61824, Oct. 2, 2002]

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§ 391.43 49 CFR Ch. III (10–1–07 Edition)

§ 391.43 Medical examination; certifi- INSTRUCTIONS FOR PERFORMING AND


cate of physical examination. RECORDING PHYSICAL EXAMINATIONS

(a) Except as provided by paragraph The medical examiner must be familiar


(b) of this section, the medical exam- with 49 CFR 391.41, Physical qualifications
for drivers, and should review these instruc-
ination shall be performed by a li-
tions before performing the physical exam-
censed medical examiner as defined in ination. Answer each question ‘‘yes’’ or ‘‘no’’
§ 390.5 of this subchapter. and record numerical readings where indi-
(b) A licensed optometrist may per- cated on the physical examination form.
form so much of the medical examina- The medical examiner must be aware of
tion as pertains to visual acuity, field the rigorous physical, mental, and emotional
of vision, and the ability to recognize demands placed on the driver of a commer-
colors as specified in paragraph (10) of cial motor vehicle. In the interest of public
safety, the medical examiner is required to
§ 391.41(b).
certify that the driver does not have any
(c) Medical examiners shall: physical, mental, or organic condition that
(1) Be knowledgeable of the specific might affect the driver’s ability to operate a
physical and mental demands associ- commercial motor vehicle safely.
ated with operating a commercial General information. The purpose of this
motor vehicle and the requirements of history and physical examination is to de-
this subpart, including the medical ad- tect the presence of physical, mental, or or-
visory criteria prepared by the FMCSA ganic conditions of such a character and ex-
tent as to affect the driver’s ability to oper-
as guidelines to aid the medical exam- ate a commercial motor vehicle safely. The
iner in making the qualification deter- examination should be conducted carefully
mination; and and should at least include all of the infor-
(2) Be proficient in the use of and use mation requested in the following form. His-
the medical protocols necessary to ade- tory of certain conditions may be cause for
quately perform the medical examina- rejection. Indicate the need for further test-
tion required by this section. ing and/or require evaluation by a specialist.
Conditions may be recorded which do not,
(d) Any driver authorized to operate because of their character or degree, indicate
a commercial motor vehicle within an that certification of physical fitness should
exempt intracity zone pursuant to be denied. However, these conditions should
§ 391.62 of this part shall furnish the ex- be discussed with the driver and he/she
amining medical examiner with a copy should be advised to take the necessary steps
of the medical findings that led to the to insure correction, particularly of those
issuance of the first certificate of med- conditions which, if neglected, might affect
ical examination which allowed the the driver’s ability to drive safely.
driver to operate a commercial motor General appearance and development. Note
marked overweight. Note any postural de-
vehicle wholly within an exempt intra- fect, perceptible limp, tremor, or other con-
city zone. ditions that might be caused by alcoholism,
(e) Any driver operating under a lim- thyroid intoxication or other illnesses.
ited exemption authorized by § 391.64 Head-eyes. When other than the Snellen
shall furnish the medical examiner chart is used, the results of such test must
with a copy of the annual medical find- be expressed in values comparable to the
ings of the endocrinologist, ophthal- standard Snellen test. If the driver wears
mologist or optometrist, as required corrective lenses for driving, these should be
worn while driver’s visual acuity is being
under that section. If the medical ex- tested. If contact lenses are worn, there
aminer finds the driver qualified under should be sufficient evidence of good toler-
the limited exemption in § 391.64, such ance of and adaptation to their use. Indicate
fact shall be noted on the Medical Ex- the driver’s need to wear corrective lenses to
aminer’s Certificate. meet the vision standard on the Medical Ex-
(f) The medical examination shall be aminer’s Certificate by checking the box,
performed, and its results shall be re- ‘‘Qualified only when wearing corrective
corded, substantially in accordance lenses.’’ In recording distance vision use 20
feet as normal. Report all vision as a frac-
with the following instructions and ex- tion with 20 as the numerator and the small-
amination form. Existing forms may be est type read at 20 feet as the denominator.
used until current printed supplies are Monocular drivers are not qualified to oper-
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depleted or until September 30, 2004, ate commercial motor vehicles in interstate
whichever occurs first. commerce.

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Federal Motor Carrier Safety Administration, DOT § 391.43
Ears. Note evidence of any ear disease, Abdomen and Viscera. Note enlarged liver,
symptoms of aural vertigo, or Meniere’s Syn- enlarged spleen, abnormal masses, bruits,
drome. When recording hearing, record dis- hernia, and significant abdominal wall mus-
tance from patient at which a forced whis- cle weakness and tenderness. If the diagnosis
pered voice can first be heard. For the whis- suggests that the condition might interfere
pered voice test, the individual should be with the control and safe operation of a com-
stationed at least 5 feet from the examiner mercial motor vehicle, further testing and
with the ear being tested turned toward the evaluation is required.
examiner. The other ear is covered. Using Genital-urinary and rectal examination. A
the breath which remains after a normal ex- urinalysis is required. Protein, blood or
piration, the examiner whispers words or sugar in the urine may be an indication for
random numbers such as 66, 18, 23, etc. The further testing to rule out any underlying
examiner should not use only sibilants (s- medical problems. Note hernias. A condition
sounding test materials). The opposite ear causing discomfort should be evaluated to
should be tested in the same manner. If the determine the extent to which the condition
individual fails the whispered voice test, the might interfere with the control and safe op-
audiometric test should be administered. For eration of a commercial motor vehicle.
the audiometric test, record decibel loss at Neurological. Note impaired equilibrium,
500 Hz, 1,000 Hz, and 2,000 Hz. Average the coordination, or speech pattern; paresthesia;
decibel loss at 500 Hz, 1,000 Hz and 2,000 Hz asymmetric deep tendon reflexes; sensory or
and record as described on the form. If the positional abnormalities; abnormal patellar
individual fails the audiometric test and the and Babinski’s reflexes; ataxia. Abnormal
whispered voice test has not been adminis- neurological responses may be an indication
tered, the whispered voice test should be per- for further testing to rule out an underlying
formed to determine if the standard applica- medical condition. Any neurological condi-
ble to that test can be met. tion should be evaluated for the nature and
severity of the condition, the degree of limi-
Throat. Note any irremediable deformities
tation present, the likelihood of progressive
likely to interfere with breathing or swal-
limitation, and the potential for sudden in-
lowing.
capacitation. In instances where the medical
Heart. Note murmurs and arrhythmias, and examiner has determined that more frequent
any history of an enlarged heart, congestive monitoring of a condition is appropriate, a
heart failure, or cardiovascular disease that certificate for a shorter period should be
is accompanied by syncope, dyspnea, or col- issued.
lapse. Indicate onset date, diagnosis, medica- Spine, musculoskeletal. Previous surgery,
tion, and any current limitation. An electro- deformities, limitation of motion, and ten-
cardiogram is required when findings so indi- derness should be noted. Findings may indi-
cate. cate additional testing and evaluation
Blood pressure (BP). If a driver has hyper- should be conducted.
tension and/or is being medicated for hyper- Extremities. Carefully examine upper and
tension, he or she should be recertified more lower extremities and note any loss or im-
frequently. An individual diagnosed with pairment of leg, foot, toe, arm, hand, or fin-
Stage 1 hypertension (BP is 140/90–159/99) ger. Note any deformities, atrophy, paral-
may be certified for one year. At recertifi- ysis, partial paralysis, clubbing, edema, or
cation, an individual with a BP equal to or hypotonia. If a hand or finger deformity ex-
less than 140/90 may be certified for one year; ists, determine whether prehension and
however, if his or her BP is greater than 140/ power grasp are sufficient to enable the driv-
90 but less than 160/100, a one-time certificate er to maintain steering wheel grip and to
for 3 months can be issued. An individual di- control other vehicle equipment during rou-
agnosed with Stage 2 (BP is 160/100–179/109) tine and emergency driving operations. If a
should be treated and a one-time certificate foot or leg deformity exists, determine
for 3-month certification can be issued. Once whether sufficient mobility and strength
the driver has reduced his or her BP to equal exist to enable the driver to operate pedals
to or less than 140/90, he or she may be recer- properly. In the case of any loss or impair-
tified annually thereafter. An individual di- ment to an extremity which may interfere
agnosed with Stage 3 hypertension (BP equal with the driver’s ability to operate a com-
to or greater than 180/110) should not be cer- mercial motor vehicle safely, the medical ex-
tified until his or her BP is reduced to 140/90 aminer should state on the medical certifi-
or less, and may be recertified every 6 cate ‘‘medically unqualified unless accom-
months. panied by a Skill Performance Evaluation
Lungs. Note abnormal chest wall expan- Certificate.’’ The driver must then apply to
sion, respiratory rate, breath sounds includ- the Field Service Center of the FMCSA, for
ing wheezes or alveolar rales, impaired res- the State in which the driver has legal resi-
piratory function, dyspnea, or cyanosis. Ab- dence, for a Skill Performance Evaluation
normal finds on physical exam may require
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Certificate under § 391.49.


further testing such as pulmonary tests and/ Laboratory and Other Testing. Other test(s)
or x-ray of chest. may be indicated based upon the medical

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§ 391.43 49 CFR Ch. III (10–1–07 Edition)
history or findings of the physical examina- qualifying. However, the driver must remain
tion. under adequate medical supervision.
Diabetes. If insulin is necessary to control Upon completion of the examination, the
a diabetic driver’s condition, the driver is medical examiner must date and sign the
not qualified to operate a commercial motor form, provide his/her full name, office ad-
vehicle in interstate commerce. If mild dia- dress and telephone number. The completed
betes is present and it is controlled by use of medical examination form shall be retained
an oral hypoglycemic drug and/or diet and
on file at the office of the medical examiner.
exercise, it should not be considered dis-
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§ 391.43 49 CFR Ch. III (10–1–07 Edition)
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Federal Motor Carrier Safety Administration, DOT § 391.43

(g) If the medical examiner finds that was examined and one copy to the
the person he/she examined is phys- motor carrier that employs him/her.
ically qualified to drive a commercial (h) The medical examiner’s certifi-
motor vehicle in accordance with cate shall be substantially in accord-
§ 391.41(b), the medical examiner shall ance with the following form. Existing
complete a certificate in the form pre- forms may be used until current print-
scribed in paragraph (h) of this section ed supplies are depleted or until No-
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and furnish one copy to the person who vember 6, 2001, whichever occurs first.

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§ 391.43 49 CFR Ch. III (10–1–07 Edition)

[35 FR 6460, Apr. 22, 1970, as amended at 68 FR 56199, Sept. 30, 2003]
EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 391.43, see the List of CFR Sec-
tions Affected, which appears in the Finding Aids section of the printed volume and on GPO
Access.
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Federal Motor Carrier Safety Administration, DOT § 391.47

§ 391.45 Persons who must be medi- (i) In cases where the driver refuses
cally examined and certified. to agree on a specialist and the appli-
Except as provided in § 391.67, the fol- cant is the motor carrier, the applicant
lowing persons must be medically ex- must submit a statement of his/her
amined and certified in accordance agreement to submit the matter to an
with § 391.43 as physically qualified to impartial medical specialist in the
operate a commercial motor vehicle: field, proof that he/she has requested
(a) Any person who has not been the driver to submit to the medical
medically examined and certified as specialist, and the response, if any, of
physically qualified to operate a com- the driver to his/her request.
mercial motor vehicle; (ii) In cases where the motor carrier
refuses to agree on a medical spe-
(b)(1) Any driver who has not been
cialist, the driver must submit an opin-
medically examined and certified as
ion and test results of an impartial
qualified to operate a commercial
medical specialist, proof that he/she
motor vehicle during the preceding 24
has requested the motor carrier to
months; or
agree to submit the matter to the med-
(2) Any driver authorized to operate a
ical specialist and the response, if any,
commercial motor vehicle only with an
of the motor carrier to his/her request.
exempt intracity zone pursuant to
(4) The applicant must include a
§ 391.62, or only by operation of the ex-
statement explaining in detail why the
emption in § 391.64, if such driver has
decision of the medical specialist iden-
not been medically examined and cer-
tified in paragraph (b)(3) of this sec-
tified as qualified to drive in such zone
tion, is unacceptable.
during the preceding 12 months; and
(5) The applicant must submit proof
(c) Any driver whose ability to per-
that the medical specialist mentioned
form his/her normal duties has been
in paragraph (b)(3) of this section was
impaired by a physical or mental in-
provided, prior to his/her determina-
jury or disease.
tion, the medical history of the driver
[35 FR 6460, Apr. 22, 1970, as amended at 36 and an agreed-upon statement of the
FR 223, Jan. 7, 1971; 54 FR 12202, Mar. 24, 1989; work the driver performs.
61 FR 13347, Mar. 26, 1996] (6) The applicant must submit the
medical history and statement of work
§ 391.47 Resolution of conflicts of med- provided to the medical specialist
ical evaluation.
under paragraph (b)(5) of this section.
(a) Applications. Applications for de- (7) The applicant must submit all
termination of a driver’s medical quali- medical records and statements of the
fications under standards in this part physicians who have given opinions on
will only be accepted if they conform the driver’s qualifications.
to the requirements of this section. (8) The applicant must submit a de-
(b) Content. Applications will be ac- scription and a copy of all written and
cepted for consideration only if the fol- documentary evidence upon which the
lowing conditions are met. party making application relies in the
(1) The application must contain the form set out in 49 CFR 386.37.
name and address of the driver, motor (9) The application must be accom-
carrier, and all physicians involved in panied by a statement of the driver
the proceeding. that he/she intends to drive in inter-
(2) The applicant must submit proof state commerce not subject to the
that there is a disagreement between commercial zone exemption or a state-
the physician for the driver and the ment of the carrier that he/she has
physician for the motor carrier con- used or intends to use the driver for
cerning the driver’s qualifications. such work.
(3) The applicant must submit a copy (10) The applicant must submit three
of an opinion and report including re- copies of the application and all
sults of all tests of an impartial med- records.
ical specialist in the field in which the (c) Information. The Director, Office
medical conflict arose. The specialist of Bus and Truck Standards and Oper-
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should be one agreed to by the motor ations (MC-PSDPSD) may request fur-
carrier and the driver. ther information from the applicant if

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§ 391.49 49 CFR Ch. III (10–1–07 Edition)

he/she determines that a decision can- § 391.49 Alternative physical qualifica-


not be made on the evidence submitted. tion standards for the loss or im-
If the applicant fails to submit the in- pairment of limbs.
formation requested, the Director may (a) A person who is not physically
refuse to issue a determination. qualified to drive under § 391.41(b)(1) or
(d)(1) Action. Upon receiving a satis- (b)(2) and who is otherwise qualified to
factory application the Director, Office drive a commercial motor vehicle, may
of Bus and Truck Standards and Oper- drive a commercial motor vehicle, if
ations (MC-PSDPSD) shall notify the the Division Administrator, FMCSA,
parties (the driver, motor carrier, or has granted a Skill Performance Eval-
any other interested party) that the uation (SPE) Certificate to that per-
application has been accepted and that son.
a determination will be made. A copy (b) SPE certificate.—(1) Application. A
of all evidence received shall be at- letter of application for an SPE certifi-
tached to the notice. cate may be submitted jointly by the
(2) Reply. Any party may submit a person (driver applicant) who seeks an
reply to the notification within 15 days SPE certificate and by the motor car-
after service. Such reply must be ac- rier that will employ the driver appli-
companied by all evidence the party cant, if the application is accepted.
wants the Director, Office of Bus and (2) Application address. The applica-
Truck Standards and Operations (MC- tion must be addressed to the applica-
PSDPSD) to consider in making his/her ble field service center, FMCSA, for the
determination. Evidence submitted State in which the co-applicant motor
should include all medical records and carrier’s principal place of business is
test results upon which the party re- located. The address of each, and the
lies. States serviced, are listed in § 390.27 of
(3) Parties. A party for the purposes of this chapter.
this section includes the motor carrier (3) Exception. A letter of application
and the driver, or anyone else submit- for an SPE certificate may be sub-
ting an application. mitted unilaterally by a driver appli-
(e) Petitions to review, burden of proof. cant. The application must be ad-
The driver or motor carrier may peti- dressed to the field service center,
tion to review the Director’s deter- FMCSA, for the State in which the
mination. Such petition must be sub- driver has legal residence. The driver
mitted in accordance with § 386.13(a) of applicant must comply with all the re-
this chapter. The burden of proof in quirements of paragraph (c) of this sec-
such a proceeding is on the petitioner. tion except those in (c)(1)(i) and (iii).
(f) Status of driver. Once an applica- The driver applicant shall respond to
tion is submitted to the Director, Of- the requirements of paragraphs (c)(2)(i)
fice of Bus and Truck Standards and to (v) of this section, if the information
Operations (MC-PSDPSD), the driver is known.
shall be deemed disqualified until such (c) A letter of application for an SPE
time as the Director, Office of Bus and certificate shall contain:
Truck Standards and Operations (MC- (1) Identification of the applicant(s):
PSDPSD) makes a determination, or (i) Name and complete address of the
until the Director, Office of Bus and motor carrier coapplicant;
Truck Standards and Operations (MC- (ii) Name and complete address of the
PSDPSD) orders otherwise. driver applicant;
(49 U.S.C. 304, 322; 18 U.S.C. 831–835; Pub. L. (iii) The U.S. DOT Motor Carrier
93–633, 88 Stat. 8156 (49 U.S.C. 1801, et seq.); 49 Identification Number, if known; and
CFR 1.48, 301.60) (iv) A description of the driver appli-
[42 FR 18081, Apr. 5, 1977, as amended at 42 cant’s limb impairment for which SPE
FR 53966, Oct. 4, 1977; 60 FR 38746, July 28, certificate is requested.
1995] (2) Description of the type of oper-
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ation the driver will be employed to


perform:

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Federal Motor Carrier Safety Administration, DOT § 391.49

(i) State(s) in which the driver will (ii) Motor carrier official’s signature
operate for the motor carrier co- (if application has a coapplicant), title,
applicant (if more than 10 States, des- and date signed. Depending upon the
ignate general geographic area only); motor carrier’s organizational struc-
(ii) Average period of time the driver ture (corporation, partnership, or pro-
will be driving and/or on duty, per day; prietorship), the signer of the applica-
(iii) Type of commodities or cargo to tion shall be an officer, partner, or the
be transported; proprietor.
(iv) Type of driver operation (i.e., (d) The letter of application for an
sleeper team, relay, owner operator, SPE certificate shall be accompanied
etc.); and by:
(v) Number of years experience oper- (1) A copy of the results of the med-
ating the type of commercial motor ve- ical examination performed pursuant
hicle(s) requested in the letter of appli- to § 391.43;
cation and total years of experience op- (2) A copy of the medical certificate
erating all types of commercial motor completed pursuant to § 391.43(h);
vehicles.
(3) A medical evaluation summary
(3) Description of the commercial
completed by either a board qualified
motor vehicle(s) the driver applicant
or board certified physiatrist (doctor of
intends to drive:
physical medicine) or orthopedic sur-
(i) Truck, truck tractor, or bus make,
geon. The coapplicant motor carrier or
model, and year (if known);
the driver applicant shall provide the
(ii) Drive train;
physiatrist or orthopedic surgeon with
(A) Transmission type (automatic or a description of the job-related tasks
manual—if manual, designate number
the driver applicant will be required to
of forward speeds);
perform;
(B) Auxiliary transmission (if any)
(i) The medical evaluation summary
and number of forward speeds; and
for a driver applicant disqualified
(C) Rear axle (designate single speed,
under § 391.41(b)(1) shall include:
2 speed, or 3 speed).
(iii) Type of brake system; (A) An assessment of the functional
capabilities of the driver as they relate
(iv) Steering, manual or power as-
sisted; to the ability of the driver to perform
normal tasks associated with operating
(v) Description of type of trailer(s)
(i.e., van, flatbed, cargo tank, drop a commercial motor vehicle; and
frame, lowboy, or pole); (B) A statement by the examiner
(vi) Number of semitrailers or full that the applicant is capable of dem-
trailers to be towed at one time; onstrating precision prehension (e.g.,
(vii) For commercial motor vehicles manipulating knobs and switches) and
designed to transport passengers, indi- power grasp prehension (e.g., holding
cate the seating capacity of commer- and maneuvering the steering wheel)
cial motor vehicle; and with each upper limb separately. This
(viii) Description of any modifica- requirement does not apply to an indi-
tion(s) made to the commercial motor vidual who was granted a waiver, ab-
vehicle for the driver applicant; attach sent a prosthetic device, prior to the
photograph(s) where applicable. publication of this amendment.
(4) Otherwise qualified: (ii) The medical evaluation summary
(i) The coapplicant motor carrier for a driver applicant disqualified
must certify that the driver applicant under § 391.41(b)(2) shall include:
is otherwise qualified under the regula- (A) An explanation as to how and
tions of this part; why the impairment interferes with
(ii) In the case of a unilateral appli- the ability of the applicant to perform
cation, the driver applicant must cer- normal tasks associated with operating
tify that he/she is otherwise qualified a commercial motor vehicle;
under the regulations of this part. (B) An assessment and medical opin-
(5) Signature of applicant(s): ion of whether the condition will likely
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(i) Driver applicant’s signature and remain medically stable over the life-
date signed; time of the driver applicant; and

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§ 391.49 49 CFR Ch. III (10–1–07 Edition)

(C) A statement by the examiner that (i) A motor carrier who is a co-
the applicant is capable of dem- applicant must file the required docu-
onstrating precision prehension (e.g., ments with the Medical Program Spe-
manipulating knobs and switches) and cialist, FMCSA for the State in which
power grasp prehension (e.g., holding the carrier’s principal place of business
and maneuvering the steering wheel) is located; or
with each upper limb separately. This (ii) A motor carrier who employs a
requirement does not apply to an indi- driver who has been issued a unilateral
vidual who was granted an SPE certifi- SPE certificate must file the required
cate, absent an orthotic device, prior documents with the Medical Program
to the publication of this amendment. Specialist, FMCSA service center, for
(4) A description of the driver appli- the State in which the driver has legal
cant’s prosthetic or orthotic device residence.
worn, if any; (2) Evaluate the driver with a road
(5) Road test: test using the trailer the motor carrier
(i) A copy of the driver applicant’s intends the driver to transport or, in
road test administered by the motor lieu of, accept a certificate of a trailer
carrier coapplicant and the certificate road test from another motor carrier if
issued pursuant to § 391.31(b) through the trailer type(s) is similar, or accept
(g); or the trailer road test done during the
(ii) A unilateral applicant shall be re- Skill Performance Evaluation if it is a
sponsible for having a road test admin- similar trailer type(s) to that of the
istered by a motor carrier or a person prospective motor carrier. Job tasks,
who is competent to administer the as stated in paragraph (e)(3) of this sec-
test and evaluate its results. tion, are not evaluated in the Skill
(6) Application for employment: Performance Evaluation;
(i) A copy of the driver applicant’s (3) Evaluate the driver for those non-
application for employment completed driving safety related job tasks associ-
pursuant to § 391.21; or ated with whatever type of trailer(s)
(ii) A unilateral applicant shall be re- will be used and any other nondriving
sponsible for submitting a copy of the safety related or job related tasks
last commercial driving position’s em- unique to the operations of the employ-
ployment application he/she held. If ing motor carrier; and
not previously employed as a commer- (4) Use the driver to operate the type
cial driver, so state. of commercial motor vehicle defined in
(7) A copy of the driver applicant’s the SPE certificate only when the driv-
SPE certificate of certain physical de- er is in compliance with the conditions
fects issued by the individual State(s), and limitations of the SPE certificate.
where applicable; and (f) The driver shall supply each em-
(8) A copy of the driver applicant’s ploying motor carrier with a copy of
State Motor Vehicle Driving Record for the SPE certificate.
the past 3 years from each State in (g) The State Director, FMCSA, may
which a motor vehicle driver’s license require the driver applicant to dem-
or permit has been obtained. onstrate his or her ability to safely op-
(e) Agreement. A motor carrier that erate the commercial motor vehicle(s)
employs a driver with an SPE certifi- the driver intends to drive to an agent
cate agrees to: of the State Director, FMCSA. The
(1) File promptly (within 30 days of SPE certificate form will identify the
the involved incident) with the Medical power unit (bus, truck, truck tractor)
Program Specialist, FMCSA service for which the SPE certificate has been
center, such documents and informa- granted. The SPE certificate forms will
tion as may be required about driving also identify the trailer type used in
activities, accidents, arrests, license the Skill Performance Evaluation;
suspensions, revocations, or with- however, the SPE certificate is not
drawals, and convictions which involve limited to that specific trailer type. A
the driver applicant. This applies driver may use the SPE certificate
whether the driver’s SPE certificate is with other trailer types if a successful
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a unilateral one or has a coapplicant trailer road test is completed in ac-


motor carrier; cordance with paragraph (e)(2) of this

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Federal Motor Carrier Safety Administration, DOT § 391.49

section. Job tasks, as stated in para- riod of time the current SPE certifi-
graph (e)(3) of this section, are not cate has been in effect;
evaluated during the Skill Perform- (10) Notification of any change in the
ance Evaluation. type of tractor the driver will operate;
(h) The State Director, FMCSA, may (11) Driver’s signature and date
deny the application for SPE certifi- signed; and
cate or may grant it totally or in part (12) Motor carrier coapplicant’s sig-
and issue the SPE certificate subject to nature and date signed.
such terms, conditions, and limitations (j)(1) Upon granting an SPE certifi-
as deemed consistent with the public cate, the State Director, FMCSA, will
interest. The SPE certificate is valid notify the driver applicant and co-ap-
for a period not to exceed 2 years from plicant motor carrier (if applicable) by
date of issue, and may be renewed 30 letter. The terms, conditions, and limi-
days prior to the expiration date. tations of the SPE certificate will be
(i) The SPE certificate renewal appli- set forth. A motor carrier shall main-
cation shall be submitted to the Med- tain a copy of the SPE certificate in its
ical Program Specialist, FMCSA serv- driver qualification file. A copy of the
ice center, for the State in which the SPE certificate shall be retained in the
driver has legal residence, if the SPE motor carrier’s file for a period of 3
certificate was issued unilaterally. If years after the driver’s employment is
the SPE certificate has a coapplicant, terminated. The driver applicant shall
then the renewal application is sub- have the SPE certificate (or a legible
mitted to the Medical Program Spe- copy) in his/her possession whenever on
cialist, FMCSA field service center, for duty.
the State in which the coapplicant (2) Upon successful completion of the
motor carrier’s principal place of busi- skill performance evaluation, the State
ness is located. The SPE certificate re- Director, FMCSA, for the State where
newal application shall contain the fol- the driver applicant has legal resi-
lowing: dence, must notify the driver by letter
(1) Name and complete address of and enclose an SPE certificate substan-
motor carrier currently employing the tially in the following form:
applicant;
Skill Performance Evaluation Certificate
(2) Name and complete address of the
driver; Name of Issuing Agency: llllllllll
(3) Effective date of the current SPE Agency Address: llllllllllllll
certificate; Telephone Number: ( ) lllllllllll
(4) Expiration date of the current Issued Under 49 CFR 391.49, subchapter B of
SPE certificate; the Federal Motor Carrier Safety Regula-
(5) Total miles driven under the cur- tions
rent SPE certificate; Driver’s Name: lllllllllllllll
(6) Number of accidents incurred Effective Date: lllllllllllllll
while driving under the current SPE SSN: lllllllllllllllllllll
certificate, including date of the acci- DOB: llllllllllllllllllll
dent(s), number of fatalities, number of Expiration Date: llllllllllllll
injuries, and the estimated dollar Address: lllllllllllllllllll
amount of property damage; llllllllllllllllllllllll
llllllllllllllllllllllll
(7) A current medical examination
Driver Disability: llllllllllllll
report; Check One:lNewlRenewal
(8) A medical evaluation summary Driver’s License:lllll lllllllll
pursuant to paragraph (d)(3) of this sec- (State) (Number)
tion, if an unstable medical condition In accordance with 49 CFR 391.49, sub-
exists. All handicapped conditions clas- chapter B of the Federal Motor Carrier Safe-
sified under § 391.41(b)(1) are considered ty Regulations (FMCSRs), the driver appli-
unstable. Refer to paragraph (d)(3)(ii) cation for a skill performance evaluation
(SPE) certificate is hereby granted author-
of this section for the condition under
izing the above-named driver to operate in
§ 391.41(b)(2) which may be considered interstate or foreign commerce under the
medically stable. provisions set forth below. This certificate is
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(9) A copy of driver’s current State granted for the period shown above, not to
motor vehicle driving record for the pe- exceed 2 years, subject to periodic review as

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§ 391.51 49 CFR Ch. III (10–1–07 Edition)
may be found necessary. This certificate by this section by either the applicant
may be renewed upon submission of a re- or motor carrier is prohibited.
newal application. Continuation of this cer-
tificate is dependent upon strict adherence [65 FR 25287, May 1, 2000, as amended at 65
by the above-named driver to the provisions FR 59380, Oct. 5, 2000; 67 FR 61824, Oct. 2, 2002]
set forth below and compliance with the
FMCSRs. Any failure to comply with provi- Subpart F—Files and Records
sions herein may be cause for cancellation.
CONDITIONS: As a condition of this cer- § 391.51 General requirements for
tificate, reports of all accidents, arrests, sus- driver qualification files.
pensions, revocations, withdrawals of driver
licenses or permits, and convictions involv- (a) Each motor carrier shall maintain
ing the above-named driver shall be reported a driver qualification file for each driv-
in writing to the Issuing Agency by the EM- er it employs. A driver’s qualification
PLOYING MOTOR CARRIER within 30 days file may be combined with his/her per-
after occurrence. sonnel file.
LIMITATIONS: (b) The qualification file for a driver
1. Vehicle Type (power unit):* lllllll must include:
2. Vehicle modification(s): lllllllll (1) The driver’s application for em-
llllllllllllllllllllllll
3. Prosthetic or Orthotic device(s) (Required
ployment completed in accordance
to be Worn While Driving): llllllll with § 391.21;
(2) A copy of the response by each
llllllllllllllllllllllll
4. Additional Provision(s): lllllllll State agency concerning a driver’s
driving record pursuant to § 391.23(a)(1);
llllllllllllllllllllllll
NOTICE: To all MOTOR CARRIERS em-
(3) The certificate of driver’s road
ploying a driver with an SPE certificate. test issued to the driver pursuant to
This certificate is granted for the operation § 391.31(e), or a copy of the license or
of the power unit only. It is the responsibility certificate which the motor carrier ac-
of the employing motor carrier to evaluate cepted as equivalent to the driver’s
the driver with a road test using the trailer road test pursuant to § 391.33;
type(s) the motor carrier intends the driver (4) The response of each State agency
to transport, or in lieu of, accept the trailer to the annual driver record inquiry re-
road test done during the SPE if it is a simi- quired by § 391.25(a);
lar trailer type(s) to that of the prospective
motor carrier. Also, it is the responsibility
(5) A note relating to the annual re-
of the employing motor carrier to evaluate view of the driver’s driving record as
the driver for those non-driving safety-re- required by § 391.25(c)(2);
lated job tasks associated with the type of (6) A list or certificate relating to
trailer(s) utilized, as well as, any other non- violations of motor vehicle laws and
driving safety-related or job-related tasks ordinances required by § 391.27;
unique to the operations of the employing (7) The medical examiner’s certifi-
motor carrier. cate of his/her physical qualification to
The SPE of the above named driver was
drive a commercial motor vehicle as
given by a Skill Performance Evaluation
Program Specialist. It was successfully com- required by § 391.43(f) or a legible photo-
pleted utilizing the above named power unit graphic copy of the certificate; and
and llllllll (trailer, if applicable) (8) A letter from the Field Adminis-
The tractor or truck had a llllllll trator, Division Administrator, or
transmission. State Director granting a waiver of a
Please read the NOTICE paragraph above. physical disqualification, if a waiver
Name: llllllllllllllllllll was issued under § 391.49.
Signature: llllllllllllllllll (c) Except as provided in paragraph
Title: llllllllllllllllllll
(d) of this section, each driver’s quali-
Date: llllllllllllllllllll
fication file shall be retained for as
(k) The State Director, FMCSA, may long as a driver is employed by that
revoke an SPE certificate after the motor carrier and for three years
person to whom it was issued is given thereafter.
notice of the proposed revocation and (d) The following records may be re-
has been allowed a reasonable oppor- moved from a driver’s qualification file
tunity to appeal. three years after the date of execution:
(l) Falsifying information in the let- (1) The response of each State agency
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ter of application, the renewal applica- to the annual driver record inquiry re-
tion, or falsifying information required quired by § 391.25(a);

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Federal Motor Carrier Safety Administration, DOT § 391.61

(2) The note relating to the annual (c) The safety performance histories
review of the driver’s driving record as received from previous employers for a
required by § 391.25(c)(2); driver who is hired must be retained
(3) The list or certificate relating to for as long as the driver is employed by
violations of motor vehicle laws and that motor carrier and for three years
ordinances required by § 391.27; thereafter.
(4) The medical examiner’s certifi- (d) A motor carrier must make all
cate of the driver’s physical qualifica- records and information in this file
tion to drive a commercial motor vehi- available to an authorized representa-
cle or the photographic copy of the cer- tive or special agent of the Federal
tificate as required by § 391.43(f); and Motor Carrier Safety Administration,
(5) The letter issued under § 391.49 an authorized State or local enforce-
granting a waiver of a physical dis- ment agency representative, or an au-
qualification. thorized third party, upon request or as
(Approved by the Office of Management and part of any inquiry within the time pe-
Budget under control number 2126–004) riod specified by the requesting rep-
resentative.
[63 FR 33277, June 18, 1998, as amended at 69
FR 16721, Mar. 30, 2004] (Approved by the Office of Management and
Budget under control number 2126–004)
§ 391.53 Driver investigation history
file. [69 FR 16721, Mar. 30, 2004]

(a) After October 29, 2004, each motor § 391.55 LCV Driver-Instructor quali-
carrier must maintain records relating fication files.
to the investigation into the safety (a) Each motor carrier must main-
performance history of a new or pro- tain a qualification file for each LCV
spective driver pursuant to paragraphs driver-instructor it employs or uses.
(d) and (e) of § 391.23. This file must be The LCV driver-instructor qualifica-
maintained in a secure location with tion file may be combined with his/her
controlled access. personnel file.
(1) The motor carrier must ensure (b) The LCV driver-instructor quali-
that access to this data is limited to fication file must include the informa-
those who are involved in the hiring tion in paragraphs (b)(1) and (b)(2) of
decision or who control access to the this section for a skills instructor or
data. In addition, the motor carrier’s the information in paragraph (b)(1) of
insurer may have access to the data, this section for a classroom instructor,
except the alcohol and controlled sub- as follows:
stances data. (1) Evidence that the instructor has
(2) This data must only be used for met the requirements of 49 CFR 380.301
the hiring decision. or 380.303;
(b) The file must include: (2) A photographic copy of the indi-
(1) A copy of the driver’s written au-
vidual’s currently valid CDL with the
thorization for the motor carrier to
appropriate endorsements.
seek information about a driver’s alco-
hol and controlled substances history [69 FR 16738, Mar. 30, 2004; 69 FR 28846, May
as required under § 391.23(d). 19, 2004]
(2) A copy of the response(s) received
for investigations required by para- Subpart G—Limited Exemptions
graphs (d) and (e) of § 391.23 from each
previous employer, or documentation § 391.61 Drivers who were regularly
of good faith efforts to contact them. employed before January 1, 1971.
The record must include the previous The provisions of § 391.21 (relating to
employer’s name and address, the date applications for employment), § 391.23
the previous employer was contacted, (relating to investigations and inquir-
and the information received about the ies), and § 391.33 (relating to road tests)
driver from the previous employer. do not apply to a driver who has been
Failures to contact a previous em- a single-employer driver (as defined in
ployer, or of them to provide the re- § 390.5 of this subchapter) of a motor
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quired safety performance history in- carrier for a continuous period which
formation, must be documented. began before January 1, 1971, as long as

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§ 391.62 49 CFR Ch. III (10–1–07 Edition)

he/she continues to be a single-em- (4) Perform the annual review of the


ployer driver of that motor carrier. person’s driving record required by
§ 391.25(b); or
[63 FR 33278, June 18, 1998]
(5) Require the person to furnish a
§ 391.62 Limited exemptions for intra- record of violations or a certificate in
city zone drivers. accordance with § 391.27.
The provisions of §§ 391.11(b)(1) and (b) Before a motor carrier permits a
391.41(b)(1) through (b)(11) do not apply multiple-employer driver to drive a
to a person who: commercial motor vehicle, the motor
(a) Was otherwise qualified to oper- carrier must obtain his/her name, his/
ate and operated a commercial motor her social security number, and the
vehicle in a municipality or exempt in- identification number, type and issuing
tracity zone thereof throughout the State of his/her commercial motor ve-
one-year period ending November 18, hicle operator’s license. The motor car-
1988; rier must maintain this information
(b) Meets all the other requirements for three years after employment of
of this section; the multiple-employer driver ceases.
(c) Operates wholly within the ex- (Approved by the Office of Management and
empt intracity zone (as defined in 49 Budget under control number 2125–0081)
CFR 390.5); [63 FR 33278, June 18, 1998]
(d) Does not operate a vehicle used in
the transportation of hazardous mate- § 391.64 Grandfathering for certain
rials in a quantity requiring placarding drivers participating in vision and
under regulations issued by the Sec- diabetes waiver study programs.
retary under 49 U.S.C. chapter 51.; and (a) The provisions of § 391.41(b)(3) do
(e) Has a medical or physical condi- not apply to a driver who was a partici-
tion which: pant in good standing on March 31,
(1) Would have prevented such person 1996, in a waiver study program con-
from operating a commercial motor ve- cerning the operation of commercial
hicle under the Federal Motor Carrier motor vehicles by insulin-controlled
Safety Regulations contained in this diabetic drivers; provided:
subchapter; (1) The driver is physically examined
(2) Existed on July 1, 1988, or at the every year, including an examination
time of the first required physical ex- by a board-certified/eligible
amination after that date; and endocrinologist attesting to the fact
(3) The examining physician has de- that the driver is:
termined this condition has not sub- (i) Otherwise qualified under § 391.41;
stantially worsened since July 1, 1988, (ii) Free of insulin reactions (an indi-
or at the time of the first required vidual is free of insulin reactions if
physical examination after that date. that individual does not have severe
[61 FR 13346, Mar. 26, 1996; 61 FR 17253, Apr. hypoglycemia or hypoglycemia
19, 1996] unawareness, and has less than one
documented, symptomatic hypo-
§ 391.63 Multiple-employer drivers. glycemic reaction per month);
(a) If a motor carrier employs a per- (iii) Able to and has demonstrated
son as a multiple-employer driver (as willingness to properly monitor and
defined in § 390.5 of this subchapter), manage his/her diabetes; and
the motor carrier shall comply with all (iv) Not likely to suffer any diminu-
requirements of this part, except that tion in driving ability due to his/her di-
the motor carrier need not— abetic condition.
(1) Require the person to furnish an (2) The driver agrees to and complies
application for employment in accord- with the following conditions:
ance with § 391.21; (i) A source of rapidly absorbable glu-
(2) Make the investigations and in- cose shalll be carried at all times while
quiries specified in § 391.23 with respect driving;
to that person; (ii) Blood glucose levels shall be self-
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(3) Perform the annual driving record monitored one hour prior to driving
inquiry required by § 391.25(a); and at least once every four hours

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Federal Motor Carrier Safety Administration, DOT § 391.65

while driving or on duty prior to driv- (1) The driver is regularly employed
ing using a portable glucose moni- by another motor carrier; and
toring device equipped with a comput- (2) The motor carrier which regularly
erized memory; employs the driver certifies that the
(iii) Submit blood glucose logs to the driver is fully qualified to drive a com-
endocrinologist or medical examiner at mercial motor vehicle in a written
the annual examination or when other- statement which—
wise directed by an authorized agent of (i) Is signed and dated by an officer
the FMCSA; or authorized employee of the regu-
(iv) Provide a copy of the larly employing carrier;
endocrinologist’s report to the medical (ii) Contains the driver’s name and
examiner at the time of the annual signature;
medical examination; and (iii) Certifies that the driver has been
(v) Provide a copy of the annual med- regularly employed as defined in § 390.5;
ical certification to the employer for (iv) Certifies that the driver is fully
retention in the driver’s qualification qualified to drive a commercial motor
file and retain a copy of the certifi- vehicle under the rules in part 391 of
cation on his/her person while driving the Federal Motor Carrier Safety Regu-
for presentation to a duly authorized lations;
Federal, State or local enforcement of- (v) States the expiration date of the
ficial. driver’s medical examiner’s certificate;
(b) The provisions of § 391.41(b)(10) do (vi) Specifies an expiration date for
not apply to a driver who was a partici- the certificate, which shall be not
pant in good standing on March 31, longer than 2 years or, if earlier, the
1996, in a waiver study program con- expiration date of the driver’s current
cerning the operation of commercial medical examiner’s certificate; and
motor vehicles by drivers with visual (vii) After April 1, 1977, is substan-
impairment in one eye; provided: tially in accordance with the following
(1) The driver is physically examined form:
every year, including an examination (Name of driver)
by an ophthalmologist or optometrist ———————————————————————
attesting to the fact that the driver: (SS No.)
(i) Is otherwise qualified under (Signature of driver)
§ 391.41; and
(ii) Continues to measure at least 20/ I certify that the above named driver, as
defined in § 390.5 is regularly driving a com-
40 (Snellen) in the better eye.
mercial motor vehicle operated by the below
(2) The driver provides a copy of the named carrier and is fully qualified under
ophthalmologist or optometrist report part 391, Federal Motor Carrier Safety Regu-
to the medical examiner at the time of lations. His/her current medical examiner’s
the annual medical examination. certificate expires on llll (Date)
(3) The driver provides a copy of the This certificate expires:
annual medical certification to the em-
ployer for retention in the driver’s (Date not later than expiration date of
qualification file and retains a copy of medical certificate)
the certification on his/her person Issued on llll (date)
while driving for presentation to a duly Issued by llllllllll
authorized federal, state or local en- (Name of carrier)
forcement official.
(Address)
[61 FR 13346, Mar. 26, 1996] (Signature)
§ 391.65 Drivers furnished by other (Title)
motor carriers. (b) A motor carrier that obtains a
(a) A motor carrier may employ a certificate in accordance with para-
driver who is not a regularly employed graph (a)(2) of this section shall:
driver of that motor carrier without (1) Contact the motor carrier which
complying with the generally applica- certified the driver’s qualifications
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ble driver qualification file require- under this section to verify the valid-
ments in this part, if— ity of the certificate. This contact may

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§ 391.67 49 CFR Ch. III (10–1–07 Edition)

be made in person, by telephone, or by (d) Subpart F (relating to mainte-


letter. nance of files and records).
(2) Retain a copy of that certificate [63 FR 33278, June 18, 1998]
in its files for three years.
(c) A motor carrier which certifies a § 391.69 Private motor carrier of pas-
driver’s qualifications under this sec- sengers (business).
tion shall be responsible for the accu- The provisions of § 391.21 (relating to
racy of the certificate. The certificate applications for employment), § 391.23
is no longer valid if the driver leaves (relating to investigations and inquir-
the employment of the motor carrier ies), and § 391.31 (relating to road tests)
which issued the certificate or is no do not apply to a driver who was a sin-
longer qualified under the rules in this gle-employer driver (as defined in
part. § 390.5 of this subchapter) of a private
motor carrier of passengers (business)
[41 FR 36656, Aug. 31, 1976, as amended at 53 as of July 1, 1994, so long as the driver
FR 18057, May 19, 1988; 60 FR 38745, July 28,
continues to be a single-employer driv-
1995; 63 FR 33278, June 18, 1998; 67 FR 61824,
Oct. 2, 2002]
er of that motor carrier.
[63 FR 33278, June 18, 1998]
§ 391.67 Farm vehicle drivers of articu-
lated commercial motor vehicles. § 391.71 [Reserved]
The following rules in this part do
not apply to a farm vehicle driver (as PART 392—DRIVING OF
defined in § 390.5 of this subchapter) COMMERCIAL MOTOR VEHICLES
who is 18 years of age or older and who
drives an articulated commercial Subpart A—General
motor vehicle: Sec.
(a) Section 391.11(b)(1), (b)(6) and 392.1 Scope of the rules in this part.
(b)(8) (relating to general qualifica- 392.2 Applicable operating rules.
tions of drivers); 392.3 Ill or fatigued operator.
392.4 Drugs and other substances.
(b) Subpart C (relating to disclosure 392.5 Alcohol prohibition.
of, investigation into, and inquiries 392.6 Schedules to conform with speed lim-
about the background, character, and its.
driving record of drivers); 392.7 Equipment, inspection and use.
(c) Subpart D (relating to road tests); 392.8 Emergency equipment, inspection, and
and use.
392.9 Inspection of cargo, cargo securement
(d) Subpart F (relating to mainte- devices and systems.
nance of files and records). 392.9a Operating authority.
[63 FR 33278, June 18, 1998]
Subpart B—Driving of Commercial Motor
Vehicles
§ 391.68 Private motor carrier of pas-
sengers (nonbusiness). 392.10 Railroad grade crossings; stopping re-
The following rules in this part do quired.
392.11 Railroad grade crossings; slowing
not apply to a private motor carrier of down required.
passengers (nonbusiness) and its driv- 392.12–392.13 [Reserved]
ers: 392.14 Hazardous conditions; extreme cau-
(a) Section 391.11(b)(1), (b)(6) and tion.
(b)(8) (relating to general qualifica- 392.15 [Reserved]
392.16 Use of seat belts.
tions of drivers);
392.18 [Reserved]
(b) Subpart C (relating to disclosure
of, investigation into, and inquiries Subpart C—Stopped Commercial Motor
about the background, character, and Vehicles
driving record of, drivers);
392.20–392.21 [Reserved]
(c) So much of §§ 391.41 and 391.45 as 392.22 Emergency signals; stopped commer-
require a driver to be medically exam-
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cial motor vehicles.


ined and to have a medical examiner’s 392.24 Emergency signals; flame-producing.
certificate on his/her person; and 392.25 Flame producing devices.

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Federal Motor Carrier Safety Administration, DOT § 392.4

Subpart D—Use of Lighted Lamps and operated. However, if a regulation of


Reflectors the Federal Motor Carrier Safety Ad-
ministration imposes a higher standard
392.30–392.32 [Reserved]
of care than that law, ordinance or reg-
392.33 Obscured lamps or reflective devices/
material. ulation, the Federal Motor Carrier
Safety Administration regulation must
Subpart E—License Revocation; Duties of be complied with.
Driver [35 FR 7800, May 21, 1970, as amended at 60
392.40–392.41 [Reserved] FR 38746, July 28, 1995]

Subpart F—Fueling Precautions § 392.3 Ill or fatigued operator.


No driver shall operate a commercial
392.50 Ignition of fuel; prevention.
392.51 Reserve fuel; materials of trade.
motor vehicle, and a motor carrier
392.52 [Reserved] shall not require or permit a driver to
operate a commercial motor vehicle,
Subpart G—Prohibited Practices while the driver’s ability or alertness is
so impaired, or so likely to become im-
392.60 Unauthorized persons not to be trans- paired, through fatigue, illness, or any
ported.
392.61 [Reserved]
other cause, as to make it unsafe for
392.62 Safe operation, buses. him/her to begin or continue to operate
392.63 Towing or pushing loaded buses. the commercial motor vehicle. How-
392.64 Riding within closed commercial ever, in a case of grave emergency
motor vehicles without proper exits. where the hazard to occupants of the
392.65 [Reserved] commercial motor vehicle or other
392.66 Carbon monoxide; use of commercial users of the highway would be in-
motor vehicle when detected. creased by compliance with this sec-
392.67 Heater, flame-producing; on commer-
cial motor vehicle in motion.
tion, the driver may continue to oper-
392.68–392.69 [Reserved] ate the commercial motor vehicle to
392.71 Radar detectors; use and/or posses- the nearest place at which that hazard
sion. is removed.
AUTHORITY: 49 U.S.C. 13902, 31136, 31502; and [35 FR 7800, May 21, 1970, as amended at 60
49 CFR 1.73. FR 38746, July 28, 1995]
SOURCE: 33 FR 19732, Dec. 25, 1968, unless
otherwise noted.
§ 392.4 Drugs and other substances.
EDITORIAL NOTE: Nomenclature changes to (a) No driver shall be on duty and
part 392 appear at 66 FR 49874, Oct. 1, 2001. possess, be under the influence of, or
use, any of the following drugs or other
substances:
Subpart A—General (1) Any 21 CFR 1308.11 Schedule I sub-
§ 392.1 Scope of the rules in this part. stance;
(2) An amphetamine or any formula-
Every motor carrier, its officers, tion thereof (including, but not lim-
agents, representatives, and employees ited, to ‘‘pep pills,’’ and ‘‘bennies’’);
responsible for the management, main- (3) A narcotic drug or any derivative
tenance, operation, or driving of com- thereof; or
mercial motor vehicles, or the hiring,
(4) Any other substance, to a degree
supervising, training, assigning, or dis-
which renders the driver incapable of
patching of drivers, shall be instructed
safely operating a motor vehicle.
in and comply with the rules in this
(b) No motor carrier shall require or
part.
permit a driver to violate paragraph (a)
[53 FR 18057, May 19, 1988, as amended at 60 of this section.
FR 38746, July 28, 1995] (c) Paragraphs (a) (2), (3), and (4) do
not apply to the possession or use of a
§ 392.2 Applicable operating rules. substance administered to a driver by
Every commercial motor vehicle or under the instructions of a licensed
must be operated in accordance with medical practitioner, as defined in
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the laws, ordinances, and regulations § 382.107 of this subchapter, who has ad-
of the jurisdiction in which it is being vised the driver that the substance will

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§ 392.5 49 CFR Ch. III (10–1–07 Edition)

not affect the driver’s ability to safely (d) Any driver who is issued an out-
operate a motor vehicle. of-service order under this section
(d) As used in this section, ‘‘posses- shall:
sion’’ does not include possession of a (1) Report such issuance to his/her
substance which is manifested and employer within 24 hours; and
transported as part of a shipment. (2) Report such issuance to a State
official, designated by the State which
[61 FR 9567, Mar. 8, 1996, as amended at 62 FR
37153, July 11, 1997]
issued his/her driver’s license, within 30
days unless the driver chooses to re-
§ 392.5 Alcohol prohibition. quest a review of the order. In this
case, the driver shall report the order
(a) No driver shall— to the State official within 30 days of
(1) Use alcohol, as defined in § 382.107 an affirmation of the order by either
of this subchapter, or be under the in- the Division Administrator or State
fluence of alcohol, within 4 hours be- Director for the geographical area or
fore going on duty or operating, or hav- the Administrator.
ing physical control of, a commercial (e) Any driver who is subject to an
motor vehicle; or out-of-service order under this section
(2) Use alcohol, be under the influ- may petition for review of that order
ence of alcohol, or have any measured by submitting a petition for review in
alcohol concentration or detected pres- writing within 10 days of the issuance
ence of alcohol, while on duty, or oper- of the order to the Division Adminis-
ating, or in physical control of a com- trator or State Director for the geo-
mercial motor vehicle; or graphical area in which the order was
(3) Be on duty or operate a commer- issued. The Division Administrator or
cial motor vehicle while the driver pos- State Director may affirm or reverse
sesses wine of not less than one-half of the order. Any driver adversely af-
one per centum of alcohol by volume, fected by such order of the Regional
beer as defined in 26 U.S.C. 5052(a), of Director of Motor Carriers may peti-
the Internal Revenue Code of 1954, and tion the Administrator for review in
distilled spirits as defined in section accordance with 49 CFR 386.13.
5002(a)(8), of such Code. However, this
does not apply to possession of wine, (49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)
beer, or distilled spirits which are: [47 FR 47837, Oct. 28, 1982, as amended at 52
(i) Manifested and transported as FR 27201, July 20, 1987; 59 FR 7515, Feb. 15,
part of a shipment; or 1994; 61 FR 9567, Mar. 8, 1996]
(ii) Possessed or used by bus pas-
§ 392.6 Schedules to conform with
sengers. speed limits.
(b) No motor carrier shall require or
permit a driver to— No motor carrier shall schedule a run
(1) Violate any provision of para- nor permit nor require the operation of
graph (a) of this section; or any commercial motor vehicle between
(2) Be on duty or operate a commer- points in such period of time as would
cial motor vehicle if, by the driver’s necessitate the commercial motor ve-
general appearance or conduct or by hicle being operated at speeds greater
other substantiating evidence, the than those prescribed by the jurisdic-
driver appears to have used alcohol tions in or through which the commer-
within the preceding four hours. cial motor vehicle is being operated.
(c) Any driver who is found to be in [33 FR 19732, Dec. 25, 1968, as amended at 60
violation of the provisons of paragraph FR 38746, July 28, 1995]
(a) or (b) of this section shall be placed
out-of-service immediately for a period § 392.7 Equipment, inspection and use.
of 24 hours. No commercial motor vehicle shall
(1) The 24-hour out-of-service period be driven unless the driver is satisfied
will commence upon issuance of an that the following parts and acces-
out-of-service order. sories are in good working order, nor
(2) No driver shall violate the terms shall any driver fail to use or make use
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of an out-of-service order issued under of such parts and accessories when and
this section. as needed:

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Federal Motor Carrier Safety Administration, DOT § 392.9a
Service brakes, including trailer brake con- tion have been complied with before he/
nections. she drives that commercial motor vehi-
Parking (hand) brake. cle;
Steering mechanism.
Lighting devices and reflectors. (2) Inspect the cargo and the devices
Tires. used to secure the cargo within the
Horn. first 50 miles after beginning a trip and
Windshield wiper or wipers. cause any adjustments to be made to
Rear-vision mirror or mirrors. the cargo or load securement devices as
Coupling devices. necessary, including adding more se-
[33 FR 19732, Dec. 25, 1968, as amended at 60 curement devices, to ensure that cargo
FR 38746, July 28, 1995] cannot shift on or within, or fall from
the commercial motor vehicle; and
§ 392.8 Emergency equipment, inspec-
tion and use. (3) Reexamine the commercial motor
vehicle’s cargo and its load securement
No commercial motor vehicle shall devices during the course of transpor-
be driven unless the driver thereof is tation and make any necessary adjust-
satisfied that the emergency equip- ment to the cargo or load securement
ment required by § 393.95 of this sub- devices, including adding more secure-
chapter is in place and ready for use; ment devices, to ensure that cargo can-
nor shall any driver fail to use or make not shift on or within, or fall from, the
use of such equipment when and as commercial motor vehicle. Reexamina-
needed. tion and any necessary adjustments
[49 FR 38290, Sept. 28, 1984, as amended at 60 must be made whenever—
FR 38746, July 28, 1995] (i) The driver makes a change of his/
her duty status; or
§ 392.9 Inspection of cargo, cargo se- (ii) The commercial motor vehicle
curement devices and systems. has been driven for 3 hours; or
(a) General. A driver may not operate (iii) The commercial motor vehicle
a commercial motor vehicle and a has been driven for 150 miles, which-
motor carrier may not require or per- ever occurs first.
mit a driver to operate a commercial (4) The rules in this paragraph (b) do
motor vehicle unless— not apply to the driver of a sealed com-
(1) The commercial motor vehicle’s mercial motor vehicle who has been or-
cargo is properly distributed and ade- dered not to open it to inspect its cargo
quately secured as specified in§§ 393.100 or to the driver of a commercial motor
through 393.136 of this subchapter. vehicle that has been loaded in a man-
(2) The commercial motor vehicle’s ner that makes inspection of its cargo
tailgate, tailboard, doors, tarpaulins, impracticable.
spare tire and other equipment used in
its operation, and the means of fas- [67 FR 61224, Sept. 27, 2002, as amended at 72
FR 55703, Oct. 1, 2007]
tening the commercial motor vehicle’s
cargo, are secured; and § 392.9a Operating authority.
(3) The commercial motor vehicle’s
cargo or any other object does not ob- (a) Operating authority required. A
scure the driver’s view ahead or to the motor vehicle providing transportation
right or left sides (except for drivers of requiring operating authority must not
self-steer dollies), interfere with the be operated—
free movement of his/her arms or legs, (1) Without the required operating
prevent his/her free and ready access to authority or
accessories required for emergencies, (2) Beyond the scope of the operating
or prevent the free and ready exit of authority granted.
any person from the commercial motor (b) Penalties. Every motor vehicle
vehicle’s cab or driver’s compartment. providing transportation requiring op-
(b) Drivers of trucks and truck tractors. erating authority shall be ordered out
Except as provided in paragraph (b)(4) of service if it is determined that the
of this section, the driver of a truck or motor carrier responsible for the oper-
truck tractor must— ation of such a vehicle is operating in
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(1) Assure himself/herself that the violation of paragraph (a) of this sec-
provisions of paragraph (a) of this sec- tion. In addition, the motor carrier

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§ 392.10 49 CFR Ch. III (10–1–07 Edition)

may be subject to penalties in accord- (xiii) Class 3 Combustible liquid


ance with 49 U.S.C. 14901. (xiv) Division 4.1
(c) Administrative Review. Upon (xv) Division 5.1
issuance of the out-of-service order (xvi) Division 5.2
under paragraph (b) of this section, the (xvii) Class 8
driver shall comply immediately with
(xviii) Division 1.4
such order. Opportunity for review
shall be provided in accordance with 5 (4) Every cargo tank motor vehicle,
U.S.C. 554 not later than 10 days after whether loaded or empty, used for the
issuance of such order. transportation of any hazardous mate-
rial as defined in the Hazardous Mate-
[71 FR 50867, Aug. 28, 2006] rials Regulations of the Department of
Transportation, Parts 107 through 180
Subpart B—Driving of Commercial of this title.
Motor Vehicles (5) Every cargo tank motor vehicle
transporting a commodity which at the
§ 392.10 Railroad grade crossings; time of loading has a temperature
stopping required.
above its flashpoint as determined by
(a) Except as provided in paragraph § 173.120 of this title.
(b) of this section, the driver of a com- (6) Every cargo tank motor vehicle,
mercial motor vehicle specified in whether loaded or empty, transporting
paragraphs (a) (1) through (6) of this any commodity under exemption in ac-
section shall not cross a railroad track cordance with the provisions of subpart
or tracks at grade unless he/she first: B of part 107 of this title.
Stops the commercial motor vehicle
(b) A stop need not be made at:
within 50 feet of, and not closer than 15
feet to, the tracks; thereafter listens (1) A streetcar crossing, or railroad
and looks in each direction along the tracks used exclusively for industrial
tracks for an approaching train; and switching purposes, within a business
ascertains that no train is approach- district, as defined in § 390.5 of this
ing. When it is safe to do so, the driver chapter.
may drive the commercial motor vehi- (2) A railroad grade crossing when a
cle across the tracks in a gear that per- police officer or crossing flagman di-
mits the commercial motor vehicle to rects traffic to proceed,
complete the crossing without a (3) A railroad grade crossing con-
change of gears. The driver must not trolled by a functioning highway traf-
shift gears while crossing the tracks. fic signal transmitting a green indica-
(1) Every bus transporting pas- tion which, under local law, permits
sengers, the commercial motor vehicle to pro-
(2) Every commercial motor vehicle ceed across the railroad tracks without
transporting any quantity of a Division slowing or stopping.
2.3 chlorine. (4) An abandoned railroad grade
(3) Every commercial motor vehicle crossing which is marked with a sign
which, in accordance with the regula- indicating that the rail line is aban-
tions of the Department of Transpor- doned,
tation, is required to be marked or (5) An industrial or spur line railroad
placarded with one of the following grade crossing marked with a sign
classifications: reading ‘‘Exempt.’’ Such ‘‘Exempt’’
(i) Division 1.1 signs shall be erected only by or with
(ii) Division 1.2, or Division 1.3 the consent of the appropriate State or
(iii) Division 2.3 Poison gas
local authority.
(iv) Division 4.3
(v) Class 7 (Sec. 12, 80 Stat. 931; 49 U.S.C. 1651 note; 49
(vi) Class 3 Flammable U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)
(vii) Division 5.1 [33 FR 19732, Dec. 25, 1968, as amended at 35
(viii) Division 2.2 FR 7801, May 21, 1970; 38 FR 1589, Jan. 16,
(ix) Division 2.3 Chlorine 1973; 40 FR 44555, Sept. 29, 1975; 45 FR 46424,
(x) Division 6.1 Poison July 10, 1980; 47 FR 47837, Oct. 28, 1982; 59 FR
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(xi) Division 2.2 Oxygen 63924, Dec. 12, 1994; 60 FR 38746, 38747, July 28,
(xii) Division 2.1 1995]

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Federal Motor Carrier Safety Administration, DOT § 392.22

§ 392.11 Railroad grade crossings; § 392.18 [Reserved]


slowing down required.
Every commercial motor vehicle Subpart C—Stopped Commercial
other than those listed in § 392.10 shall, Motor Vehicles
upon approaching a railroad grade
crossing, be driven at a rate of speed §§ 392.20–392.21 [Reserved]
which will permit said commercial § 392.22 Emergency signals; stopped
motor vehicle to be stopped before commercial motor vehicles.
reaching the nearest rail of such cross- (a) Hazard warning signal flashers.
ing and shall not be driven upon or Whenever a commercial motor vehicle
over such crossing until due caution is stopped upon the traveled portion of
has been taken to ascertain that the a highway or the shoulder of a highway
course is clear. for any cause other than necessary
[33 FR 19732, Dec. 25, 1968, as amended at 60 traffic stops, the driver of the stopped
FR 38747, July 28, 1995] commercial motor vehicle shall imme-
diately activate the vehicular hazard
§§ 392.12–392.13 [Reserved] warning signal flashers and continue
the flashing until the driver places the
§ 392.14 Hazardous conditions; ex- warning devices required by paragraph
treme caution. (b) of this section. The flashing signals
Extreme caution in the operation of shall be used during the time the warn-
a commercial motor vehicle shall be ing devices are picked up for storage
before movement of the commercial
exercised when hazardous conditions,
motor vehicle. The flashing lights may
such as those caused by snow, ice,
be used at other times while a commer-
sleet, fog, mist, rain, dust, or smoke, cial motor vehicle is stopped in addi-
adversely affect visibility or traction. tion to, but not in lieu of, the warning
Speed shall be reduced when such con- devices required by paragraph (b) of
ditions exist. If conditions become suf- this section.
ficiently dangerous, the operation of (b) Placement of warning devices—(1)
the commercial motor vehicle shall be General rule. Except as provided in
discontinued and shall not be resumed paragraph (b)(2) of this section, when-
until the commercial motor vehicle ever a commercial motor vehicle is
can be safely operated. Whenever com- stopped upon the traveled portion or
pliance with the foregoing provisions of the shoulder of a highway for any
this rule increases hazard to pas- cause other than necessary traffic
sengers, the commercial motor vehicle stops, the driver shall, as soon as pos-
may be operated to the nearest point sible, but in any event within 10 min-
at which the safety of passengers is as- utes, place the warning devices re-
sured. quired by § 393.95 of this subchapter, in
the following manner:
[33 FR 19732, Dec. 25, 1968, as amended at 60 (i) One on the traffic side of and 4
FR 38747, July 28, 1995] paces (approximately 3 meters or 10
feet) from the stopped commercial
§ 392.15 [Reserved]
motor vehicle in the direction of ap-
§ 392.16 Use of seat belts. proaching traffic;
(ii) One at 40 paces (approximately 30
A commercial motor vehicle which meters or 100 feet) from the stopped
has a seat belt assembly installed at commercial motor vehicle in the cen-
the driver’s seat shall not be driven un- ter of the traffic lane or shoulder occu-
less the driver has properly restrained pied by the commercial motor vehicle
himself/herself with the seat belt as- and in the direction of approaching
sembly. traffic; and
(iii) One at 40 paces (approximately
[35 FR 10860, July 3, 1970, as amended at 60 30 meters or 100 feet) from the stopped
FR 38747, July 28, 1995]
commercial motor vehicle in the cen-
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ter of the traffic lane or shoulder occu-


pied by the commercial motor vehicle

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§ 392.24 49 CFR Ch. III (10–1–07 Edition)

and in the direction away from ap- er shall place the warning devices re-
proaching traffic. quired by paragraph (b)(1) of this sec-
(2) Special rules—(i) Fusees and liquid- tion, one warning device at a distance
burning flares. The driver of a commer- of 200 feet and one warning device at a
cial motor vehicle equipped with only distance of 100 feet in a direction to-
fusees or liquid-burning flares shall ward approaching traffic in the center
place a lighted fusee or liquid-burning of the lane or shoulder occupied by the
flare at each of the locations specified commercial motor vehicle. He/she shall
in paragraph (b)(1) of this section. place one warning device at the traffic
There shall be at least one lighted side of the commercial motor vehicle
fusee or liquid-burning flare at each of within 10 feet of the rear of the com-
the prescribed locations, as long as the mercial motor vehicle.
commercial motor vehicle is stopped. (vi) Leaking, flammable material. If
Before the stopped commercial motor gasoline or any other flammable liquid,
vehicle is moved, the driver shall ex- or combustible liquid or gas seeps or
tinguish and remove each fusee or liq- leaks from a fuel container or a com-
uid-burning flare. mercial motor vehicle stopped upon a
(ii) Daylight hours. Except as provided highway, no emergency warning signal
in paragraph (b)(2)(iii) of this section, producing a flame shall be lighted or
during the period lighted lamps are not placed except at such a distance from
required, three bidirectional reflective any such liquid or gas as will assure
triangles, or three lighted fusees or liq- the prevention of a fire or explosion.
uid-burning flares shall be placed as
specified in paragraph (b)(1) of this sec- [37 FR 17175, Aug. 25, 1972, as amended at 40
tion within a time of 10 minutes. In the FR 10685, Mar. 7, 1975; 47 FR 47837, Oct. 28,
event the driver elects to use only 1982; 48 FR 57139, Dec. 23, 1983; 59 FR 34711,
July 6, 1994; 60 FR 38747, July 28, 1995; 63 FR
fusees or liquid-burning flares in lieu of
33279, June 18, 1998]
bidirectional reflective triangles or red
flags, the driver must ensure that at § 392.24 Emergency signals; flame-pro-
least one fusee or liquid-burning flare ducing.
remains lighted at each of the pre-
scribed locations as long as the com- No driver shall attach or permit any
mercial motor vehicle is stopped or person to attach a lighted fusee or
parked. other flame-producing emergency sig-
(iii) Business or residential districts. nal to any part of a commercial motor
The placement of warning devices is vehicle.
not required within the business or res- [33 FR 19732, Dec. 25, 1968, as amended at 60
idential district of a municipality, ex- FR 38747, July 28, 1995]
cept during the time lighted lamps are
required and when street or highway § 392.25 Flame producing devices.
lighting is insufficient to make a com- No driver shall use or permit the use
mercial motor vehicle clearly of any flame-producing emergency sig-
discernable at a distance of 500 feet to nal for protecting any commercial
persons on the highway. motor vehicle transporting Division
(iv) Hills, curves, and obstructions. If a 1.1, Division 1.2, or Division 1.3 explo-
commercial motor vehicle is stopped
sives; any cargo tank motor vehicle
within 500 feet of a curve, crest of a
used for the transportation of any
hill, or other obstruction to view, the
Class 3 or Division 2.1, whether loaded
driver shall place the warning signal
or empty; or any commercial motor ve-
required by paragraph (b)(1) of this sec-
hicle using compressed gas as a motor
tion in the direction of the obstruction
fuel. In lieu thereof, emergency reflec-
to view a distance of 100 feet to 500 feet
tive triangles, red electric lanterns, or
from the stopped commercial motor ve-
red emergency reflectors shall be used,
hicle so as to afford ample warning to
the placement of which shall be in the
other users of the highway.
same manner as prescribed in
(v) Divided or one-way roads. If a com-
mercial motor vehicle is stopped upon § 392.22(b).
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the traveled portion or the shoulder of [59 FR 63925, Dec. 12, 1994, as amended at 60
a divided or one-way highway, the driv- FR 38747, July 28, 1995]

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Federal Motor Carrier Safety Administration, DOT § 392.60

Subpart D—Use of Lighted Lamps (a) The aggregate gross weight of all
and Reflectors materials of trade on a motor vehicle
may not exceed 200 kg (440 pounds).
§§ 392.30–392.32 [Reserved] (b) Packaging for gasoline must be
made of metal or plastic and conform
§ 392.33 Obscured lamps or reflective to requirements of 49 CFR Parts 171,
devices/material. 172, 173, and 178 or requirements of the
Occupational Safety and Health Ad-
(a) No commercial motor vehicle
ministration contained in 29 CFR
shall be driven when any of the lamps
1910.106.
or reflective devices/material required (c) For Packing Group II (including
by subpart B of part 393 of this title are gasoline), Packing Group III (including
obscured by the tailboard, or by any aviation fuel and fuel oil), or ORM-D,
part of the load or its covering, by dirt, the material is limited to 30 kg (66
or other added vehicle or work equip- pounds) or 30 L (8 gallons).
ment or otherwise. (d) For diesel fuel, the capacity of the
(b) Exception. The conspicuity treat- package is limited to 450 L (119 gal-
ments on the front end protection de- lons).
vices of the trailer may be obscured by (e) A Division 2.1 material in a cyl-
part of the load being transported. inder is limited to a gross weight of 100
[70 FR 48025, Aug. 15, 2005] kg (220 pounds). (A Division 2.1 mate-
rial is a flammable gas, including liq-
uefied petroleum gas, butane, propane,
Subpart E—License Revocation; liquefied natural gas, and methane).
Duties of Driver
[63 FR 33279, June 18, 1998]
§§ 392.40–392.41 [Reserved]
§ 392.52 [Reserved]

Subpart F—Fueling Precautions Subpart G—Prohibited Practices


§ 392.50 Ignition of fuel; prevention. § 392.60 Unauthorized persons not to
No driver or any employee of a motor be transported.
carrier shall: (a) Unless specifically authorized in
(a) Fuel a commercial motor vehicle writing to do so by the motor carrier
with the engine running, except when under whose authority the commercial
it is necessary to run the engine to fuel motor vehicle is being operated, no
the commercial motor vehicle; driver shall transport any person or
(b) Smoke or expose any open flame permit any person to be transported on
in the vicinity of a commercial motor any commercial motor vehicle other
vehicle being fueled; than a bus. When such authorization is
(c) Fuel a commercial motor vehicle issued, it shall state the name of the
unless the nozzle of the fuel hose is person to be transported, the points
continuously in contact with the in- where the transportation is to begin
take pipe of the fuel tank; and end, and the date upon which such
(d) Permit, insofar as practicable, authority expires. No written author-
any other person to engage in such ac- ization, however, shall be necessary for
tivities as would be likely to result in the transportation of:
fire or explosion. (1) Employees or other persons as-
signed to a commercial motor vehicle
[33 FR 19732, Dec. 25, 1968, as amended at 60 by a motor carrier;
FR 38747, July 28, 1995] (2) Any person transported when aid
is being rendered in case of an accident
§ 392.51 Reserve fuel; materials of or other emergency;
trade. (3) An attendant delegated to care for
Small amounts of fuel for the oper- livestock.
ation or maintenance of a commercial (b) This section shall not apply to the
motor vehicle (including its auxiliary operation of commercial motor vehi-
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equipment) may be designated as mate- cles controlled and operated by any


rials of trade (see 49 CFR 171.8). farmer and used in the transportation

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§ 392.61 49 CFR Ch. III (10–1–07 Edition)

of agricultural commodities or prod- shall be in such condition as to permit


ucts thereof from his/her farm or in the ready operation by the occupant.
transportation of supplies to his/her
[33 FR 19732, Dec. 25, 1968, as amended at 60
farm. FR 38747, July 28, 1995]
[60 FR 38747, July 28, 1995]
§ 392.65 [Reserved]
§ 392.61 [Reserved]
§ 392.66 Carbon monoxide; use of com-
§ 392.62 Safe operation, buses. mercial motor vehicle when de-
tected.
No person shall drive a bus and a
motor carrier shall not require or per- (a) No person shall dispatch or drive
mit a person to drive a bus unless— any commercial motor vehicle or per-
(a) All standees on the bus are rear- mit any passengers thereon, when the
ward of the standee line or other means following conditions are known to
prescribed in § 393.90 of this subchapter; exist, until such conditions have been
(b) All aisle seats in the bus conform remedied or repaired:
to the requirements of § 393.91 of this (1) Where an occupant has been af-
subchapter; and fected by carbon monoxide;
(c) Baggage or freight on the bus is (2) Where carbon monoxide has been
stowed and secured in a manner which detected in the interior of the commer-
assures— cial motor vehicle;
(1) Unrestricted freedom of move- (3) When a mechanical condition of
ment to the driver and his proper oper- the commercial motor vehicle is dis-
ation of the bus; covered which would be likely to
(2) Unobstructed access to all exits produce a hazard to the occupants by
by any occupant of the bus; and reason of carbon monoxide.
(3) Protection of occupants of the bus (b) [Reserved]
against injury resulting from the fall- [60 FR 38747, July 28, 1995]
ing or displacement of articles trans-
ported in the bus. § 392.67 Heater, flame-producing; on
[63 FR 33278, June 18, 1998] commercial motor vehicle in mo-
tion.
§ 392.63 Towing or pushing loaded No open flame heater used in the
buses. loading or unloading of the commodity
No disabled bus with passengers transported shall be in operation while
aboard shall be towed or pushed; nor the commercial motor vehicle is in mo-
shall any person use or permit to be tion.
used a bus with passengers aboard for
[33 FR 19732, Dec. 25, 1968, as amended at 60
the purpose of towing or pushing any FR 38747, July 28, 1995]
disabled motor vehicle, except in such
circumstances where the hazard to pas- §§ 392.68–392.69 [Reserved]
sengers would be increased by observ-
ance of the foregoing provisions of this § 392.71 Radar detectors; use and/or
section, and then only in traveling to possession.
the nearest point where the safety of (a) No driver shall use a radar detec-
the passengers is assured.
tor in a commercial motor vehicle, or
[33 FR 19732, Dec. 25, 1968, as amended at 60 operate a commercial motor vehicle
FR 38747, July 28, 1995] that is equipped with or contains any
radar detector.
§ 392.64 Riding within closed commer- (b) No motor carrier shall require or
cial motor vehicles without proper
exits. permit a driver to violate paragraph (a)
of this section.
No person shall ride within the closed
body of any commercial motor vehicle [58 FR 67375, Dec. 21, 1993]
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unless there are means on the inside


thereof of obtaining exit. Said means

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Federal Motor Carrier Safety Administration, DOT Pt. 393

PART 393—PARTS AND ACCES- 393.61 Truck and truck tractor window con-
struction.
SORIES NECESSARY FOR SAFE 393.62 Emergency exits for buses.
OPERATION 393.63 [Reserved]

Subpart A—General Subpart E—Fuel Systems


Sec. 393.65 All fuel systems.
393.1 Scope of the rules of this part. 393.67 Liquid fuel tanks.
393.3 Additional equipment and accessories. 393.68 Compressed natural gas fuel con-
393.5 Definitions. tainers.
393.7 Matter incorporated by reference. 393.69 Liquefied petroleum gas systems.

Subpart B—Lamps, Reflective Devices, and Subpart F—Coupling Devices and Towing
Electrical Wiring Methods
393.9 Lamps operable, prohibition of ob- 393.70 Coupling devices and towing methods,
structions of lamps and reflectors. except for driveaway-towaway oper-
393.11 Lamps and reflective devices. ations.
393.13 Retroreflective sheeting and reflex 393.71 Coupling devices and towing methods,
reflectors, requirements for semitrailers driveaway-towaway operations.
and trailers manufactured before Decem-
ber 1, 1993. Subpart G—Miscellaneous Parts and
393.17 Lamps and reflectors—combinations Accessories
in driveaway-towaway operation.
393.19 Hazard warning signals. 393.75 Tires.
393.20 [Reserved] 393.76 Sleeper berths.
393.22 Combination of lighting devices and 393.77 Heaters.
reflectors. 393.78 Windshield wiping and washing sys-
393.23 Power supply for lamps. tems.
393.24 Requirements for head lamps, auxil- 393.79 Windshield defrosting and defogging
iary driving lamps and front fog lamps. systems.
393.25 Requirements for lamps other than 393.80 Rear-vision mirrors.
head lamps. 393.81 Horn.
393.26 Requirements for reflex reflectors. 393.82 Speedometer.
393.27 [Reserved] 393.83 Exhaust systems.
393.28 Wiring systems. 393.84 Floors.
393.29 [Reserved] 393.85 [Reserved]
393.30 Battery installation. 393.86 Rear impact guards and rear end pro-
393.31–393.33 [Reserved] tection.
393.87 Warning flags on projecting loads.
Subpart C—Brakes 393.88 Television receivers.
393.89 Buses, driveshaft protection.
393.40 Required brake systems. 393.90 Buses, standee line or bar.
393.41 Parking brake system. 393.91 Buses, aisle seats prohibited.
393.42 Brakes required on all wheels. 393.92 [Reserved]
393.43 Breakaway and emergency braking. 393.93 Seats, seat belt assemblies, and seat
393.44 Front brake lines, protection. belt assembly anchorages.
393.45 Brake tubing and hoses; hose assem- 393.94 Interior noise levels in power units.
blies and end fittings.
393.46 [Reserved] Subpart H—Emergency Equipment
393.47 Brake actuators, slack adjusters, lin-
ings/pads and drums/rotors. 393.95 Emergency equipment on all power
393.48 Brakes to be operative. units.
393.49 Control valves for brakes.
393.50 Reservoirs required. Subpart I—Protection Against Shifting and
393.51 Warning signals, air pressure and vac- Falling Cargo
uum gauges.
393.52 Brake performance. 393.100 Which types of commercial motor
393.53 Automatic brake adjusters and brake vehicles are subject to the cargo secure-
adjustment indicators. ment standards of this subpart, and what
393.55 Antilock brake systems. general requirements apply?
393.102 What are the minimum performance
Subpart D—Glazing and Window criteria for cargo securement devices and
systems?
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Construction
393.104 What standards must cargo secure-
393.60 Glazing in specified openings. ment devices and systems meet in order

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§ 393.1 49 CFR Ch. III (10–1–07 Edition)
to satisfy the requirements of this sub- § 393.1 Scope of the rules in this part.
part?
393.106 What are the general requirements (a) The rules in this part establish
for securing articles of cargo? minimum standards for commercial
393.108 How is the working load limit of a motor vehicles as defined in § 390.5 of
tiedown, or the load restraining value of this title. Only motor vehicles (as de-
a friction mat, determined? fined in § 390.5) and combinations of
393.110 What else do I have to do to deter- motor vehicles which meet the defini-
mine the minimum number of tiedowns? tion of a commercial motor vehicle are
393.112 Must a tiedown be adjustable? subject to the requirements of this
393.114 What are the requirements for front part. All requirements that refer to
end structures used as part of a cargo se- motor vehicles with a GVWR below
curement system?
4,536 kg (10,001 pounds) are applicable
SPECIFIC SECUREMENT REQUIREMENTS BY only when the motor vehicle or com-
COMMODITY TYPE bination of motor vehicles meets the
definition of a commercial motor vehi-
393.116 What are the rules for securing logs?
cle.
393.118 What are the rules for securing
dressed lumber or similar building prod- (b) Every employer and employee
ucts? shall comply and be conversant with
393.120 What are the rules for securing the requirements and specifications of
metal coils? this part. No employer shall operate a
393.122 What are the rules for securing commercial motor vehicle, or cause or
paper rolls? permit it to be operated, unless it is
393.124 What are the rules for securing con- equipped in accordance with the re-
crete pipe? quirements and specifications of this
393.126 What are the rules for securing part.
intermodal containers?
393.128 What are the rules for securing auto- [70 FR 48025, Aug. 15, 2005]
mobiles, light trucks and vans?
393.130 What are the rules for securing § 393.3 Additional equipment and ac-
heavy vehicles, equipment and machin- cessories.
ery? Nothing contained in this subchapter
393.132 What are the rules for securing flat- shall be construed to prohibit the use
tened or crushed vehicles? of additional equipment and acces-
393.134 What are the rules for securing roll- sories, not inconsistent with or prohib-
on/roll-off and hook lift containers? ited by this subchapter, provided such
393.136 What are the rules for securing large
equipment and accessories do not de-
boulders?
crease the safety of operation of the
Subpart J—Frames, Cab and Body Com- motor vehicles on which they are used.
ponents, Wheels, Steering, and Sus-
§ 393.5 Definitions.
pension Systems
As used in this part, the following
393.201 Frames. words and terms are construed to
393.203 Cab and body components. mean:
393.205 Wheels. Aggregate working load limit. The sum-
393.207 Suspension systems. mation of the working load limits or
393.209 Steering wheel systems. restraining capacity of all devices used
AUTHORITY: 49 U.S.C. 322, 31136, and 31502; to secure an article of cargo on a vehi-
Section 1041(b) of Pub. L. 102–240, 105 Stat. cle.
1914, 1993 (1991); and 49 CFR 1.73. Agricultural commodity trailer. A trail-
SOURCE: 33 FR 19735, Dec. 25, 1968, unless er that is designed to transport bulk
otherwise noted. agricultural commodities in off-road
harvesting sites and to a processing
EDITORIAL NOTE: Nomenclature changes to plant or storage location, as evidenced
part 393 appear at 66 FR 49874, Oct. 1, 2001.
by skeletal construction that accom-
modates harvest containers, a max-
Subpart A—General imum length of 28 feet, and an arrange-
ment of air control lines and reservoirs
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SOURCE: 53 FR 49384, Dec. 7, 1988, unless that minimizes damage in field oper-
otherwise noted. ations.

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Federal Motor Carrier Safety Administration, DOT § 393.5

Air brake system. A system, including horizontal movement of the article of


an air-over-hydraulic brake subsystem, cargo.
that uses air as a medium for transmit- Boat trailer. A trailer designed with
ting pressure or force from the driver cradle-type mountings to transport a
control to the service brake, but does boat and configured to permit launch-
not include a system that uses com- ing of the boat from the rear of the
pressed air or vacuum only to assist trailer.
the driver in applying muscular force Bracing. A structure, device, or an-
to hydraulic or mechanical compo- other substantial article placed against
nents. an article of cargo to prevent it from
Air-over-hydraulic brake subsystem. A tipping, that may also prevent it from
subsystem of the air brake system that shifting.
uses compressed air to transmit a force Brake. An energy conversion mecha-
from the driver control to a hydraulic nism used to stop, or hold a vehicle
brake system to actuate the service stationary.
brakes. Brake power assist unit. A device in-
Anchor point. Part of the structure, stalled in a hydraulic brake system
fitting or attachment on a vehicle or that reduces the operator effort re-
article of cargo to which a tiedown is quired to actuate the system, but
attached. which if inoperative does not prevent
Antilock Brake System or ABS means a the operator from braking the vehicle
portion of a service brake system that by a continued application of muscular
automatically controls the degree of force on the service brake control.
rotational wheel slip during braking Brake power unit. A device installed
by: in a brake system that provides the en-
(1) Sensing the rate of angular rota- ergy required to actuate the brakes, ei-
tion of the wheels; ther directly or indirectly through an
(2) Transmitting signals regarding auxiliary device, with the operator ac-
the rate of wheel angular rotation to tion consisting only of modulating the
one or more controlling devices which energy application level.
interpret those signals and generate re- Brake tubing/hose. Metallic brake tub-
sponsive controlling output signals; ing, nonmetallic brake tubing and
and brake hose are conduits or lines used in
(3) Transmitting those controlling a brake system to transmit or contain
signals to one or more modulators the medium (fluid or vacuum) used to
which adjust brake actuating forces in apply the motor vehicle’s brakes.
response to those signals. Chassis. The load-supporting frame of
Article of cargo. A unit of cargo, other a commercial motor vehicle, exclusive
than a liquid, gas, or aggregate that of any appurtenances which might be
lacks physical structure (e.g., grain, added to accommodate cargo.
gravel, etc.) including articles grouped Clearance Lamps. Lamps that provide
together so that they can be handled as light to the front or rear, mounted on
a single unit or unitized by wrapping, the permanent structure of the vehicle,
strapping, banding or edge protection such that they indicate the overall
device(s). width of the vehicle.
Auxiliary driving lamp. A lighting de- Container chassis trailer. A semitrailer
vice mounted to provide illumination of skeleton construction limited to a
forward of the vehicle which supple- bottom frame, one or more axles, spe-
ments the upper beam of a standard cially built and fitted with locking de-
headlighting system. It is not intended vices for the transport of intermodal
for use alone or with the lower beam of cargo containers, so that when the
a standard headlamp system. chassis and container are assembled,
Bell pipe concrete. Pipe whose flanged the units serve the same function as an
end is of larger diameter than its bar- over the road trailer.
rel. Converter dolly. A motor vehicle con-
Blocking. A structure, device or an- sisting of a chassis equipped with one
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other substantial article placed against or more axles, a fifth wheel and/or
or around an article of cargo to prevent equivalent mechanism, and drawbar,

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§ 393.5 49 CFR Ch. III (10–1–07 Edition)

the attachment of which converts a main beams, and are an integral part of
semitrailer to a full trailer. the vehicle.
Crib-type log trailer means a trailer Friction mat. A device placed between
equipped with stakes, bunks, a front- the deck of a vehicle and article of
end structure, and a rear structure to cargo, or between articles of cargo, in-
restrain logs. The stakes prevent move- tended to provide greater friction than
ment of the logs from side to side on exists naturally between these sur-
the vehicle while the front-end and faces.
rear structures prevent movement of Front fog lamp. A lighting device
the logs from front to back on the vehi- whose beam provides downward illu-
cle. mination forward of the vehicle and
Curb weight. The weight of a motor close to the ground, and is to be used
vehicle with standard equipment, max- only under conditions of rain, snow,
imum capacity of fuel, oil, and coolant; dust, smoke or fog. A pair of fog lamps
and, if so equipped, air conditioning may be used alone, with parking, tail,
and additional weight of optional en- side, marker, clearance and identifica-
gine. Curb weight does not include the tion lamps, or with a lower beam
driver. headlamp at the driver’s discretion in
Dunnage. All loose materials used to accordance with state and local use
support and protect cargo. law.
Fuel tank fitting. Any removable de-
Dunnage bag. An inflatable bag in-
vice affixed to an opening in the fuel
tended to fill otherwise empty space
tank with the exception of the filler
between articles of cargo, or between
cap.
articles of cargo and the wall of the ve-
g. The acceleration due to gravity,
hicle.
32.2 ft/sec2 (9.81 m/sec2).
Edge protector. A device placed on the Grommet. A device that serves as a
exposed edge of an article to distribute support and protection to that which
tiedown forces over a larger area of passes through it.
cargo than the tiedown itself, to pro- Hazard warning signal. Lamps that
tect the tie-down and/or cargo from flash simultaneously to the front and
damage, and to allow the tiedown to rear, on both the right and left sides of
slide freely when being tensioned. a commercial motor vehicle, to indi-
Electric brake system. A system that cate to an approaching driver the pres-
uses electric current to actuate the ence of a vehicular hazard.
service brake. Head lamps. Lamps used to provide
Emergency brake. A mechanism de- general illumination ahead of a motor
signed to stop a motor vehicle after a vehicle.
failure of the service brake system. Heater. Any device or assembly of de-
Emergency brake system. A mechanism vices or appliances used to heat the in-
designed to stop a vehicle after a single terior of any motor vehicle. This in-
failure occurs in the service brake sys- cludes a catalytic heater which must
tem of a part designed to contain com- meet the requirements of § 177.834(l)(2)
pressed air or brake fluid or vacuum of this title when Class 3 (flammable
(except failure of a common valve, liquid) or Division 2.1 (flammable gas)
manifold brake fluid housing or brake is transported.
chamber housing). Heavy hauler trailer. A trailer which
Fifth wheel. A device mounted on a has one or more of the following char-
truck tractor or similar towing vehicle acteristics, but which is not a con-
(e.g., converter dolly) which interfaces tainer chassis trailer:
with and couples to the upper coupler (1) Its brake lines are designed to
assembly of a semitrailer. adapt to separation or extension of the
Frame vehicle. A vehicle with skeletal vehicle frame; or
structure fitted with one or more bunk (2) Its body consists only of a plat-
units for transporting logs. A bunk form whose primary cargo-carrying
unit consists of U-shaped front and surface is not more than 1,016 mm (40
rear bunks that together cradle logs. inches) above the ground in an un-
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The bunks are welded, gusseted or oth- loaded condition, except that it may
erwise firmly fastened to the vehicle’s include sides that are designed to be

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Federal Motor Carrier Safety Administration, DOT § 393.5

easily removable and a permanent rearmost point of the rearmost tires


‘‘front-end structure’’ as that term is and which has a lower rear surface that
used in § 393.106 of this title. meets the guard configuration require-
Hook-lift container. A specialized con- ments of § 393.86(b)(1).
tainer, primarily used to contain and Manufactured home means a struc-
transport materials in the waste, recy- ture, transportable in one or more sec-
cling, construction/demolition and tions, which in the traveling mode, is
scrap industries, which is used in con- eight body feet or more in width or
junction with specialized vehicles, in forty body feet or more in length, or,
which the container is loaded and un- when erected on site, is three hundred
loaded onto a tilt frame body by an ar- twenty or more square feet, and which
ticulating hook-arm. is built on a permanent chassis and de-
Hydraulic brake system. A system that signed to be used as a dwelling with or
uses hydraulic fluid as a medium for without a permanent foundation when
transmitting force from a service connected to the required utilities, and
brake control to the service brake, and includes the plumbing, heating, air-
that may incorporate a brake power as- conditioning, and electrical systems
sist unit, or a brake power unit. contained therein. Calculations used to
Identification lamps. Lamps used to determine the number of square feet in
identify certain types of commercial a structure will be based on the struc-
motor vehicles. ture’s exterior dimensions measured at
Integral securement system. A system the largest horizontal projections when
on certain roll-on/roll-off containers erected on site. These dimensions will
and hook-lift containers and their re- include all expandable rooms, cabinets,
lated transport vehicles in which com- and other projections containing inte-
patible front and rear hold down de- rior space, but do not include bay win-
vices are mated to provide securement dows. This term includes all structures
of the complete vehicle and its articles which meet the above requirements ex-
of cargo. cept the size requirements and with re-
Lamp. A device used to produce arti- spect to which the manufacturer volun-
ficial light. tarily files a certification pursuant to
Length of a manufactured home. The 24 CFR 3282.13 and complies with the
largest exterior length in the traveling standards set forth in 24 CFR part 3280.
mode, including any projections which Metal coil means an article of cargo
contain interior space. Length does not comprised of elements, mixtures, com-
include bay windows, roof projections, pounds, or alloys commonly known as
overhangs, or eaves under which there metal, metal foil, metal leaf, forged
is no interior space, nor does it include metal, stamped metal, metal wire,
drawbars, couplings or hitches. metal rod, or metal chain that are
License plate lamp. A lamp used to il- packaged as a roll, coil, spool, wind, or
luminate the license plate on the rear wrap, including plastic or rubber coat-
of a motor vehicle. ed electrical wire and communications
Longwood. All logs that are not cable
shortwood, i.e., are over 4.9 m (16 feet) Multi-piece windshield. A windshield
long. Such logs are usually described as consisting of two or more windshield
long logs or treelength. glazing surface areas.
Low chassis vehicle. (1) A trailer or Parking brake system. A mechanism
semitrailer manufactured on or after designed to prevent the movement of a
January 26, 1998, having a chassis stationary motor vehicle.
which extends behind the rearmost Play. Any free movement of compo-
point of the rearmost tires and which nents.
has a lower rear surface that meets the Pulpwood trailer. A trailer or
guard width, height, and rear surface semitrailer that is designed exclusively
requirements of § 571.224 in effect on for harvesting logs or pulpwood and
the date of manufacture, or a subse- constructed with a skeletal frame with
quent edition. no means for attachment of a solid bed,
(2) A motor vehicle, not described by body, or container.
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paragraph (1) of this definition, having Rail vehicle. A vehicle whose skeletal
a chassis which extends behind the structure is fitted with stakes at the

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§ 393.5 49 CFR Ch. III (10–1–07 Edition)

front and rear to contain logs loaded Service brake system. A primary brake
crosswise. system used for slowing and stopping a
Rear extremity. The rearmost point on vehicle.
a motor vehicle that falls above a hori- Shoring bar. A device placed trans-
zontal plane located 560 mm (22 inches) versely between the walls of a vehicle
above the ground and below a hori- and cargo to prevent cargo from tip-
zontal plane located 1,900 mm (75 ping or shifting.
inches) above the ground when the Shortwood. All logs typically up to 4.9
motor vehicle is stopped on level m (16 feet) long. Such logs are often de-
ground; unloaded; its fuel tanks are scribed as cut-up logs, cut-to-length
full; the tires (and air suspension, if so logs, bolts or pulpwood. Shortwood
equipped) are inflated in accordance may be loaded lengthwise or crosswise,
though that loaded crosswise is usually
with the manufacturer’s recommenda-
no more than 2.6 m (102 inches) long.
tions; and the motor vehicle’s cargo
Sided vehicle. A vehicle whose cargo
doors, tailgate, or other permanent
compartment is enclosed on all four
structures are positioned as they nor- sides by walls of sufficient strength to
mally are when the vehicle is in mo- contain articles of cargo, where the
tion. Nonstructural protrusions such as walls may include latched openings for
taillamps, rubber bumpers, hinges and loading and unloading, and includes
latches are excluded from the deter- vans, dump bodies, and a sided inter-
mination of the rearmost point. modal container carried by a vehicle.
Reflective material. A material con- Side extremity. The outermost point
forming to Federal Specification L-S- on a side of the motor vehicle that is
300, ‘‘Sheeting and Tape, Reflective; above a horizontal plane located 560
Non-exposed Lens, Adhesive Backing,’’ mm (22 inches) above the ground, below
(September 7, 1965) meeting the per- a horizontal plane located 1,900 mm (75
formance standard in either Table 1 or inches) above the ground, and between
Table 1A of SAE Standard J594f, ‘‘Re- a transverse vertical plane tangent to
flex Reflectors’’ (January, 1977). the rear extremity of the vehicle and a
Reflex reflector. A device which is used transverse vertical plane located 305
on a vehicle to give an indication to an mm (12 inches) forward of that plane
approaching driver by reflected lighted when the vehicle is unloaded; its fuel
from the lamps on the approaching ve- tanks are full; and the tires (and air
hicle. suspension, if so equipped) are inflated
Saddle-mount. A device, designed and in accordance with the manufacturer’s
constructed as to be readily demount- recommendations. Non-structural pro-
able, used in driveaway-towaway oper- trusions such as taillights, hinges and
ations to perform the functions of a latches are excluded from the deter-
conventional fifth wheel: mination of the outermost point.
Side marker lamp (Intermediate). A
(1) Upper-half. Upper-half of a ‘‘sad-
lamp mounted on the side, on the per-
dle-mount’’ means that part of the de-
manent structure of the motor vehicle
vice which is securely attached to the
that provides light to the side to indi-
towed vehicle and maintains a fixed po- cate the approximate middle of the ve-
sition relative thereto, but does not in- hicle, when the motor vehicle is 9.14
clude the ‘‘king-pin;’’ meters (30 feet) or more in length.
(2) Lower-half. Lower-half of a ‘‘sad- Side Marker Lamps. Lamps mounted
dle-mount’’ means that part of the de- on the side, on the permanent struc-
vice which is securely attached to the ture of the motor vehicle as near as
towing vehicle and maintains a fixed practicable to the front and rear of the
position relative thereto but does not vehicle, that provide light to the side
include the ‘‘king-pin;’’ and to indicate the overall length of the
(3) King-pin. King-pin means that de- motor vehicle.
vice which is used to connect the Special purpose vehicle. (1) A trailer or
‘‘upper-half’’ to the ‘‘lower-half’’ in semitrailer manufactured on or after
such manner as to permit relative January 26, 1998, having work-per-
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movement in a horizontal plane be- forming equipment that, while the


tween the towed and towing vehicles. motor vehicle is in transit, resides in

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Federal Motor Carrier Safety Administration, DOT § 393.5

or moves through the area that could The logs are supported by a bunk lo-
be occupied by the horizontal member cated on the rear of the tractor, and
of the rear impact guard, as defined by another bunk on the skeletal trailer.
the guard width, height and rear sur- The tractor bunk may rotate about a
face requirements of § 571.224 (para- vertical axis, and the trailer may have
graphs S5.1.1 through S5.1.3), in effect a fixed, scoping, or cabled reach, or
on the date of manufacture, or a subse- other mechanical freedom, to allow it
quent edition. to turn.
(2) A motor vehicle, not described by Trailer kingpin. A pin (with a flange
paragraph (1) of this definition, having on its lower end) which extends
work-performing equipment that, vertically from the front of the under-
while the motor vehicle is in transit, side of a semitrailer and which locks
resides in or moves through the area into a fifth wheel.
that could be occupied by the hori- Turn signals. Lamps used to indicate
zontal member of the rear impact a change in direction by emitting a
guard, as defined by the guard width, flashing light on the side of a motor ve-
height and rear surface requirements of hicle towards which a turn will be
§ 393.86(b)(1). made.
Split service brake system. A brake sys- Upper coupler assembly. A structure
tem consisting of two or more sub- consisting of an upper coupler plate,
systems actuated by a single control king-pin and supporting framework
designed so that a leakage-type failure which interfaces with and couples to a
of a pressure component in a single fifth wheel.
subsystem (except structural failure of Upper coupler plate. A plate structure
a housing that is common to two or through which the king-pin neck and
more subsystems) shall not impair the collar extend. The bottom surface of
operation of any other subsystem. the plate contacts the fifth wheel when
Steering wheel lash. The condition in coupled.
which the steering wheel may be Vacuum brake system. A system that
turned through some part of a revolu- uses a vacuum and atmospheric pres-
tion without associated movement of sure for transmitting a force from the
the front wheels. driver control to the service brake, not
Stop lamps. Lamps shown to the rear including a system that uses vacuum
of a motor vehicle to indicate that the only to assist the driver in applying
service brake system is engaged. muscular force to hydraulic or mechan-
Surge brake. A self-contained, perma- ical components.
nently closed hydraulic brake system Void filler. Material used to fill a
for trailers that relies on inertial space between articles of cargo and the
forces, developed in response to the structure of the vehicle that has suffi-
braking action of the towing vehicle, cient strength to prevent movement of
applied to a hydraulic device mounted the articles of cargo.
on or connected to the tongue of the Well. The depression formed between
trailer, to slow down or stop the towed two cylindrical articles of cargo when
vehicle. they are laid with their eyes horizontal
Tail lamps. Lamps used to designate and parallel against each other.
the rear of a motor vehicle. Wheels back vehicle. (1) A trailer or
Tiedown. A combination of securing semitrailer manufactured on or after
devices which forms an assembly that January 26, 1998, whose rearmost axle
attaches articles of cargo to, or re- is permanently fixed and is located
strains articles of cargo on, a vehicle such that the rearmost surface of the
or trailer, and is attached to anchor tires (of the size recommended by the
point(s). vehicle manufacturer for the rear axle)
Tow bar. A strut or column-like de- is not more than 305 mm (12 inches)
vice temporarily attached between the forward of the transverse vertical plane
rear of a towing vehicle and the front tangent to the rear extremity of the
of the vehicle being towed. vehicle.
Tractor-pole trailer. A combination ve- (2) A motor vehicle, not described by
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hicle that carries logs lengthwise so paragraph (1) of this definition, whose
that they form the body of the vehicle. rearmost axle is permanently fixed and

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§ 393.7 49 CFR Ch. III (10–1–07 Edition)

is located such that the rearmost sur- J581, July 2004, incorporation by ref-
face of the tires (of the size rec- erence approved for § 393.24(b).
ommended by the vehicle manufac- (2) Front Fog Lamp, SAE J583, Au-
turer for the rear axle) is not more gust 2004, incorporation by reference
than 610 mm (24 inches) forward of the approved for § 393.24(b).
transverse vertical plane tangent to (3) Stop Lamps for Use on Motor Ve-
the rear extremity of the vehicle. hicles Less Than 2032 mm in Overall
Width of a manufactured home. The Width, SAE J586, March 2000, incorpo-
largest exterior width in the traveling ration by reference approved for
mode, including any projections which § 393.25(c).
contain interior space. Width does not (4) Stop Lamps and Front- and Rear-
include bay windows, roof projections, Turn Signal Lamps for Use on Motor
overhangs, or eaves under which there Vehicles 2032 mm or more in Overall
is no interior space. Width, SAE J2261, January 2002, incor-
Windshield. The principal forward fac- porated by reference approved for
ing glazed surface provided for forward § 393.25 (c).
vision in operating a motor vehicle. (5) Tail Lamps (Rear Position Lamps)
Working load limit (WLL). The max- for Use on Motor Vehicles Less Than
imum load that may be applied to a 2032 mm in Overall Width, SAE J585,
component of a cargo securement sys- March 2000, incorporation by reference
tem during normal service, usually as- approved for § 393.25(c).
signed by the manufacturer of the com- (6) Tail Lamps (Rear Position Lamps)
ponent. for Use on Vehicles 2032 mm or More in
Overall Width, SAE J2040, March 2002,
[53 FR 49384, Dec. 7, 1988, as amended at 63
FR 8339, Feb. 18, 1998; 63 FR 24465, May 4,
incorporation by reference approved
1998; 64 FR 47707, Sept. 1, 1999; 67 FR 61224, for § 393.25(c).
Sept. 27, 2002; 68 FR 56208, Sept. 30, 2003; 70 (7) Turn Signal Lamps for Use on
FR 48026, Aug. 15, 2005; 71 FR 35832, June 22, Motor Vehicles Less Than 2032 mm in
2006; 72 FR 9870, Mar. 6, 2007] Overall Width, SAE J588, March 2000,
incorporation by reference approved
§ 393.7 Matter incorporated by ref- for § 393.25(c).
erence. (8) Sidemarker Lamps for Use on
(a) Incorporation by reference. Part 393 Road Vehicles Less Than 2032 mm in
includes references to certain matter Overall Width, SAE J592, August 2000,
or materials, as listed in paragraph (b) incorporation by reference approved
of this section. The text of the mate- for § 393.25(c).
rials is not included in the regulations (9) Directional Flashing Optical
contained in part 393. The materials Warning Devices for Authorized Emer-
are hereby made a part of the regula- gency, Maintenance, and Service Vehi-
tions in part 393. The Director of the cles, SAE J595, January 2005, incorpo-
Federal Register has approved the ma- ration by reference approved for
terials incorporated by reference in ac- § 393.25(e).
cordance with 5 U.S.C. 552(a) and 1 CFR (10) Optical Warning Devices for Au-
part 51. For materials subject to thorized Emergency, Maintenance, and
change, only the specific version ap- Service Vehicles, SAE J845, May 1997,
proved by the Director of the Federal incorporation by reference approved
Register and specified in the regulation for § 393.25(e).
are incorporated. Material is incor- (11) Gaseous Discharge Warning
porated as it exists on the date of the Lamp for Authorized Emergency,
approval and a notice of any change in Maintenance, and Service Vehicles,
these materials will be published in the SAE J1318, May 1998, incorporation by
FEDERAL REGISTER. reference approved for § 393.25(e).
(b) Matter or materials referenced in (12) Reflex Reflectors, SAE J594, De-
part 393. The matter or materials listed cember 2003, incorporation by reference
in this paragraph are incorporated by approved for § 393.26(c).
reference in the corresponding sections (13) Standard Specification for
noted. Retroreflective Sheeting for Traffic
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(1) Auxiliary Upper Beam Lamps, So- Control, American Society of Testing
ciety of Automotive Engineers (SAE) and Materials, ASTM D 4956–04, 2004,

372

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Federal Motor Carrier Safety Administration, DOT § 393.7

incorporation by reference approved (c) Availability. The materials incor-


for § 393.26(c). porated by reference are available as
(14) Automobile, Truck, Truck-Trac- follows:
tor, Trailer, and Motor Coach Wiring, (1) Standards of the Underwriters
SAE J1292, October 1981, incorporated Laboratories, Inc. Information and cop-
by reference approved for § 393.28. ies may be obtained by writing to: Un-
(15) Long Stroke Air Brake Actuator derwriters Laboratories, Inc., 333
Marking, SAE J1817, July 2001, incorpo- Pfingsten Road, Northbrook, Illinois
ration by reference approved for 60062.
§ 393.47(e). (2) Specifications of the American
(16) American National Standard for Society for Testing and Materials. In-
Safety Glazing Materials for Glazing formation and copies may be obtained
Motor Vehicles and Motor Vehicle by writing to: American Society for
Equipment Operating on Land High- Testing and Materials, 100 Barr Harbor
ways-Safety Standard, SAE Z26.1–1996, Drive, West Conshohocken, Pennsyl-
August 1997, incorporation by reference vania 19428–2959.
approved for § 393.62(d). (3) Specifications of the National As-
(17) Specification for Sound Level sociation of Chain Manufacturers. In-
Meters, American National Standards formation and copies may be obtained
Institute, S1.4–1983, incorporation by by writing to: National Association of
reference approved for § 393.94(c). Chain Manufacturers, P.O. Box 22681,
(18) Standard Specification for Strap- Lehigh Valley, Pennsylvania 18002–2681.
ping, Flat Steel and Seals, American (4) Specifications of the Web Sling
Society for Testing and Materials and Tiedown Association. Information
(ASTM), D3953–97, February 1998, incor- and copies may be obtained by writing
poration by reference approved for to: Web Sling and Tiedown Association,
§ 393.104(e). Inc., 5024–R Campbell Boulevard, Balti-
(19) Welded Steel Chain Specifica- more, Maryland 21236–5974.
tions, National Association of Chain (5) Manuals of the Wire Rope Tech-
Manufacturers, September 28, 2005, in- nical Board. Information and copies
corporation by reference approved for may be obtained by writing to: Wire
§ 393.104(e). Rope Technical Committee, P.O. Box
(20) Recommended Standard Speci- 849, Stevensville, Maryland 21666.
fication for Synthetic Web Tiedowns, (6) Standards of the Cordage Insti-
Web Sling and Tiedown Association, tute. Information and copies may be
WSTDA-T1, 1998, incorporation by ref- obtained by writing to: Cordage Insti-
erence approved for § 393.104(e). tute, 350 Lincoln Street, # 115,
(21) Wire Rope Users Manual, 2nd Hingham, Massachusetts 02043.
Edition, Wire Rope Technical Board (7) Standards of the Society of Auto-
November 1985, incorporation by ref- motive Engineers (SAE). Information
erence approved for § 393.104(e). and copies may be obtained by writing
(22) Cordage Institute rope standards to: Society of Automotive Engineers,
approved for incorporation into Inc., 400 Commonwealth Drive,
§ 393.104(e): Warrendale, Pennsylvania 15096.
(i) PETRS–2, Polyester Fiber Rope, 3- (8) Standards of the American Na-
Strand and 8-Strand Constructions, tional Standards Institute (ANSI). In-
January 1993; formation and copies may be obtained
(ii) PPRS–2, Polypropylene Fiber by writing to: American National
Rope, 3-Strand and 8-Strand Construc- Standards Institute, 25 West 43rd
tions, August 1992; Street, New York, New York 10036.
(iii) CRS–1, Polyester/Polypropylene (9) [Reserved].
Composite Rope Specifications, Three- (10) All of the materials incorporated
Strand and Eight-Strand Standard by reference are available for inspec-
Construction, May 1979; tion at:
(iv) NRS–1, Nylon Rope Specifica- (i) Federal Motor Carrier Safety Ad-
tions, Three-Strand and Eight-Strand ministration, Office of Bus and Truck
Standard Construction, May 1979; and Standards and Operations (MC–PS),
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(v) C–1, Double Braided Nylon Rope 1200 New Jersey Ave., SE., Washington,
Specifications DBN, January 1984. DC 20590–0001; and

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§ 393.9 49 CFR Ch. III (10–1–07 Edition)

(ii) The National Archives and subpart B of part 393 in effect at the
Records Administration (NARA). For time of manufacture.
information on the availability of this (2) Exceptions: Pole trailers and trail-
material at NARA, call 202–741–6030, or er converter dollies must meet the part
go to: http://www.archives.gov/ 393 requirements for lamps, reflective
federallregister/ devices and electrical equipment in ef-
codeloflfederallregulations/ fect at the time of manufacture. Trail-
ibrllocations.html. ers which are equipped with con-
spicuity material which meets the re-
[67 FR 61225, Sept. 27, 2002, as amended at 70
quirements of § 393.11(b) are not re-
FR 48027, Aug. 15, 2005; 71 FR 35832, June 22,
2006; 72 FR 55703, Oct. 1, 2007]
quired to be equipped with the reflex
reflectors listed in Table 1 if—
(i) The conspicuity material is placed
Subpart B—Lamps, Reflective at the locations where reflex reflectors
Devices, and Electrical Wiring are required by Table 1; and
(ii) The conspicuity material when
§ 393.9 Lamps operable, prohibition of installed on the motor vehicle meets
obstructions of lamps and reflec- the visibility requirements for the re-
tors.
flex reflectors.
(a) All lamps required by this subpart (b) Conspicuity Systems. Each trailer
shall be capable of being operated at of 2,032 mm (80 inches) or more overall
all times. This paragraph shall not be width, and with a GVWR over 4,536 kg
construed to require that any auxiliary (10,000 pounds), manufactured on or
or additional lamp be capable of oper- after December 1, 1993, except pole
ating at all times. trailers and trailers designed exclu-
(b) Lamps and reflective devices/ma- sively for living or office use, shall be
terial required by this subpart must equipped with either retroreflective
not be obscured by the tailboard, or by sheeting that meets the requirements
any part of the load, or its covering by of FMVSS No. 108 (S5.7.1), reflex reflec-
dirt, or other added vehicle or work tors that meet the requirements
equipment, or otherwise. Exception: FMVSS No. 108 (S5.7.2), or a combina-
The conspicuity treatments on the tion of retroreflective sheeting and re-
front end protection devices may be ob- flex reflectors that meet the require-
scured by part of the load being trans- ments of FMVSS No. 108 (S5.7.3). The
ported. conspicuity system shall be installed
and located as specified in FMVSS No.
[70 FR 48027, Aug. 15, 2005] 108 [S5.7.1.4 (for retroreflective sheet-
ing), S5.7.2.2 (for reflex reflectors),
§ 393.11 Lamps and reflective devices.
S5.7.3 (for a combination of sheeting
(a)(1) Lamps and reflex reflectors. and reflectors)] and have certification
Table 1 specifies the requirements for and markings as required by S5.7.1.5
lamps, reflective devices and associ- (for retroreflective tape) and S5.7.2.3
ated equipment by the type of commer- (for reflex reflectors).
cial motor vehicle. The diagrams in (c) Prohibition on the use of amber stop
this section illustrate the position of lamps and tail lamps. No commercial
the lamps, reflective devices and asso- motor vehicle may be equipped with an
ciated equipment specified in Table 1. amber stop lamp, a tail lamp, or other
All commercial motor vehicles manu- lamp which is optically combined with
factured on or after December 25, 1968, an amber stop lamp or tail lamp.
must, at a minimum, meet the applica- (d) Prohibition on the use of auxiliary
ble requirements of 49 CFR 571.108 lamps that supplement the identification
(FMVSS No. 108) in effect at the time lamps. No commercial motor vehicle
of manufacture of the vehicle. Com- may be equipped with lamps that are in
mercial motor vehicles manufactured a horizontal line with the required
before December 25, 1968, must, at a identification lamps unless those
minimum, meet the requirements of lamps are required by this regulation.
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Federal Motor Carrier Safety Administration, DOT


TABLE 1 OF § 393.11—REQUIRED LAMPS AND REFLECTORS ON COMMERCIAL MOTOR VEHICLES
Height above the road
surface in millimeters
(mm) (with English units Vehicles for which the devices are
Jkt 211213

Item on the vehicle Quantity Color Location Position in parenthesis) measured required
from the center of the
lamp at curb weight

Headlamps ......................................... 2 White ............................... Front ............... On the front at the same Not less than 559 mm A, B, C
height, with an equal (22 inches) nor more
PO 00000

number at each side of than 1,372 mm (54


the vertical center line inches).
as far apart as prac-
ticable.
Turn signal (front). See footnotes #2 2 Amber .............................. At or near the One on each side of the Not less than 381 mm A, B, C
Frm 00385

and 12. front. vertical centerline at (15 inches) nor more


the same height and than 2,108 mm (83
as far apart as prac- inches).
ticable.
Identification lamps (front). See foot- 3 Amber .............................. Front ............... As close as practicable to All three on the same B, C
Fmt 8010

note #1. the top of the vehicle, level as close as prac-


at the same height, ticable to the top of the
and as close as prac- motor vehicle.
375

ticable to the vertical


centerline of the vehi-
Sfmt 8010

cle (or the vertical cen-


terline of the cab
where different from
the centerline of the
vehicle) with lamp cen-
Y:\SGML\211213.XXX

ters spaced not less


than 152 mm (6
inches) or more than
305 mm (12 inches)
apart. Alternatively, the
front lamps may be lo-
cated as close as prac-
ticable to the top of the
cab.
Tail lamps. See footnotes #5 and 11 2 Red .................................. Rear ................ One lamp on each side Both on the same level A, B, C, D, E, F, G, H
211213

of the vertical center- between 381 mm (15


line at the same height inches) and 1,829 mm
and as far apart as (72 inches).
practicable.

§ 393.11
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§ 393.11
TABLE 1—REQUIRED LAMPS AND REFLECTORS ON COMMERCIAL MOTOR VEHICLES
Height above the road
surface in millimeters
(mm) (with English units Vehicles for which the devices are
Jkt 211213

Item on the vehicle Quantity Color Location Position in parenthesis) measured required
from the center of the
lamp at curb weight

Stop lamps. See footnotes #5 and 13 2 Red .................................. Rear ................ One lamp on each side Both on the same level A, B, C, D, E, F, G
of the vertical center- between 381 mm (15
PO 00000

line at the same height inches) and 1,829 mm


and as far apart as (72 inches).
practicable.
Clearance lamps. See footnotes #8, 2 Amber .............................. One on each One on each side of the Both on the same level B, C, D, G, H
9, 10, 15 & 17. side of the vertical centerline to in- as high as practicable.
Frm 00386

front of the dicate overall width.


vehicle.
2 Red .................................. One on each One on each side of the Both on the same level B, D, G, H
side of the vertical centerline to in- as high as practicable.
rear of the dicate overall width.
Fmt 8010

vehicle.
Reflex reflector, intermediate (side) .. 2 Amber .............................. One on each At or near the midpoint Between 381 mm A, B, D, F, G
side. between the front and (15inches) and 1,524
376

rear side marker (60 inches).


lamps, if the length of
Sfmt 8010

the vehicle is more


than 9,144 mm (30
feet).
Reflex reflector (rear). See footnotes 2 Red .................................. Rear ................ One on each side of the Both on the same level, A, B, C, D, E, F, G
#5, 6, and 8. vertical centerline, as between 381 mm (15

49 CFR Ch. III (10–1–07 Edition)


Y:\SGML\211213.XXX

far apart as practicable inches) and 1,524 mm


and at the same height. (60 inches).
Reflex reflector (rear side). ................ 2 Red .................................. One on each As far to the rear as Both on the same level, A, B, D, F, G
side (rear). practicable. between 381 mm (15
inches) and 1,524 mm
(60 inches).
Reflex reflector (front side). See foot- 2 Amber .............................. One on each As far to the front as Between 381 mm (15 A, B, C, D, F, G
note #16. side (front). practicable. inches) and 1,524 mm
(60 inches).
License plate lamp (rear). See foot- 1 White ............................... At rear license No requirements ............. A, B, C, D, F, G
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note #11. plate to illu-


minate the
plate from
the top or
sides.
Side marker lamp (front). See foot- 2 Amber .............................. One on each As far to the front as Not less than 381 mm A, B, C, D, F
note #16. side. practicable. (15 inches).
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Federal Motor Carrier Safety Administration, DOT


Side marker lamp intermediate ......... 2 Amber .............................. One on each At or near the midpoint Not less tan 381 mm (15 A, B, D, F, G
side. between the front and inches).
rear side marker
lamps, if the length of
the vehicle is more
Jkt 211213

than 9,144 mm (30


feet).
Side marker lamp (rear). See foot- 2 Red .................................. One on each As far to the rear as Not less than 381 mm A, B, D, F, G
notes #4 and 8. side. practicable. (15 inches), and on the
rear of trailers not
PO 00000

more than 1,524 mm


(60 inches).
Turn signal (rear). See footnotes #5 2 Amber or red ................... Rear ................ One lamp on each side Both on the same level, A, B, C, D, E, F, G
and 12. of the vertical center- between 381 mm (15
line as far apart as inches) and 2,108 mm
practicable. (83 inches).
Frm 00387

Identification lamp (rear). See foot- 3 Red .................................. Rear ................ One as close as prac- All three on the same B, D, G
notes #3, 7, and 15. ticable to the vertical level as close as prac-
centerline. One on ticable to the top of the
each side with lamp vehicle.
centers spaced not
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less than 152 mm (6


inches) or more than
305 mm (12 inches)
377

apart.
Vehicular hazard warning signal 2 Amber .............................. Front ............... One lamp on each side Both on the same level, A, B, C
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flasher lamps. See footnotes #5 of the vertical center- between 381 mm (15
and 12. line, as far apart as inches) and 2,108 mm
practicable. (83 inches).
2 Amber or red ................... Rear ................ One lamp on each side Both on the same level, A, B, C, D, E, F, G
of the vertical center- between 381 mm (15
Y:\SGML\211213.XXX

line, as far apart as inches) and 2,108 mm


practicable. (83 inches).
Backup lamp. See footnote #14 ........ 1 or 2 White ............................... Rear ................ Rear ................................ No requirement ............... A, B, C
Parking lamp ...................................... 2 Amber or white ................ Front ............... One lamp on each side Both on the same level, A
of the vertical center- between 381 mm (15
line, as far apart as inches) and 2,108 mm
practicable. (83 inches).
Legend: Types of commercial motor vehicles shown in the last column of Table 1.
A. Buses and trucks less than 2,032 mm (80 inches) in overall width.
B. Buses and trucks 2,032 mm (80 inches) or more in overall width.
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C. Truck tractors.
D. Semitrailers and full trailers 2,032 mm (80 inches) or more in overall width except converter dollies.
E. Converter dolly.
F. Semitrailers and full trailers less than 2,032 mm (80 inches) in overall width.
G. Pole trailers.

§ 393.11
H. Projecting loads.
Note: Lamps and reflectors may be combined as permitted by § 393.22 and S5.4 of 49 CFR 571.108, Equipment combinations.
Footnote—1 Identification lamps may be mounted on the vertical centerline of the cab where different from the centerline of the vehicle, except where the cab is not more than 42
inches wide at the front roofline, then a single lamp at the center of the cab shall be deemed to comply with the requirements for identification lamps. No part of the identification lamps or
their mountings may extend below the top of the vehicle windshield.
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§ 393.11
Footnote—2 Unless the turn signals on the front are so constructed (double-faced) and located as to be visible to passing drivers, two turn signals are required on the rear of the truck
tractor, one at each side as far apart as practicable.
Footnote—3 The identification lamps need not be visible or lighted if obscured by a vehicle in the same combination.
Footnote—4 Any semitrailer or full trailer manufactured on or after March 1, 1979, shall be equipped with rear side-marker lamps at a height of not less than 381 mm (15 inches), and
on the rear of trailers not more than 1,524 mm (60 inches) above the road surface, as measured from the center of the lamp on the vehicle at curb weight.
Jkt 211213

Footnote—5 Each converter dolly, when towed singly by another vehicle and not as part of a full trailer, shall be equipped with one stop lamp, one tail lamp, and two reflectors (one on
each side of the vertical centerline, as far apart as practicable) on the rear. Each converter dolly shall be equipped with rear turn signals and vehicular hazard warning signal flasher lamps
when towed singly by another vehicle and not as part of a full trailer, if the converter dolly obscures the turn signals at the rear of the towing vehicle.
Footnote—6 Pole trailers shall be equipped with two reflex reflectors on the rear, one on each side of the vertical centerline as far apart as practicable, to indicate the extreme width of
the trailer.
Footnote—7 Pole trailers, when towed by motor vehicles with rear identification lamps meeting the requirements of § 393.11 and mounted at a height greater than the load being trans-
PO 00000

ported on the pole trailer, are not required to have rear identification lamps.
Footnote—8 Pole trailers shall have on the rearmost support for the load: (1) two front clearance lamps, one on each side of the vehicle, both on the same level and as high as prac-
ticable to indicate the overall width of the pole trailer; (2) two rear clearance lamps, one on each side of the vehicle, both on the same level and as high as practicable to indicate the overall
width of the pole trailer; (3) two rear side marker lamps, one on each side of the vehicle, both on the same level, not less than 375 mm (15 inches) above the road surface; (4) two rear re-
flex reflectors, one on each side, both on the same level, not less than 375 mm (15 inches) above the road surface to indicate maximum width of the pole trailer; and (5) one red reflector on
each side of the rearmost support for the load. Lamps and reflectors may be combined as allowed in § 393.22.
Frm 00388

Footnote—9 Any motor vehicle transporting a load which extends more than 102 mm (4 inches) beyond the overall width of the motor vehicle shall be equipped with the following lamps
in addition to other required lamps when operated during the hours when headlamps are required to be used.
(1) The foremost edge of that portion of the load which projects beyond the side of the vehicle shall be marked (at its outermost extremity) with an amber lamp visible from the front and
side.
(2) The rearmost edge of that portion of the load which projects beyond the side of the vehicle shall be marked (at its outermost extremity) with a red lamp visible from the rear and side.
(3) If the projecting load does not measure more than 914 mm (3 feet) from front to rear, it shall be marked with an amber lamp visible from the front, both sides, and rear, except that if
Fmt 8010

the projection is located at or near the rear it shall be marked by a red lamp visible from front, side, and rear.
Footnote—10 Projections beyond rear of motor vehicles. Motor vehicles transporting loads which extend more than 1,219 mm (4 feet) beyond the rear of the motor vehicle, or which
have tailboards or tailgates extending more than 1,219 mm (4 feet) beyond the body, shall have these projections marked as follows when the vehicle is operated during the hours when
headlamps are required to be used:
378

(1) On each side of the projecting load, one red side marker lamp, visible from the side, located so as to indicate maximum overhang.
Sfmt 8010

(2) On the rear of the projecting load, two red lamps, visible from the rear, one at each side; and two red reflectors visible from the rear, one at each side, located so as to indicate max-
imum width.
Footnote—11 To be illuminated when tractor headlamps are illuminated.
Footnote—12 Every bus, truck, and truck tractor shall be equipped with a signaling system that, in addition to signaling turning movements, shall have a switch or combination of switch-
es that will cause the two front turn signals and the two rear signals to flash simultaneously as a vehicular traffic signal warning, required by § 392–22(a). The system shall be capable of
flashing simultaneously with the ignition of the vehicle on or off.

49 CFR Ch. III (10–1–07 Edition)


Y:\SGML\211213.XXX

Footnote—13 To be actuated upon application of service brakes.


Footnote—14 Backup lamp required to operate when bus, truck, or truck tractor is in reverse.
Footnote—15
(1) For the purposes of Section 393.11, the term ‘‘overall width’’ refers to the nominal design dimension of the widest part of the vehicle, exclusive of the signal lamps, marker lamps, out-
side rearview mirrors, flexible fender extensions, and mud flaps.
(2) Clearance lamps may be mounted at a location other than on the front and rear if necessary to indicate the overall width of a vehicle, or for protection from damage during normal op-
eration of the vehicle.
(3) On a trailer, the front clearance lamps may be mounted at a height below the extreme height if mounting at the extreme height results in the lamps failing to mark the overall width of
the trailer.
(4) On a truck tractor, clearance lamps mounted on the cab may be located to indicate the width of the cab, rather than the width of the vehicle.
(5) When the rear identification lamps are mounted at the extreme height of a vehicle, rear clearance lamps are not required to be located as close as practicable to the top of the vehicle.
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Footnote—16 A trailer subject to this part that is less than 1829 mm (6 feet) in overall length, including the trailer tongue, need not be equipped with front side marker lamps and front
side reflex reflectors.
Footnote—17 A boat trailer subject to this part whose overall width is 2032 mm (80 inches) or more need not be equipped with both front and rear clearance lamps provided an amber
(front) and red (rear) clearance lamp is located at or near the midpoint on each side so as to indicate its extreme width.
Federal Motor Carrier Safety Administration, DOT § 393.11
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§ 393.11 49 CFR Ch. III (10–1–07 Edition)

[70 FR 48027, Aug. 15, 2005, as amended at 72 FR 32014, June 11, 2007; 72 FR 33562, June 18, 2007]
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Federal Motor Carrier Safety Administration, DOT § 393.13

§ 393.13 Retroreflective sheeting and as part of a red and white pattern.


reflex reflectors, requirements for Retroreflective sheeting shall have a
semitrailers and trailers manufac- width of at least 50 mm (2 inches).
tured before December 1, 1993. (c) Locations for retroreflective sheet-
(a) Applicability. All trailers and ing—(1) Sides. Retroreflective sheeting
semitrailers manufactured prior to De- shall be applied to each side of the
cember 1, 1993, which have an overall trailer or semitrailer. Each strip of
width of 2,032 mm (80 inches) or more retroreflective sheeting shall be posi-
and a gross vehicle weight rating of tioned as horizontally as practicable,
4,536 kg (10,001 pounds) or more, except beginning and ending as close to the
trailers that are manufactured exclu- front and rear as practicable. The strip
sively for use as offices or dwellings, need not be continuous but the sum of
pole trailers (as defined in § 390.5 of this the length of all of the segments shall
subchapter), and trailers transported in be at least half of the length of the
a driveaway-towaway operation, must trailer and the spaces between the seg-
be equipped with retroreflective sheet- ments of the strip shall be distributed
ing or an array of reflex reflectors that as evenly as practicable. The center-
meet the requirements of this section. line for each strip of retroreflective
Motor carriers operating trailers, other sheeting shall be between 375 mm (15
than container chassis (as defined in inches) and 1,525 mm (60 inches) above
§ 393.5), have until June 1, 2001, to com- the road surface when measured with
ply with the requirements of this sec- the trailer empty or unladen, or as
tion. Motor carriers operating con- close as practicable to this area. If nec-
tainer chassis have until December 1, essary to clear rivet heads or other
2001, to comply with the requirements similar obstructions, 50 mm (2 inches)
of this section. wide retroreflective sheeting may be
(b) Retroreflective sheeting and reflex separated into two 25 mm (1 inch) wide
reflectors. Motor carriers are encour- strips of the same length and color,
aged to retrofit their trailers with a separated by a space of not more than
conspicuity system that meets all of 25 mm (1 inch).
the requirements applicable to trailers (2) Lower rear area. The rear of each
manufactured on or after December 1, trailer and semitrailer must be
1993, including the use of equipped with retroreflective sheeting.
retroreflective sheeting or reflex re- Each strip of retroreflective sheeting
flectors in a red and white pattern (see shall be positioned as horizontally as
Federal Motor Vehicle Safety Standard practicable, extending across the full
No. 108 (49 CFR 571.108), S5.7, Con- width of the trailer, beginning and end-
spicuity systems). Motor carriers which ing as close to the extreme edges as
do not retrofit their trailers to meet practicable. The centerline for each of
the requirements of FMVSS No. 108, for the strips of retroreflective sheeting
example by using an alternative color shall be between 375 mm (15 inches) and
pattern, must comply with the remain- 1,525 mm (60 inches) above the road sur-
der of this paragraph and with para- face when measured with the trailer
graph (c) or (d) of this section. empty or unladen, or as close as prac-
Retroreflective sheeting or reflex re- ticable to this area.
flectors in colors or color combinations (3) Upper rear area. Two pairs of white
other than red and white may be used strips of retroreflective sheeting, each
on the sides or lower rear area of the pair consisting of strips 300 mm (12
semitrailer or trailer until June 1, 2009. inches) long, must be positioned hori-
The alternate color or color combina- zontally and vertically on the right
tion must be uniform along the sides and left upper corners of the rear of the
and lower rear area of the trailer. The body of each trailer and semitrailer, as
retroreflective sheeting or reflex re- close as practicable to the top of the
flectors on the upper rear area of the trailer and as far apart as practicable.
trailer must be white and conform to If the perimeter of the body, as viewed
the requirements of FMVSS No. 108 from the rear, is not square or rectan-
(S5.7). Red retroreflective sheeting or gular, the strips may be applied along
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reflex reflectors shall not be used along the perimeter, as close as practicable
the sides of the trailer unless it is used to the uppermost and outermost areas

391

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§ 393.17 49 CFR Ch. III (10–1–07 Edition)

of the rear of the body on the left and be applied along the perimeter, as close
right sides. as practicable to the uppermost and
(d) Locations for reflex reflectors.—(1) outermost areas of the rear of the body
Sides. Reflex reflectors shall be applied on the left and right sides. The center
to each side of the trailer or of each reflector shall not be more than
semitrailer. Each array of reflex reflec- 100 mm (4 inches) from the center of
tors shall be positioned as horizontally each adjacent reflector in the segment
as practicable, beginning and ending as of the array.
close to the front and rear as prac- [64 FR 15605, Mar. 31, 1999, as amended at 66
ticable. The array need not be contin- FR 30339, June 6, 2001]
uous but the sum of the length of all of
the array segments shall be at least § 393.17 Lamps and reflectors—com-
half of the length of the trailer and the binations in driveaway-towaway
spaces between the segments of the operation.
strip shall be distributed as evenly as A combination of motor vehicles en-
practicable. The centerline for each gaged in driveaway-towaway operation
array of reflex reflectors shall be be- must be equipped with operative lamps
tween 375 mm (15 inches) and 1,525 mm and reflectors conforming to the rules
(60 inches) above the road surface when in this section.
measured with the trailer empty or un- (a) The towing vehicle must be
laden, or as close as practicable to this equipped as follows:
area. The center of each reflector shall (1) On the front, there must be at
not be more than 100 mm (4 inches) least two headlamps, an equal number
from the center of each adjacent reflec- at each side, two turn signals, one at
tor in the segment of the array. If re- each side, and two clearance lamps, one
flex reflectors are arranged in an alter- at each side.
nating color pattern, the length of re- (2) On each side, there must be at
flectors of the first color shall be as least one side-marker lamp, located
close as practicable to the length of the near the front of the vehicle.
reflectors of the second color. (3) On the rear, there must be at least
(2) Lower rear area. The rear of each two tail lamps, one at each side, and
trailer and semitrailer must be two stop lamps, one at each side.
equipped with reflex reflectors. Each (b) Except as provided in paragraph
array of reflex reflectors shall be posi- (c) of this section, the rearmost towed
tioned as horizontally as practicable, vehicle of the combination (including
extending across the full width of the the towed vehicle or a tow-bar com-
trailer, beginning and ending as close bination, the towed vehicle of a single
to the extreme edges as practicable. saddle-mount combination, and the
The centerline for each array of reflex rearmost towed vehicle of a double or
reflectors shall be between 375 mm (15 triple saddle-mount combination) or,
inches) and 1,525 mm (60 inches) above in the case of a vehicle full-mounted on
the road surface when measured with a saddle-mount vehicle, either the full-
the trailer empty or unladen, or as mounted vehicle or the rearmost sad-
close as practicable to this area. The dle-mounted vehicle must be equipped
center of each reflector shall not be as follows:
more than 100 mm (4 inches) from the (1) On each side, there must be at
center of each adjacent reflector in the least one side-marker lamp, located
segment of the array. near the rear of the vehicle.
(3) Upper rear area. Two pairs of white (2) On the rear, there must be at least
reflex reflector arrays, each pair at two tail lamps, two stop lamps, two
least 300 mm (12 inches) long, must be turn signals, two clearance lamps, and
positioned horizontally and vertically two reflectors, one of each type at each
on the right and left upper corners of side. In addition, if any vehicle in the
the rear of the body of each trailer and combination is 80 inches or more in
semitrailer, as close as practicable to overall width, there must be three
the top of the trailer and as far apart identification lamps on the rear.
as practicable. If the perimeter of the (c) If the towed vehicle in a combina-
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body, as viewed from the rear, is not tion is a mobile structure trailer, it
square or rectangular, the arrays may must be equipped in accordance with

392

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Federal Motor Carrier Safety Administration, DOT § 393.17

the following lighting devices. For the the same height, and as far apart as
purposes of this part, mobile structure practicable; and
trailer means a trailer that has a roof (iv) Two turn signal lamps, one on
and walls, is at least 10 feet wide, and each side of the vertical centerline, at
can be used off road for dwelling or the same height, and as far apart as
commercial purposes. practicable.
(1) When the vehicle is operated in (2) At all other times, the vehicle
accordance with the terms of a special must be equipped as specified in para-
permit prohibiting operation during
graph (b) of this section.
the times when lighted lamps are re-
quired under § 392.30, it must have on (d) An intermediate towed vehicle in
the rear— a combination consisting of more than
(i) Two stop lamps, one on each side two vehicles (including the first saddle-
of the vertical centerline, at the same mounted vehicle of a double saddle-
height, and as far apart as practicable; mount combination and the first and
(ii) Two tail lamps, one on each side second saddle-mount vehicles of a tri-
of the vertical centerline, at the same ple saddle-mount combination) must
height, and as far apart as practicable; have one side-marker lamp on each
(iii) Two red reflex reflectors, one on side, located near the rear of the vehi-
each side of the vertical centerline, at cle.
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393

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§ 393.17 49 CFR Ch. III (10–1–07 Edition)
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394
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Federal Motor Carrier Safety Administration, DOT § 393.17
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395
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§ 393.19 49 CFR Ch. III (10–1–07 Edition)

(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)


[40 FR 36126, Aug. 19, 1975, as amended at 47 FR 47837, Oct. 28, 1982; 70 FR 48044, Aug. 15, 2005]

§ 393.19 Hazard warning signals. reflectors (whether or not required by


the rules in this part) may be combined
The hazard warning signal operating
optically if—
unit on each commercial motor vehicle
shall operate independently of the igni- (1) Each required lighting device and
tion or equivalent switch, and when ac- reflector conforms to the applicable
tivated, cause all turn signals required rules in this part; and
by § 393.11 to flash simultaneously. (2) Neither the mounting nor the use
of a nonrequired lighting device or re-
[70 FR 48046, Aug. 15, 2005] flector impairs the effectiveness of a
required lighting device or reflector or
§ 393.20 [Reserved]
causes that device or reflector to be in-
§ 393.22 Combination of lighting de- consistent with the applicable rules in
vices and reflectors. this part.
(a) Permitted combinations. Except as (b) Prohibited combinations. (1) A turn
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provided in paragraph (b) of this sec- signal lamp must not be combined opti-
tion, two or more lighting devices and cally with either a head lamp or other

396
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Federal Motor Carrier Safety Administration, DOT § 393.25

lighting device or combination of light- disturbed while the vehicle is operating


ing devices that produces a greater in- on public roads.
tensity of light than the turn signal (d) Aiming. Headlamps, auxiliary
lamp. driving lamps and front fog lamps shall
(2) A turn signal lamp must not be be aimed to meet the aiming specifica-
combined optically with a stop lamp tions in FMVSS No. 108 (49 CFR
unless the stop lamp function is always 571.108), SAE J581, and SAE J583, re-
deactivated when the turn signal func- spectively.
tion is activated. [70 FR 48046, Aug. 15, 2005]
(3) A clearance lamp must not be
combined optically with a tail lamp or § 393.25 Requirements for lamps other
identification lamp. than head lamps.
(a) Mounting. All lamps shall be se-
[39 FR 26908, July 24, 1974]
curely mounted on a rigid part of the
§ 393.23 Power supply for lamps. vehicle. Temporary lamps must be se-
curely mounted to the load and are not
All required lamps must be powered required to be mounted to a permanent
by the electrical system of the motor part of the vehicle.
vehicle with the exception of battery (b) Visibility. Each lamp shall be lo-
powered lamps used on projecting cated so that it meets the visibility re-
loads. quirements specified by FMVSS No. 108
in effect at the time of manufacture of
[70 FR 48046, Aug. 15, 2005]
the vehicle. Vehicles which were not
§ 393.24 Requirements for head lamps, subject to FMVSS No. 108 at the time
auxiliary driving lamps and front of manufacture shall have each lamp
fog lamps. located so that it meets the visibility
requirements specified in the SAE
(a) Headlamps. Every bus, truck and standards listed in paragraph (c) of this
truck tractor shall be equipped with section. If motor vehicle equipment
headlamps as required by § 393.11(a). (e.g., mirrors, snow plows, wrecker
The headlamps shall provide an upper booms, backhoes, and winches) pre-
and lower beam distribution of light, vents compliance with this paragraph
selectable at the driver’s will and be by any required lamp, an auxiliary
steady-burning. The headlamps shall be lamp or device meeting the require-
marked in accordance with FMVSS No. ments of this paragraph shall be pro-
108. Auxiliary driving lamps and/or vided. This shall not be construed to
front fog lamps may not be used to sat- apply to lamps on one unit which are
isfy the requirements of this para- obscured by another unit of a combina-
graph. tion of vehicles.
(b) Auxiliary driving lamps and front (c) Specifications. All required lamps
fog lamps. Commercial motor vehicles (except marker lamps on projecting
may be equipped with auxiliary driving loads, lamps which are temporarily at-
lamps and/or front fog lamps for use in tached to vehicles transported in
conjunction with, but not in lieu of the driveaway-towaway operations, and
required headlamps. Auxiliary driving lamps on converter dollies and pole
lamps shall meet SAE Standard J581 trailers) on vehicles manufactured on
Auxiliary Upper Beam Lamps, July or after December 25, 1968, shall, at a
2004, and front fog lamps shall meet minimum, meet the applicable require-
SAE Standard J583 Front Fog Lamp, ments of FMVSS No. 108 in effect on
August 2004. (See § 393.7 for information the date of manufacture of the vehicle.
on the incorporation by reference and Marker lamps on projecting loads, all
availability of these documents.) lamps which are temporarily attached
(c) Mounting. Headlamps shall be to vehicles transported in driveaway-
mounted and aimable in accordance towaway operations, and all lamps on
with FMVSS No. 108. Auxiliary driving converter dollies and pole trailers must
lamps and front fog lamps shall be meet the following applicable SAE
mounted so that the beams are aimable standards: J586—Stop Lamps for Use on
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and the mounting shall prevent the Motor Vehicles Less Than 2032 mm in
aim of the lighting device from being Overall Width, March 2000; J2261 Stop

397

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§ 393.26 49 CFR Ch. III (10–1–07 Edition)

Lamps and Front- and Rear-Turn Sig- combined with the turn signal and the
nal Lamps for Use on Motor Vehicles turn signal is in use.
2032 mm or More in Overall Width, Jan- [70 FR 48047, Aug. 15, 2005]
uary 2002; J585—Tail Lamps (Rear Posi-
tion Lamps) for Use on Motor Vehicles § 393.26 Requirements for reflectors.
Less Than 2032 mm in Overall Width, (a) Mounting. Reflex reflectors shall
March 2000; J588—Turn Signal Lamps be mounted at the locations required
for Use on Motor Vehicles Less Than by § 393.11. In the case of motor vehicles
2032 mm in Overall Width, March 2000; so constructed that requirement for a
J2040—Tail Lamps (Rear Position 381 mm (15-inch) minimum height
Lamps) for Use on Vehicles 2032 mm or above the road surface is not practical,
More in Overall Width, March 2002; the reflectors shall be mounted as close
J592—Sidemarker Lamps for Use on as practicable to the required mount-
Road Vehicles Less Than 2032 mm in ing height range. All permanent reflex
Overall Width, August 2000. (See § 393.7 reflectors shall be securely mounted on
for information on the incorporation a rigid part of the vehicle. Temporary
by reference and availability of these reflectors on projecting loads must be
documents.) securely mounted to the load and are
(d) (Reserved) not required to be permanently mount-
(e) Lamps to be steady-burning. All ex- ed to a part of the vehicle. Temporary
terior lamps (both required lamps and reflex reflectors on vehicles trans-
any additional lamps) shall be steady- ported in driveaway-towaway oper-
burning with the exception of turn sig- ations must be firmly attached.
nal lamps; hazard warning signal (b) Specifications. All required reflex
lamps; school bus warning lamps; reflectors (except reflex reflectors on
amber warning lamps or flashing warn- projecting loads, vehicles transported
ing lamps on tow trucks and commer- in a driveaway-towaway operation,
cial motor vehicles transporting over- converter dollies and pole trailers) on
sized loads; and warning lamps on vehicles manufactured on or after De-
emergency and service vehicles author- cember 25, 1968, shall meet the applica-
ized by State or local authorities. ble requirements of FMVSS No. 108 in
effect on the date of manufacture of
Lamps combined into the same shell or
the vehicle. Reflex reflectors on pro-
housing with a turn signal are not re-
jecting loads, vehicles transported in a
quired to be steady burning while the
driveaway-towaway operation, and all
turn signal is in use. Amber warning
reflex reflectors on converter dollies
lamps must meet SAE J845—Optical and pole trailers must conform to SAE
Warning Devices for Authorized Emer- J594—Reflex Reflectors, December 2003.
gency, Maintenance and Service Vehi- (c) Substitute material for side reflex re-
cles, May 1997. Amber flashing warning flectors. Reflective material conforming
lamps must meet SAE J595—Direc- to ASTM D 4956–04, Standard Specifica-
tional Flashing Optical Warning De- tion for Retroreflective Sheeting for
vices for Authorized Emergency, Main- Traffic Control, may be used in lieu of
tenance and Service Vehicles, January reflex reflectors if the material as used
2005. Amber gaseous discharge warning on the vehicle, meets the performance
lamps must meet SAE J1318 Gaseous standards in either Table I of SAE J594
Discharge Warning Lamp for Author- or Table IA of SAE J594—Reflex Reflec-
ized Emergency, Maintenance, and tors, December 2003. (See § 393.7(b) for
Service Vehicles, May 1998. (See information on the incorporation by
§ 393.7(b) for information on the incor- reference and availability of these doc-
poration by reference and availability uments.)
of these documents.) (d) Use of additional retroreflective sur-
(f) Stop lamp operation. The stop faces. Additional retroreflective sur-
lamps on each vehicle shall be acti- faces may be used in conjunction with,
vated upon application of the service but not in lieu of the reflex reflectors
brakes. The stop lamps are not re- required in subpart B of part 393, and
quired to be activated when the emer- the substitute material for side reflex
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gency feature of the trailer brakes is reflectors allowed by paragraph (c) of


used or when the stop lamp is optically this section, provided:

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Federal Motor Carrier Safety Administration, DOT § 393.40

(1) Designs do not resemble traffic tected against grounding by an acid


control signs, lights, or devices, except and waterproof insulating bushing.
that straight edge striping resembling Wherever a battery and a fuel tank are
a barricade pattern may be used. both placed under the driver’s seat,
(2) Designs do not tend to distort the they shall be partitioned from each
length and/or width of the motor vehi- other, and each compartment shall be
cle. provided with an independent cover,
(3) Such surfaces shall be at least 3 ventilation, and drainage.
inches from any required lamp or re-
flector unless of the same color as such § 393.31–393.33 [Reserved]
lamp or reflector.
(4) No red color shall be used on the
front of any motor vehicle, except for Subpart C—Brakes
display of markings or placards re-
§ 393.40 Required brake systems.
quired by § 177.823 of this title.
(5) Retroreflective license plates re- (a) Each commercial motor vehicle
quired by State or local authorities must have brakes adequate to stop and
may be used. hold the vehicle or combination of
[33 FR 19735, Dec. 25, 1968, as amended at 35 motor vehicles. Each commercial
FR 3167, Feb. 19, 1970; 53 FR 49397, Dec. 7, motor vehicle must meet the applica-
1988; 70 FR 48047, Aug. 15, 2005] ble service, parking, and emergency
brake system requirements provided in
§ 393.27 [Reserved] this section.
§ 393.28 Wiring systems. (b) Service brakes. (1) Hydraulic brake
systems. Motor vehicles equipped with
Electrical wiring shall be installed hydraulic brake systems and manufac-
and maintained to conform to SAE tured on or after September 2, 1983,
J1292—Automobile, Truck, Truck-Trac- must, at a minimum, have a service
tor, Trailer, and Motor Coach Wiring, brake system that meets the require-
October 1981, except the jumper cable
ments of FMVSS No. 105 in effect on
plug and receptacle need not conform
the date of manufacture. Motor vehi-
to SAE J560. The reference to SAE
cles which were not subject to FMVSS
J1292 shall not be construed to require
circuit protection on trailers. (See No. 105 on the date of manufacture
§ 393.7(b) for information on the incor- must have a service brake system that
poration by reference and availability meets the applicable requirements of
of this document.) §§ 393.42, 393.48, 393.49, 393.51, and 393.52
of this subpart.
[70 FR 48047, Aug. 15, 2005] (2) Air brake systems. Buses, trucks
§ 393.29 [Reserved] and truck-tractors equipped with air
brake systems and manufactured on or
§ 393.30 Battery installation. after March 1, 1975, and trailers manu-
Every storage battery on every vehi- factured on or after January 1, 1975,
cle, unless located in the engine com- must, at a minimum, have a service
partment, shall be covered by a fixed brake system that meets the require-
part of the motor vehicle or protected ments of FMVSS No. 121 in effect on
by a removable cover or enclosure. Re- the date of manufacture. Motor vehi-
movable covers or enclosures shall be cles which were not subject to FMVSS
substantial and shall be securely No. 121 on the date of manufacture
latched or fastened. The storage bat- must have a service brake system that
tery compartment and adjacent metal meets the applicable requirements of
parts which might corrode by reason of §§ 393.42, 393.48, 393.49, 393.51, and 393.52
battery leakage shall be painted or of this subpart.
coated with an acid-resisting paint or (3) Vacuum brake systems. Motor vehi-
coating and shall have openings to pro- cles equipped with vacuum brake sys-
vide ample battery ventilation and tems must have a service brake system
drainage. Wherever the cable to the that meets the applicable requirements
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starting motor passes through a metal of §§ 393.42, 393.48, 393.49, 393.51, and
compartment, the cable shall be pro- 393.52 of this subpart.

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§ 393.41 49 CFR Ch. III (10–1–07 Edition)

(4) Electric brake systems. Motor vehi- be located so that the driver can oper-
cles equipped with electric brake sys- ate it from the normal seating position
tems must have a service brake system while restrained by any seat belts with
that meets the applicable requirements which the vehicle is equipped. The
of §§ 393.42, 393.48, 393.49 and 393.52 of emergency brake control may be com-
this subpart. bined with either the service brake
(5) Surge brake systems. Motor vehicles control or the parking brake control.
equipped with surge brake systems However, all three controls may not be
must have a service brake system that combined.
meets the applicable requirements of (f) Interconnected systems. (1) If the
§§ 393.42, 393.48, 393.49, and 393.52 of this brake systems required by § 393.40(a)
subpart. are interconnected in any way, they
(c) Parking brakes. Each commercial must be designed, constructed, and
motor vehicle must be equipped with a maintained so that in the event of a
parking brake system that meets the failure of any part of the operating
applicable requirements of § 393.41. mechanism of one or more of the sys-
(d) Emergency brakes—partial fail- tems (except the service brake actu-
ure of service brakes. ation pedal or valve), the motor vehicle
(1) Hydraulic brake systems. Motor ve- will have operative brakes and, for ve-
hicles manufactured on or after Sep- hicles manufactured on or after July 1,
tember 2, 1983, and equipped with a 1973, be capable of meeting the require-
split service brake system must, at a ments of § 393.52(b).
minimum, meet the partial failure re- (2) A motor vehicle to which the re-
quirements of FMVSS No. 105 in effect quirements of FMVSS No. 105 (S5.1.2),
on the date of manufacture. dealing with partial failure of the serv-
(2) Air brake systems. Buses, trucks ice brake, applied at the time of manu-
and truck tractors manufactured on or facture meets the requirements of
after March 1, 1975, and trailers manu- § 393.40(f)(1) if the motor vehicle is
factured on or after January 1, 1975, maintained in conformity with FMVSS
must be equipped with an emergency No. 105 and the motor vehicle is capa-
brake system which, at a minumum, ble of meeting the requirements of
meets the requirements of FMVSS No. § 393.52(b), except in the case of a struc-
121 in effect on the date of manufac- tural failure of the brake master cyl-
ture. inder body.
(3) Vehicles not subject to FMVSS Nos. (3) A bus is considered to meet the re-
105 and 121 on the date of manufacture. quirements of § 393.40(f)(1) if it meets
Buses, trucks and truck tractors not the requirements of § 393.44 and
subject to FMVSS Nos. 105 or 121 on § 393.52(b).
the date of manufacture must meet the
requirements of § 393.40(e). Trailers not [70 FR 48048, Aug. 15, 2005, as amended at 72
subject to FMVSS No. 121 at the time FR 9870, Mar. 6, 2007]
of manufacture must meet the require-
ments of § 393.43. § 393.41 Parking brake system.
(e) Emergency brakes, vehicles man- (a) Hydraulic-braked vehicles manufac-
ufactured on or after July 1, 1973. (1) A tured on or after September 2, 1983. Each
bus, truck, truck tractor, or a com- truck and bus (other than a school bus)
bination of motor vehicles manufac- with a GVWR of 4,536 kg (10,000 pounds)
tured on or after July 1, 1973, and not or less which is subject to this part and
covered under paragraphs (d)(1) or school buses with a GVWR greater than
(d)(2) of this section, must have an 4,536 kg (10,000 pounds) shall be
emergency brake system which con- equipped with a parking brake system
sists of emergency features of the serv- as required by FMVSS No. 571.105 (S5.2)
ice brake system or an emergency sys- in effect at the time of manufacture.
tem separate from the service brake The parking brake shall be capable of
system. The emergency brake system holding the vehicle or combination of
must meet the applicable requirements vehicles stationary under any condi-
of §§ 393.43 and 393.52. tion of loading in which it is found on
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(2) A control by which the driver ap- a public road (free of ice and snow). Hy-
plies the emergency brake system must draulic-braked vehicles which were not

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Federal Motor Carrier Safety Administration, DOT § 393.42

subject to the parking brake require- leased unless adequate energy is avail-
ments of FMVSS No. 571.105 (S5.2) must able to immediately reapply the park-
be equipped with a parking brake sys- ing brake with the required effective-
tem that meets the requirements of ness.
paragraph (c) of this section.
[70 FR 48048, Aug. 15, 2005]
(b) Air-braked power units manufac-
tured on or after March 1, 1975, and air- § 393.42 Brakes required on all wheels.
braked trailers manufactured on or after
January 1, 1975. Each air-braked bus, (a) Every commercial motor vehicle
truck and truck tractor manufactured shall be equipped with brakes acting on
on and after March 1, 1975, and each all wheels.
air-braked trailer except an agricul- (b) Exception. (1) Trucks or truck
tural commodity trailer, converter tractors having three or more axles
dolly, heavy hauler trailer or pulpwood and manufactured before July 25, 1980,
trailer, shall be equipped with a park- are not required to have brakes on the
ing brake system as required by front wheels. However, these vehicles
FMVSS No. 121 (S5.6) in effect at the must meet the requirements of § 393.52.
time of manufacture. The parking (2) Motor vehicles being towed in a
brake shall be capable of holding the driveaway-towaway operation are not
vehicle or combination of vehicles sta- required to have operative brakes pro-
tionary under any condition of loading vided the combination of vehicles
in which it is found on a public road meets the requirements of § 393.52. This
(free of ice and snow). An agricultural exception is not applicable to:
commodity trailer, heavy hauler or (i) Any motor vehicle towed by
pulpwood trailer shall carry sufficient means of a tow-bar when another
chocking blocks to prevent movement motor vehicle is full-mounted on the
when parked. towed vehicle; and
(c) Vehicles not subject to FMVSS Nos. (ii) Any combination of motor vehi-
105 and 121 on the date of manufacture. cles utilizing three or more saddle-
(1) Each singly driven motor vehicle mounts.
not subject to parking brake require- (3) Any semitrailer or pole trailer
ments of FMVSS Nos. 105 or 121 at the (laden or unladen) with a gross weight
time of manufacturer, and every com- of 1,361 kg (3,000 pounds) or less which
bination of motor vehicles must be is subject to this part is not required to
equipped with a parking brake system be equipped with brakes if the axle
adequate to hold the vehicle or com- weight of the towed vehicle does not
bination on any grade on which it is exceed 40 percent of the sum of the axle
operated, under any condition of load- weights of the towing vehicle.
ing in which it is found on a public (4) Any full trailer or four-wheel pole
road (free of ice and snow). trailer (laden or unladen) with a gross
(2) The parking brake system shall, weight of 1,361 kg (3,000 pounds) or less
at all times, be capable of being applied which is subject to this part is not re-
by either the driver’s muscular effort quired to be equipped with brakes if
or by spring action. If other energy is the sum of the axle weights of the
used to apply the parking brake, there towed vehicle does not exceed 40 per-
must be an accumulation of that en- cent of the sum of the axle weights of
ergy isolated from any common source the towing vehicle.
and used exclusively for the operation (5) Brakes are not required on the
of the parking brake. steering axle of a three-axle dolly
Exception: This paragraph shall not be which is steered by a co-driver.
applicable to air-applied, mechani- (6) Loaded housemoving dollies, spe-
cally-held parking brake systems cialized trailers and dollies used to
which meet the parking brake require- transport industrial furnaces, reactors,
ments of FMVSS No. 121 (S5.6). and similar motor vehicles are not re-
(3) The parking brake system shall be quired to be equipped with brakes, pro-
held in the applied position by energy vided the speed at which the combina-
other than fluid pressure, air pressure, tion of vehicles will be operated does
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or electric energy. The parking brake not exceed 32 km/hour (20 mph) and
system shall not be capable of being re- brakes on the combination of vehicles

401

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§ 393.43 49 CFR Ch. III (10–1–07 Edition)

are capable of stopping the combina- operated or 32 km/hour (20 mph),


tion within 12.2 meters (40 feet) from whichever is less.
the speed at which the vehicle is being

[52 FR 2803, Jan. 27, 1987, as amended at 53 FR 49398, Dec. 7, 1988; 54 FR 48617, Nov. 24, 1989;
59 FR 25574, May 17, 1994; 61 FR 1843, Jan. 24, 1996; 70 FR 48049, Aug. 15, 2005]

§ 393.43 Breakaway and emergency ing units, the tractor protection valve
braking. or similar device shall operate auto-
(a) Towing vehicle protection system. matically when the air pressure on the
Every motor vehicle, if used to tow a towing vehicle is between 138 kPa and
trailer equipped with brakes, shall be 310 kPa (20 psi and 45 psi).
equipped with a means for providing (b) Emergency brake requirements, air
that in the case of a breakaway of the brakes. Every truck or truck tractor
trailer, the service brakes on the tow- equipped with air brakes, when used for
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ing vehicle will be capable of stopping towing other vehicles equipped with air
the towing vehicle. For air braked tow- brakes, shall be equipped with two

402
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Federal Motor Carrier Safety Administration, DOT § 393.45

means of activating the emergency fea- the towing vehicle upon reduction of
tures of the trailer brakes. One of these the towing vehicle air pressure.
means shall operate automatically in (f) Exception. The requirements of
the event of reduction of the towing ve- paragraphs (b), (c) and (d) of this sec-
hicle air supply to a fixed pressure tion shall not be applicable to commer-
which shall not be lower than 20 pounds cial motor vehicles being transported
per square inch nor higher than 45 in driveaway-towaway operations.
pounds per square inch. The other
[53 FR 49384, Dec. 7, 1988, as amended at 70
means shall be a manually controlled FR 48050, Aug. 15, 2005]
device readily operable by a person
seated in the driving seat. Its emer- § 393.44 Front brake lines, protection.
gency position or method of operation
shall be clearly indicated. In no in- On every bus, if equipped with air
stance may the manual means be so ar- brakes, the braking system shall be so
constructed that in the event any
ranged as to permit its use to prevent
brake line to any of the front wheels is
operation of the automatic means. The
broken, the driver can apply the brakes
automatic and manual means required
on the rear wheels despite such break-
by this section may be, but are not re-
age. The means used to apply the
quired to be, separate.
brakes may be located forward of the
(c) Emergency brake requirements, vac- driver’s seat as long as it can be oper-
uum brakes. Every truck tractor and ated manually by the driver when the
truck when used for towing other vehi- driver is properly restrained by any
cles equipped with vacuum brakes, seat belt assembly provided for use.
shall have, in addition to the single Every bus shall meet this requirement
control required by § 393.49 to operate or comply with the regulations in ef-
all brakes of the combination, a second fect at the time of its manufacture.
manual control device which can be
used to operate the brakes on the [53 FR 49400, Dec. 7, 1988]
towed vehicles in emergencies. Such
second control shall be independent of § 393.45 Brake tubing and hoses; hose
brake air, hydraulic, and other pres- assemblies and end fittings.
sure, and independent of other con- (a) General construction requirements
trols, unless the braking system be so for tubing and hoses, assemblies, and end
arranged that failure of the pressure on fittings. All brake tubing and hoses,
which the second control depends will brake hose assemblies, and brake hose
cause the towed vehicle brakes to be end fittings must meet the applicable
applied automatically. The second con- requirements of FMVSS No. 106 (49
trol is not required by this rule to pro- CFR 571.106).
vide modulated or graduated braking. (b) Brake tubing and hose installation.
(d) Breakaway braking requirements for Brake tubing and hose must—
trailers. Every trailer required to be (1) Be long and flexible enough to ac-
equipped with brakes shall have brakes commodate without damage all normal
which apply automatically and imme- motions of the parts to which it is at-
diately upon breakaway from the tow- tached;
ing vehicle. With the exception of trail- (2) Be secured against chaffing,
ers having three or more axles, all kinking, or other mechanical damage;
brakes with which the trailer is re- and
quired to be equipped must be applied (3) Be installed in a manner that pre-
upon breakaway from the towing vehi- vents it from contacting the vehicle’s
cle. The brakes must remain in the ap- exhaust system or any other source of
plied position for at least 15 minutes. high temperatures.
(e) Emergency valves. Air brake sys- (c) Nonmetallic brake tubing. Coiled
tems installed on towed vehicles shall nonmetallic brake tubing may be used
be so designed, by the use of ‘‘no-bleed- for connections between towed and
back’’ relay emergency valves or equiv- towing motor vehicles or between the
alent devices, that the supply reservoir frame of a towed vehicle and the un-
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used to provide air for brakes shall be sprung subframe of an adjustable axle
safeguarded against backflow of air to of the motor vehicle if—

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§ 393.46 49 CFR Ch. III (10–1–07 Edition)

(1) The coiled tubing has a straight hydraulic disc, drum and electric
segment (pigtail) at each end that is at brakes.
least 51 mm (2 inches) in length and is (2) Non-steering axle brakes. An air
encased in a spring guard or similar de- braked commercial motor vehicle shall
vice which prevents the tubing from not be operated with brake lining/pad
kinking at the fitting at which it is at- thickness less than 6.4 mm (1⁄4 inch) or
tached to the vehicle; and to the wear indicator if the lining is so
(2) The spring guard or similar device marked (measured at the shoe center
has at least 51 mm (2 inches) of closed for drum brakes); or less than 3.2 mm
coils or similar surface at its interface (1⁄8 inch) for disc brakes. Hydraulic or
with the fitting and extends at least 38 electric braked commercial motor ve-
mm (11⁄2 inches) into the coiled seg- hicles shall not be operated with a lin-
ment of the tubing from its straight ing/pad thickness less than 1.6 mm
segment. (1⁄16 inch) (measured at the shoe center)
(d) Brake tubing and hose connections. for disc or drum brakes.
All connections for air, vacuum, or hy- (e) Clamp and Roto-Chamber Brake Ac-
draulic braking systems shall be in- tuator Readjustment limits. The pushrod
stalled so as to ensure an attachment travel for clamp and roto-chamber type
free of leaks, constrictions or other actuators must be less than 80 percent
conditions which would adversely af- of the rated strokes listed in SAE
fect the performance of the brake sys- J1817—Long Stroke Air Brake Actu-
tem. ator Marking, July 2001 (See § 393.7 (b)
for information on incorporation by
[70 FR 48050, Aug. 15, 2005] reference and availability of this docu-
§ 393.46 [Reserved] ment), or 80 percent of the rated stroke
marked on the brake chamber by the
§ 393.47 Brake actuators, slack adjust- chamber manufacturer, or the read-
ers, linings/pads and drums/rotors. justment limit marked on the brake
(a) General requirements. Brake com- chamber by the chamber manufacturer.
ponents must be constructed, installed The pushrod travel for Type 16 and 20
and maintained to prevent excessive long stroke clamp type brake actuators
must be less than 51 mm (2 inches) or
fading and grabbing. The means of at-
80 percent of the rated stroke marked
tachment and physical characteristics
on the brake chamber by the chamber
must provide for safe and reliable stop-
manufacturer, or the readjustment
ping of the commercial motor vehicle.
limit marked on the brake chamber by
(b) Brake chambers. The service brake
the chamber manufacturer.
chambers and spring brake chambers
(f) Wedge Brake Adjustment. The
on each end of an axle must be the
movement of the scribe mark on the
same size.
lining shall not exceed 1.6 mm (1⁄16
(c) Slack adjusters. The effective
inch).
length of the slack adjuster on each
(g) Drums and rotors. The thickness of
end of an axle must be the same.
the drums or rotors shall not be less
(d) Linings and pads. The thickness of
than the limits established by the
the brake linings or pads shall meet
brake drum or rotor manufacturer.
the applicable requirements of this
paragraph— [70 FR 48051, Aug. 15, 2005]
(1) Steering axle brakes. The brake lin-
ing/pad thickness on the steering axle § 393.48 Brakes to be operative.
of a truck, truck-tractor or bus shall (a) General rule. Except as provided in
not be less than 4.8 mm (3⁄16 inch) at the paragraphs (b), (c), and (d) of this sec-
shoe center for a shoe with a contin- tion, all brakes with which a motor ve-
uous strip of lining; less than 6.4 mm hicle is equipped must at all times be
(1⁄4 inch) at the shoe center for a shoe capable of operating.
with two pads; or worn to the wear in- (b) Devices to reduce or remove front-
dicator if the lining is so marked, for wheel braking effort. A commercial
air drum brakes. The steering axle motor vehicle may be equipped with a
brake lining/pad thickness shall not be device to reduce the front wheel brak-
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less than 3.2 mm (1⁄8 inch) for air disc ing effort (or in the case of a three-axle
brakes, or 1.6 mm (1⁄16 inch) or less for truck or truck tractor manufactured

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Federal Motor Carrier Safety Administration, DOT § 393.49

before March 1, 1975, a device to remove (6) Raised lift axles. Brakes on lift
the front-wheel braking effort) if that axles need not be capable of being oper-
device meets the applicable require- ated while the lift axle is raised. How-
ments of paragraphs (b)(1) and (2) of ever, brakes on lift axles must be capa-
this section. ble of being applied whenever the lift
(1) Manually operated devices. Manu- axle is lowered and the tires contact
ally operated devices to reduce or re- the roadway.
move front-wheel braking effort may (d) Surge brakes. (1) Surge brakes are
only be used on buses, trucks, and allowed on:
truck tractors manufactured before (i) Any trailer with a gross vehicle
March 1, 1975. Such devices must not be weight rating (GVWR) of 12,000 pounds
used unless the vehicle is being oper- or less, when its GVWR does not exceed
ated under adverse conditions such as 1.75 times the GVWR of the towing ve-
wet, snowy, or icy roads. hicle; and
(2) Automatic devices. Automatic de- (ii) Any trailer with a GVWR greater
vices must not reduce the front-wheel than 12,000 pounds, but less than 20,001
braking force by more than 50 percent pounds, when its GVWR does not ex-
of the braking force available when the ceed 1.25 times the GVWR of the tow-
automatic device is disconnected (re- ing vehicle.
gardless of whether or not an antilock (2) The gross vehicle weight (GVW) of
system failure has occurred on any a trailer equipped with surge brakes
axle). The device must not be operable may be used instead of its GVWR to
by the driver except upon application calculate compliance with the weight
of the control that activates the brak- ratios specified in paragraph (d)(1) of
ing system. The device must not be op- this section when the trailer manufac-
erable when the brake control applica- turer’s GVWR label is missing.
tion pressure exceeds 85 psig (for vehi- (3) The GVW of a trailer equipped
cles equipped with air brakes) or 85 per- with surge brakes must be used to cal-
cent of the maximum system pressure culate compliance with the weight ra-
(for vehicles which are not equipped tios specified in paragraph (d)(1) of this
with air brakes). section when the trailer’s GVW exceeds
(c) Exception. Paragraph (a) of this its GVWR.
section does not apply to— (4) The surge brakes must meet the
(1) A towed vehicle with disabling requirements of § 393.40.
damage as defined in § 390.5; [70 FR 48051, Aug. 15, 2005, as amended at 72
(2) A vehicle which is towed in a FR 9870, Mar. 6, 2007]
driveaway-towaway operation and is
included in the exemption to the re- § 393.49 Control valves for brakes.
quirement for brakes on all wheels, (a) General rule. Except as provided in
§ 393.42(b); paragraphs (b) and (c) of this section,
(3) Unladen converter dollies with a every motor vehicle manufactured
gross weight of 1,361 kg (3,000 lbs) or after June 30, 1953, which is equipped
less, and manufactured prior to March with power brakes, must have the
1, 1998; braking system so arranged that one
(4) The steering axle of a three-axle application valve must when activated
dolly which is steered by a co-driver; cause all of the service brakes on the
(5) Loaded house moving dollies, spe- motor vehicle or combination motor
cialized trailers and dollies used to vehicle to operate. This requirement
transport industrial furnaces, reactors, must not be construed to prohibit
and similar motor vehicles provided motor vehicles from being equipped
the speed at which the combination of with an additional valve to be used to
vehicles will be operated does not ex- operate the brakes on a trailer or trail-
ceed 32 km/hour (20 mph) and brakes on ers or as required for busses in § 393.44.
the combination of vehicles are capable (b) Driveaway-Towaway Exception.
of stopping the combination within 12.2 This section is not applicable to
meters (40 feet) from the speed at driveaway-towaway operations unless
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which the vehicle is being operated or the brakes on such operations are de-
32 km/hour (20 mph), whichever is less. signed to be operated by a single valve.

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§ 393.50 49 CFR Ch. III (10–1–07 Edition)

(c) Surge brake exception. This re- § 393.51 Warning signals, air pressure
quirement is not applicable to trailers and vacuum gauges.
equipped with surge brakes that satisfy (a) General Rule. Every bus, truck and
the conditions specified in § 393.48(d). truck tractor, except as provided in
[72 FR 9871, Mar. 6, 2007] paragraph (f), must be equipped with a
signal that provides a warning to the
§ 393.50 Reservoirs required. driver when a failure occurs in the ve-
hicle’s service brake system. The warn-
(a) Reservoir capacity for air-braked
ing signal must meet the applicable re-
power units manufactured on or after
quirements of paragraphs (b), (c), (d) or
March 1, 1975, and air-braked trailers
(e) of this section.
manufactured on or after January 1, 1975.
(b) Hydraulic brakes. Vehicles manu-
Buses, trucks, and truck-tractors man-
factured on or after September 1, 1975,
ufactured on or after March 1, 1975, and
must meet the brake system indicator
air-braked trailers manufactured on or lamp requirements of FMVSS No.
after January 1, 1975, must meet the 571.105 (S5.3) applicable to the vehicle
reservoir requirements of FMVSS No. on the date of manufacture. Vehicles
121, S5.1.2, in effect on the date of man- manufactured on or after July 1, 1973
ufacture. but before September 1, 1975, or to
(b) Reservoir capacity for air-braked ve- which FMVSS No. 571.105 was not ap-
hicles not subject to FMVSS No. 121 on plicable on the date of manufacture,
the date of manufacture and all vacuum must have a warning signal which op-
braked vehicles. Each motor vehicle erates before or upon application of the
using air or vacuum braking must have brakes in the event of a hydraulic-type
either reserve capacity, or a reservoir, complete failure of a partial system.
that would enable the driver to make a The signal must be either visible with-
full service brake application with the in the driver’s forward field of view or
engine stopped without depleting the audible. The signal must be contin-
air pressure or vacuum below 70 per- uous. (NOTE: FMVSS No. 105 was ap-
cent of that indicated by the air or vac- plicable to trucks and buses from Sep-
uum gauge immediately before the tember 1, 1975 to October 12, 1976, and
brake application is made. For the pur- from September 1, 1983, to the present.
poses of this paragraph, a full service FMVSS No. 105 was not applicable to
brake application means depressing the trucks and buses manufactured be-
brake pedal or treadle valve to the tween October 12, 1976, and September
limit of its travel. 1, 1983. Motor carriers have the option
(c) Safeguarding of air and vacuum. of equipping those vehicles to meet ei-
Each service reservoir system on a ther the indicator lamp requirements
of FMVSS No. 105, or the indicator
motor vehicle shall be protected
lamp requirements specified in this
against a loss of air pressure or vacu-
paragraph for vehicles which were not
um due to a failure or leakage in the
subject to FMVSS No. 105 on the date
system between the service reservoir of manufacture.)
and the source of air pressure or vacu-
(c) Air brakes. A commercial motor
um, by check valves or equivalent de- vehicle (regardless of the date of manu-
vices whose proper functioning can be facture) equipped with service brakes
checked without disconnecting any air activated by compressed air (air
or vacuum line, or fitting. brakes) or a commercial motor vehicle
(d) Drain valves for air braked vehicles. towing a vehicle with service brakes
Each reservoir must have a condensate activated by compressed air (air
drain valve that can be manually oper- brakes) must be equipped with a pres-
ated. Automatic condensate drain sure gauge and a warning signal.
valves may be used provided (1) they Trucks, truck tractors, and buses man-
may be operated manually, or (2) a ufactured on or after March 1, 1975,
manual means of draining the res- must, at a minimum, have a pressure
ervoirs is retained. gauge and a warning signal which
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meets the requirements of FMVSS No.


[70 FR 48052, Aug. 15, 2005] 121 (S5.1.4 for the pressure gauge and

406

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Federal Motor Carrier Safety Administration, DOT § 393.52

S5.1.5 for the warning signal) applica- mercial motor vehicles which have less
ble to the vehicle on the date of manu- than three axles and (1) were manufac-
facture of the vehicle. Power units to tured before July 1, 1973, and (2) have a
which FMVSS No. 571.121 was not ap- manufacturer’s gross vehicle weight
plicable on the date of manufacture of rating less than 4,536 kg (10,001 pounds).
the vehicle must be equipped with—
[70 FR 48052, Aug. 15, 2005]
(1) A pressure gauge, visible to a per-
son seated in the normal driving posi- § 393.52 Brake performance.
tion, which indicates the air pressure
(in kilopascals (kPa) or pounds per (a) Upon application of its service
square inch (psi)) available for braking; brakes, a motor vehicle or combination
and of motor vehicles must under any con-
(2) A warning signal that is audible dition of loading in which it is found on
or visible to a person in the normal a public highway, be capable of—
driving position and provides a contin- (1) Developing a braking force at
uous warning to the driver whenever least equal to the percentage of its
the air pressure in the service reservoir gross weight specified in the table in
system is at 379 kPa (55 psi) and below, paragraph (d) of this section;
or one-half of the compressor governor (2) Decelerating to a stop from 20
cutout pressure, whichever is less. miles per hour at not less than the rate
(d) Vacuum brakes. A commercial specified in the table in paragraph (d)
motor vehicle (regardless of the date it of this section; and
was manufactured) having service (3) Stopping from 20 miles per hour in
brakes activated by vacuum or a vehi- a distance, measured from the point at
cle towing a vehicle having service which movement of the service brake
brakes activated by vacuum must be pedal or control begins, that is not
equipped with— greater than the distance specified in
(1) A vacuum gauge, visible to a per- the table in paragraph (d) of this sec-
son seated in the normal driving posi- tion; or, for motor vehicles or motor
tion, which indicates the vacuum (in vehicle combinations that have a
millimeters or inches of mercury) GVWR or GVW greater than 4,536 kg
available for braking; and (10,000 pounds),
(2) A warning signal that is audible (4) Developing only the braking force
or visible to a person in the normal specified in paragraph (a)(1) of this sec-
driving position and provides a contin- tion and the stopping distance specified
uous warning to the driver whenever in paragraph (a)(3) of this section, if
the vacuum in the vehicle’s supply res- braking force is measured by a per-
ervoir is less than 203 mm (8 inches) of formance-based brake tester which
mercury. meets the requirements of functional
(e) Hydraulic brakes applied or assisted specifications for performance-based
by air or vacuum. Each vehicle equipped brake testers for commercial motor ve-
with hydraulically activated service hicles, where braking force is the sum
brakes which are applied or assisted by of the braking force at each wheel of
compressed air or vacuum, and to the vehicle or vehicle combination as a
which FMVSS No. 105 was not applica- percentage of gross vehicle or combina-
ble on the date of manufacture, must tion weight.
be equipped with a warning signal that (b) Upon application of its emergency
conforms to paragraph (b) of this sec- brake system and with no other brake
tion for the hydraulic portion of the system applied, a motor vehicle or
system; paragraph (c) of this section combination of motor vehicles must,
for the air assist/air applied portion; or under any condition of loading in
paragraph (d) of this section for the which it is found on a public highway,
vacuum assist/vacuum applied portion. be capable of stopping from 20 miles
This paragraph shall not be construed per hour in a distance, measured from
as requiring air pressure gauges or vac- the point at which movement of the
uum gauges, only warning signals. emergency brake control begins, that
(f) Exceptions. The rules in para- is not greater than the distance speci-
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graphs (c), (d) and (e) of this section do fied in the table in paragraph (d) of this
not apply to property carrying com- section.

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§ 393.52 49 CFR Ch. III (10–1–07 Edition)

(c) Conformity to the stopping-dis- stantially level, dry, smooth, and free
tance requirements of paragraphs (a) of loose material.
and (b) of this section shall be deter- (2) The vehicle must be in the center
mined under the following conditions: of a 12-foot-wide lane when the test be-
(1) Any test must be made with the gins and must not deviate from that
vehicle on a hard surface that is sub- lane during the test.
(d) Vehicle brake performance table:
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408

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VerDate Aug<31>2005
11:20 Nov 02, 2007

Federal Motor Carrier Safety Administration, DOT


Service brake systems Emergency
brake systems
Application and
Braking force Application and
braking dis-
Type of motor vehicle as a percentage Deceleration in braking dis-
tance in feet
Jkt 211213

of gross vehicle feet per second tance in feet


from initial
or combination per second from initial
speed at 20
weight speed of 20
mph mph

A. Passenger-carrying vehicles:
PO 00000

(1) Vehicles with a seating capacity of 10 persons or less, including driver, and built on a passenger car
chassis .......................................................................................................................................................... 65.2 21 20 54
(2) Vehicles with a seating capacity of more than 10 persons, including driver, and built on a passenger
car chassis; vehicles built on a truck or bus chassis and having a manufacturer’s GVWR of 10,000
pounds or less .............................................................................................................................................. 52.8 17 25 66
Frm 00419

(3) All other passenger-carrying vehicles ........................................................................................................ 43.5 14 35 85


B. Property-carrying vehicles:
(1) Single unit vehicles having a manufacturer’s GVWR of 10,000 pounds or less ....................................... 52.8 17 25 66
(2) Single unit vehicles having a manufacturer’s GVWR of more than 10,000 pounds, except truck trac-
tors. Combinations of a 2-axle towing vehicle and trailer having a GVWR of 3,000 pounds or less. All
combinations of 2 or less vehicles in drive-away or tow-away operation ................................................... 43.5 14 35 85
Fmt 8010

(3) All other property-carrying vehicles and combinations of property-carrying vehicles ............................... 43.5 14 40 90
Notes: (a) There is a definite mathematical relationship between the figures in columns 2 and 3. If the decelerations set forth in column 3 are divided by 32.2 feet per-second per-second,
the figures in column 2 will be obtained. (For example, 21 divided by 32.2 equals 65.2 percent.) Column 2 is included in the tabulation because certain brake testing devices utilize this fac-
409

tor.
(b) The decelerations specified in column 3 are an indication of the effectiveness of the basic brakes, and as measured in practical brake testing are the maximum decelerations attained
Sfmt 8017

at some time during the stop. These decelerations as measured in brake tests cannot be used to compute the values in column 4 because the deceleration is not sustained at the same rate
over the entire period of the stop. The deceleration increases from zero to a maximum during a period of brake system application and brake-force buildup. Also, other factors may cause
the deceleration to decrease after reaching a maximum. The added distance that results because maximum deceleration is not sustained is included in the figures in column 4 but is not in-
dicated by the usual brake-testing devices for checking deceleration.
(c) The distances in column 4 and the decelerations in column 3 are not directly related. ‘‘Brake-system application and braking distance in feet’’ (column 4) is a definite measure of the
overall effectiveness of the braking system, being the distance traveled between the point at which the driver starts to move the braking controls and the point at which the vehicle comes to
Y:\SGML\211213.XXX

rest. It includes distance traveled while the brakes are being applied and distance traveled while the brakes are retarding the vehicle.
(d) The distance traveled during the period of brake-system application and brake-force buildup varies with vehicle type, being negligible for many passenger cars and greatest for com-
binations of commercial vehicles. This fact accounts for the variation from 20 to 40 feet in the values in column 4 for the various classes of vehicles.
(e) The terms ‘‘GVWR’’ and ‘‘GVW’’ refer to the manufacturer’s gross vehicle weight rating and the actual gross vehicle weight, respectively.

[36 FR 20298, Oct. 20, 1971, as amended at 37 FR 5251, Mar. 11, 1972; 37 FR 11336, June 7, 1972; 68 FR 51777, Aug. 9, 2002]
211213

§ 393.52
§ 393.53 49 CFR Ch. III (10–1–07 Edition)

§ 393.53 Automatic brake adjusters (c) Air brake systems. (1) Each truck
and brake adjustment indicators. tractor manufactured on or after
(a) Automatic brake adjusters (hydrau- March 1, 1997 (except truck tractors en-
lic brake systems). Each commercial gaged in driveaway-towaway oper-
motor vehicle manufactured on or after ations), shall be equipped with an
October 20, 1993, and equipped with a antilock brake system that meets the
hydraulic brake system, shall meet the requirements of FMVSS No. 121 (49
automatic brake adjustment system CFR 571.121, S5.1.6.1(b)).
requirements of Federal Motor Vehicle (2) Each air braked commercial
Safety Standard No. 105 (49 CFR 571.105, motor vehicle other than a truck trac-
S5.1) applicable to the vehicle at the tor, manufactured on or after March 1,
time it was manufactured. 1998 (except commercial motor vehicles
(b) Automatic brake adjusters (air brake engaged in driveaway-towaway oper-
systems). Each commercial motor vehi- ations), shall be equipped with an
cle manufactured on or after October antilock brake system that meets the
20, 1994, and equipped with an air brake requirements of FMVSS No. 121 (49
system shall meet the automatic brake CFR 571.121, S5.1.6.1(a) for trucks and
adjustment system requirements of buses, S5.2.3 for semitrailers, converter
Federal Motor Vehicle Safety Standard dollies and full trailers).
No. 121 (49 CFR 571.121, S5.1.8) applica- (d) ABS malfunction circuits and sig-
ble to the vehicle at the time it was nals for air braked vehicles. (1) Each
manufactured. truck tractor manufactured on or after
(c) Brake adjustment indicator (air March 1, 1997, and each single-unit air
brake systems). On each commercial braked vehicle manufactured on or
motor vehicle manufactured on or after after March 1, 1998, subject to the re-
October 20, 1994, and equipped with an quirements of paragraph (c) of this sec-
air brake system which contains an ex- tion, shall be equipped with an elec-
ternal automatic adjustment mecha- trical circuit that is capable of sig-
nism and an exposed pushrod, the con- naling a malfunction that affects the
dition of service brake under-adjust- generation or transmission of response
ment shall be displayed by a brake ad- or control signals to the vehicle’s
justment indicator conforming to the antilock brake system (49 CFR 571.121,
requirements of Federal Motor Vehicle S5.1.6.2(a)).
Safety Standard No. 121 (49 CFR 571.121, (2) Each truck tractor manufactured
S5.1.8) applicable to the vehicle at the on or after March 1, 2001, and each sin-
time it was manufactured. gle-unit vehicle that is equipped to tow
another air-braked vehicle, subject to
[60 FR 46245, Sept. 6, 1995] the requirements of paragraph (c) of
this section, shall be equipped with an
§ 393.55 Antilock brake systems. electrical circuit that is capable of
(a) Hydraulic brake systems. Each transmitting a malfunction signal from
truck and bus manufactured on or after the antilock brake system(s) on the
March 1, 1999 (except trucks and buses towed vehicle(s) to the trailer ABS
engaged in driveaway-towaway oper- malfunction lamp in the cab of the
ations), and equipped with a hydraulic towing vehicle, and shall have the
brake system, shall be equipped with means for connection of the electrical
an antilock brake system that meets circuit to the towed vehicle. The ABS
the requirements of Federal Motor Ve- malfunction circuit and signal shall
hicle Safety Standard (FMVSS) No. 105 meet the requirements of FMVSS No.
(49 CFR 571.105, S5.5). 121 (49 CFR 571.121, S5.1.6.2(b)).
(b) ABS malfunction indicators for hy- (3) Each semitrailer, trailer con-
draulic braked vehicles. Each hydraulic verter dolly, and full trailer manufac-
braked vehicle subject to the require- tured on or after March 1, 2001, and
ments of paragraph (a) of this section subject to the requirements of para-
shall be equipped with an ABS mal- graph (c)(2) of this section, shall be
function indicator system that meets equipped with an electrical circuit that
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the requirements of FMVSS No. 105 (49 is capable of signaling a malfunction in


CFR 571.105, S5.3). the trailer’s antilock brake system,

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Federal Motor Carrier Safety Administration, DOT § 393.61

and shall have the means for connec- windshield or windshield panel. Excep-
tion of this ABS malfunction circuit to tions:
the towing vehicle. In addition, each (1) Coloring or tinting which meets
trailer manufactured on or after March the requirements of paragraph (d) of
1, 2001, subject to the requirements of this section;
paragraph (c)(2) of this section, that is (2) Any crack that is not intersected
designed to tow another air-brake by any other cracks;
equipped trailer shall be capable of (3) Any damaged area which can be
transmitting a malfunction signal from covered by a disc 19 mm (3⁄4 inch) in di-
the antilock brake system(s) of the ameter if not closer than 76 mm (3
trailer(s) it tows to the vehicle in front inches) to any other similarly damaged
of the trailer. The ABS malfunction area.
circuit and signal shall meet the re- (d) Coloring or tinting of windshields
quirements of FMVSS No. 121 (49 CFR and windows. Coloring or tinting of
571.121, S5.2.3.2). windshields and the windows to the im-
(e) Exterior ABS malfunction indicator mediate right and left of the driver is
lamps for trailers. Each trailer (includ- allowed, provided the parallel luminous
ing a trailer converter dolly) manufac- transmittance through the colored or
tured on or after March 1, 1998 and be- tinted glazing is not less than 70 per-
fore March 1, 2009, and subject to the cent of the light at normal incidence in
requirements of paragraph (c)(2) of this those portions of the windshield or
section, shall be equipped with an ABS windows which are marked as having a
malfunction indicator lamp which parallel luminous transmittance of not
meets the requirements of FMVSS No. less than 70 percent. The transmittance
121 (49 CFR 571.121, S5.2.3.3). restriction does not apply to other win-
dows on the commercial motor vehicle.
[63 FR 24465, May 4, 1998] (e) Prohibition on obstructions to the
driver’s field of view—(1) Devices mounted
Subpart D—Glazing and Window at the top of the windshield. Antennas,
Construction transponders, and similar devices must
not be mounted more than 152 mm (6
§ 393.60 Glazing in specified openings. inches) below the upper edge of the
(a) Glazing material. Glazing material windshield. These devices must be lo-
used in windshields, windows, and cated outside the area swept by the
doors on a motor vehicle manufactured windshield wipers, and outside the
on or after December 25, 1968, shall at a driver’s sight lines to the road and
minimum meet the requirements of highway signs and signals.
Federal Motor Vehicle Safety Standard (2) Decals and stickers mounted on the
(FMVSS) No. 205 in effect on the date windshield. Commercial Vehicle Safety
of manufacture of the motor vehicle. Alliance (CVSA) inspection decals, and
The glazing material shall be marked stickers and/or decals required under
in accordance with FMVSS No. 205 (49 Federal or State laws may be placed at
CFR 571.205, S6). the bottom or sides of the windshield
(b) Windshields required. Each bus, provided such decals or stickers do not
truck and truck-tractor shall be extend more than 115 mm (41⁄2 inches)
equipped with a windshield. Each wind- from the bottom of the windshield and
shield or portion of a multi-piece wind- are located outside the area swept by
shield shall be mounted using the full the windshield wipers, and outside the
periphery of the glazing material. driver’s sight lines to the road and
(c) Windshield condition. With the ex- highway signs or signals.
ception of the conditions listed in para- [63 FR 1387, Jan. 9, 1998]
graphs (c)(1), (c)(2), and (c)(3) of this
section, each windshield shall be free of § 393.61 Truck and truck tractor win-
discoloration or damage in the area ex- dow construction.
tending upward from the height of the Each truck and truck tractor (except
top of the steering wheel (excluding a trucks engaged in armored car service)
51 mm (2 inch) border at the top of the shall have at least one window on each
cprice-sewell on PROD1PC63 with CFR

windshield) and extending from a 25 side of the driver’s compartment. Each


mm (1 inch) border at each side of the window must have a minimum area of

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§ 393.62 49 CFR Ch. III (10–1–07 Edition)

1,290 cm2 (200 in2) formed by a rectangle shall not exceed 152 mm (6 inches). The
33 cm by 45 cm (13 inches by 173⁄4 long axis of the rectangle shall not
inches). The maximum radius of the make an angle of more than 45 degrees
corner arcs shall not exceed 152 mm (6 with the surface on which the unladen
inches). The long axis of the rectangle vehicle stands. The area shall be meas-
shall not make an angle of more than ured either by removal of the glazing if
45 degrees with the surface on which not of the push-out type, or of the mov-
the unladen vehicle stands. If the cab is able sash if of the push-out type. The
designed with a folding door or doors or exit must comply with paragraph (d) of
with clear openings where doors or this section. Each side of the bus must
windows are customarily located, no have at least 40 percent of emergency
windows shall be required in those lo- exit space required by this paragraph.
cations. (d) Laminated safety glass/push-out
[70 FR 48052, Aug. 15, 2005] window requirements for buses manufac-
tured before September 1, 1973. Emer-
§ 393.62 Emergency exits for buses. gency exit space used to satisfy the re-
(a) Buses manufactured on or after Sep- quirements of paragraph (c) of this sec-
tember 1, 1994. Each bus with a GVWR of tion must have laminated safety glass
4,536 kg (10,000 pounds) or less must or push-out windows designed and
meet the emergency exit requirements maintained to yield outward to provide
of FMVSS No. 217 (S5.2.2.3) in effect on a free opening.
the date of manufacture. Each bus with (1) Safety glass. Laminated safety
a GVWR of more than 4,536 kg (10,000 glass must meet Test No. 25, Egress, of
pounds) must have emergency exits American National Standard for Safety
which meet the applicable emergency Glazing Materials for Glazing Motor
exit requirements of FMVSS No. 217 Vehicles and Motor Vehicle Equipment
(S5.2.2 or S5.2.3) in effect on the date of Operating on Land Highways—Safety
manufacture. Standards ANSI/SAE Z26.1/96, August
(b) Buses manufactured on or after 1997. (See § 393.7 (b) for information on
September 1, 1973, but before Sep- incorporation by reference and avail-
tember 1, 1994. (1) Each bus (including a ability of this document.)
school bus used in interstate commerce (2) Push-out windows. Each push-out
for non-school bus operations) with a window shall be releasable by oper-
GVWR of more than 4,536 kg (10,000 lbs) ating no more than two mechanisms
must meet the requirements of FMVSS and allow manual release of the exit by
No. 217, S5.2.2 in effect on the date of a single occupant. For mechanisms
manufacture. which require rotary or straight (par-
(2) Each bus (including a school bus allel to the undisturbed exit surface)
used in interstate commerce for non- motions to operate the exit, no more
school bus operations) with a GVWR of than 89 Newtons (20 pounds) of force
4,536 kg (10,000 lbs) or less must meet shall be required to release the exit.
the requirements of FMVSS No. 217, For exits which require a straight mo-
S5.2.2.3 in effect on the date of manu- tion perpendicular to the undisturbed
facture. exit surface, no more than 267 Newtons
(c) Buses manufactured before Sep- (60 pounds) shall be required to release
tember 1, 1973. For each seated pas- the exit.
senger space provided, inclusive of the (e) Emergency exit identification. Each
driver there shall be at least 432 cm2 (67 bus and each school bus used in inter-
square inches) of glazing if such glazing state commerce for non-school bus op-
is not contained in a push-out window; erations, manufactured on or after Sep-
or, at least 432 cm2 (67 square inches) of tember 1, 1973, shall meet the applica-
free opening resulting from opening of ble emergency exit identification or
a push-out type window. No area shall marking requirements of FMVSS No.
be included in this minimum pre- 217, S5.5, in effect on the date of manu-
scribed area unless it will provide an facture. The emergency exits and doors
unobstructed opening of at least 1,290 on all buses (including school buses
cm2 (200 in2) formed by a rectangle 33 used in interstate commerce for non-
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cm by 45 cm (13 inches by 173⁄4 inches). school bus operations) must be marked


The maximum radius of the corner arcs ‘‘Emergency Exit’’ or ‘‘Emergency

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Federal Motor Carrier Safety Administration, DOT § 393.67

Door’’ followed by concise operating in- gravity or syphon feed directly to the
structions describing each motion nec- carburetor or injector.
essary to unlatch or open the exit lo- (e) Selection control valve location. If a
cated within 152 mm (6 inches) of the fuel system includes a selection con-
release mechanism. trol valve which is operable by the
(f) Exception for the transportation of driver to regulate the flow of fuel from
prisoners. The requirements of this sec- two or more fuel tanks, the valve must
tion do not apply to buses used exclu- be installed so that either—
sively for the transportation of pris- (1) The driver may operate it while
oners. watching the roadway and without
leaving his/her driving position; or
[70 FR 48052, Aug. 15, 2005]
(2) The driver must stop the vehicle
§ 393.63 [Reserved] and leave his/her seat in order to oper-
ate the valve.
(f) Fuel lines. A fuel line which is not
Subpart E—Fuel Systems completely enclosed in a protective
housing must not extend more than 2
AUTHORITY: Sec. 204, Interstate Commerce inches below the fuel tank or its sump.
Act, as amended, 49 U.S.C. 304; sec. 6, Depart-
Diesel fuel crossover, return, and with-
ment of Transportation Act, 49 U.S.C. 1655;
delegation of authority at 49 CFR 1.48 and drawal lines which extend below the
389.4. bottom of the tank or sump must be
protected against damage from impact.
§ 393.65 All fuel systems. Every fuel line must be—
(a) Application of the rules in this sec- (1) Long enough and flexible enough
tion. The rules in this section apply to to accommodate normal movements of
systems for containing and supplying the parts to which it is attached with-
fuel for the operation of motor vehicles out incurring damage; and
or for the operation of auxiliary equip- (2) Secured against chafing, kinking,
ment installed on, or used in connec- or other causes of mechanical damage.
tion with, motor vehicles. (g) Excess flow valve. When pressure
(b) Location. Each fuel system must devices are used to force fuel from a
be located on the motor vehicle so fuel tank, a device which prevents the
that— flow of fuel from the fuel tank if the
(1) No part of the system extends be- fuel feed line is broken must be in-
yond the widest part of the vehicle; stalled in the fuel system.
(2) No part of a fuel tank is forward [36 FR 15445, Aug. 14, 1971, as amended at 37
of the front axle of a power unit; FR 4341, Mar. 2, 1972; 37 FR 28752, Dec. 29,
(3) Fuel spilled vertically from a fuel 1972]
tank while it is being filled will not
contact any part of the exhaust or elec- § 393.67 Liquid fuel tanks.
trical systems of the vehicle, except (a) Application of the rules in this sec-
the fuel level indicator assembly; tion. The rules in this section apply to
(4) Fill pipe openings are located out- tanks containing or supplying fuel for
side the vehicle’s passenger compart- the operation of commercial motor ve-
ment and its cargo compartment; hicles or for the operation of auxiliary
(5) A fuel line does not extend be- equipment installed on, or used in con-
tween a towed vehicle and the vehicle nection with commercial motor vehi-
that is towing it while the combination cles.
of vehicles is in motion; and (1) A liquid fuel tank manufactured
(6) No part of the fuel system of a bus on or after January 1, 1973, and a side-
manufactured on or after January 1, mounted gasoline tank must conform
1973, is located within or above the pas- to all rules in this section.
senger compartment. (2) A diesel fuel tank manufactured
(c) Fuel tank installation. Each fuel before January 1, 1973, and mounted on
tank must be securely attached to the a bus must conform to the rules in
motor vehicle in a workmanlike man- paragraphs (c)(7)(iii) and (d)(2) of this
ner. section.
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(d) Gravity or syphon feed prohibited. A (3) A diesel fuel tank manufactured
fuel system must not supply fuel by before January 1, 1973, and mounted on

413

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§ 393.67 49 CFR Ch. III (10–1–07 Edition)

a vehicle other than a bus must con- cally named. Joints must not be closed
form to the rules in paragraph solely by crimping or by soldering with
(c)(7)(iii) of this section. a lead-based or other soft solder.
(4) A gasoline tank, other than a (2) Fittings. The fuel tank body must
side-mounted gasoline tank, manufac- have flanges or spuds suitable for the
tured before January 1, 1973, and installation of all fittings.
mounted on a bus must conform to the (3) Threads. The threads of all fittings
rules in paragraphs (c) (1) through (10) must be Dryseal American Standard
and (d)(2) of this section. Taper Pipe Thread or Dryseal SAE
(5) A gasoline tank, other than a Short Taper Pipe Thread, specified in
side-mounted gasoline tank, manufac- Society of Automotive Engineers
tured before January 1, 1973, and Standard J476, as contained in the 1971
mounted on a vehicle other than a bus edition of the ‘‘SAE Handbook,’’ except
must conform to the rules in para- that straight (nontapered) threads may
graphs (c) (1) through (10), inclusive, of be used on fittings having integral
this section. flanges and using gaskets for sealing.
(6) Private motor carrier of pas- At least four full threads must be in
sengers. Motor carriers engaged in the engagement in each fitting.
private transportation of passengers (4) Drains and bottom fittings. (i)
may continue to operate a commercial Drains or other bottom fittings must
motor vehicle which was not subject to not extend more than three-fourths of
this section or 49 CFR 571.301 at the an inch below the lowest part of the
time of its manufacture, provided the fuel tank or sump.
fuel tank of such vehicle is maintained (ii) Drains or other bottom fittings
to the original manufacturer’s stand- must be protected against damage from
ards. impact.
(7) Motor vehicles that meet the fuel (iii) If a fuel tank has drains the
system integrity requirements of 49 drain fittings must permit substan-
CFR 571.301 are exempt from the re- tially complete drainage of the tank.
quirements of this subpart, as they (iv) Drains or other bottom fittings
apply to the vehicle’s fueling system. must be installed in a flange or spud
(b) Definitions. As used in this sec- designed to accommodate it.
tion— (5) Fuel withdrawal fittings. Except for
(1) The term liquid fuel tank means a diesel fuel tanks, the fittings through
fuel tank designed to contain a fuel which fuel is withdrawn from a fuel
that is liquid at normal atmospheric tank must be located above the normal
pressures and temperatures. level of fuel in the tank when the tank
(2) A side-mounted fuel tank is a liq- is full.
uid fuel tank which— (6) [Reserved]
(i) If mounted on a truck tractor, ex- (7) Fill pipe. (i) Each fill pipe must be
tends outboard of the vehicle frame designed and constructed to minimize
and outside of the plan view outline of the risk of fuel spillage during fueling
the cab; or operations and when the vehicle is in-
(ii) If mounted on a truck, extends volved in a crash.
outboard of a line parallel to the longi- (ii) For diesel-fueled vehicles, the fill
tudinal centerline of the truck and tan- pipe and vents of a fuel tank having a
gent to the outboard side of a front tire capacity of more than 94.75 L (25 gal-
in a straight ahead position. In deter- lons) of fuel must permit filling the
mining whether a fuel tank on a truck tank with fuel at a rate of at least 75.8
or truck tractor is side-mounted, the L/m (20 gallons per minute) without
fill pipe is not considered a part of the fuel spillage.
tank. (iii) For gasoline- and methanol-
(c) Construction of liquid fuel tanks— fueled vehicles with a GVWR of 3,744 kg
(1) Joints. Joints of a fuel tank body (8,500 pounds) or less, the vehicle must
must be closed by arc-, gas-, seam-, or permit filling the tank with fuel dis-
spot-welding, by brazing, by silver sol- pensed at the applicable fill rate re-
dering, or by techniques which provide quired by the regulations of the Envi-
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heat resistance and mechanical secure- ronmental Protection Agency under 40


ment at least equal to those specifi- CFR 80.22.

414

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Federal Motor Carrier Safety Administration, DOT § 393.67

(iv) For gasoline- and methanol- and (2) of this section. The specified
fueled vehicles with a GVWR of 14,000 tests are a measure of performance
pounds (6,400 kg) or less, the vehicle only. Alternative procedures which as-
must comply with the applicable fuel- sure that equipment meets the re-
spitback prevention and onboard re- quired performance standards may be
fueling vapor recovery regulations of used. .
the Environmental Protection Agency (1) Safety venting system test—(i) Pro-
under 40 CFR part 86. cedure. Fill the tank three-fourths full
(v) Each fill pipe must be fitted with with fuel, seal the fuel feed outlet, and
a cap that can be fastened securely invert the tank. When the fuel tem-
over the opening in the fill pipe. Screw perature is between 50 °F. and 80 °F.,
threads or a bayonet-type point are apply an enveloping flame to the tank
methods of conforming to the require- so that the temperature of the fuel
ments of paragraph (c) of this section. rises at a rate of not less than 6 °F. and
(8) Safety venting system. A liquid fuel not more than 8 °F. per minute.
tank with a capacity of more than 25 (ii) Required performance. The safety
gallons of fuel must have a venting sys- venting system required by paragraph
tem which, in the event the tank is (c)(8) of this section must activate be-
subjected to fire, will prevent internal fore the internal pressure in the tank
tank pressure from rupturing the exceeds 50 pounds per square inch,
tank’s body, seams, or bottom opening gauge, and the internal pressure must
(if any). not thereafter exceed the pressure at
(9) Pressure resistance. The body and which the system activated by more
fittings of a liquid fuel tank with a ca- than five pounds per square inch de-
pacity of more than 25 gallons of fuel spite any further increase in the tem-
must be capable of withstanding an in- perature of the fuel.
ternal hydrostatic pressure equal to 150
(2) Leakage test—(i) Procedure. Fill
percent of the maximum internal pres-
the tank to capacity with fuel having a
sure reached in the tank during the
temperature between 50 °F. and 80 °F.
safety venting systems test specified in
With the fill-pipe cap installed, turn
paragraph (d)(1) of this section.
(10) Air vent. Each fuel tank must be the tank through an angle of 150° in
equipped with a nonspill air vent (such any direction about any axis from its
as a ball check). The air vent may be normal position.
combined with the fill-pipe cap or safe- (ii) Required performance. Neither the
ty vent, or it may be a separate unit tank nor any fitting may leak more
installed on the fuel tank. than a total of one ounce by weight of
(11) Markings. If the body of a fuel fuel per minute in any position the
tank is readily visible when the tank is tank assumes during the test.
installed on the vehicle, the tank must (e) Side-mounted liquid fuel tank tests.
be plainly marked with its liquid ca- Each side-mounted liquid fuel tank
pacity. The tank must also be plainly must be capable of passing the tests
marked with a warning against filling specified in paragraphs (e)(1) and (2) of
it to more than 95 percent of its liquid this section and the test specified in
capacity. paragraphs (d)(1) and (2) of this section.
(12) Overfill restriction. A liquid fuel The specified tests are a measure of
tank manufactured on or after January performance only. Alternative proce-
1, 1973, must be designed and con- dures which assure that equipment
structed so that— meets the required performance cri-
(i) The tank cannot be filled, in a teria may be used.
normal filling operation, with a quan- (1) Drop test—(i) Procedure. Fill the
tity of fuel that exceeds 95 percent of tank with a quantity of water having a
the tank’s liquid capacity; and weight equal to the weight of the max-
(ii) When the tank is filled, normal imum fuel load of the tank and drop
expansion of the fuel will not cause the tank 30 feet onto an unyielding sur-
fuel spillage. face so that it lands squarely on one
(d) Liquid fuel tank tests. Each liquid corner.
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fuel tank must be capable of passing (ii) Required performance. Neither the
the tests specified in paragraphs (d)(1) tank nor any fitting may leak more

415

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§ 393.68 49 CFR Ch. III (10–1–07 Edition)

than a total of 1 ounce by weight of (ii) GM G-Vans (Chevrolet Express


water per minute. and GMC Savanna) and full-sized C/K
(2) Fill-pipe test—(i) Procedure. Fill trucks (Chevrolet Silverado and GMC
the tank with a quantity of water hav- Sierra) with GVWR over 10,000 pounds
ing a weight equal to the weight of the identified as follows: The VINs contain
maximum fuel load of the tank and either a ‘‘J’’ or a ‘‘K’’ in the fourth po-
drop the tank 10 feet onto an sition. In addition, the seventh posi-
unyielding surface so that it lands tion of the VINs on the G-Van will con-
squarely on its fill-pipe. tain a ‘‘1.’’
(ii) Required performance. Neither the [36 FR 15445, Aug. 14, 1971, as amended at 37
tank nor any fitting may leak more FR 4341, Mar. 2, 1972; 37 FR 28753, Dec. 29,
than a total of 1 ounce by weight of 1972; 45 FR 46424, July 10, 1980; 53 FR 49400,
water per minute. Dec. 7, 1988; 59 FR 8753, Feb. 23, 1994; 69 FR
(f) Certification and markings. Each 31305, June 3, 2004; 70 FR 48053, Aug. 15, 2005]
liquid fuel tank shall be legibly and
permanently marked by the manufac- § 393.68 Compressed natural gas fuel
containers.
turer with the following minimum in-
formation: (a) Applicability. The rules in this sec-
(1) The month and year of manufac- tion apply to compressed natural gas
ture, (CNG) fuel containers used for sup-
(2) The manufacturer’s name on plying fuel for the operation of com-
tanks manufactured on and after July mercial motor vehicles or for the oper-
1, 1989, and means of identifying the fa- ation of auxiliary equipment installed
cility at which the tank was manufac- on, or used in connection with commer-
tured, and cial motor vehicles.
(3) A certificate that it conforms to (b) CNG containers manufactured on or
the rules in this section applicable to after March 26, 1995. Any motor vehicle
the tank. The certificate must be in manufactured on or after March 26,
the form set forth in either of the fol- 1995, and equipped with a CNG fuel
lowing: tank must meet the CNG container re-
(i) If a tank conforms to all rules in quirements of FMVSS No. 304 (49 CFR
this section pertaining to side-mounted 571.304) in effect at the time of manu-
fuel tanks: ‘‘Meets all FMCSA side- facture of the vehicle.
mounted tank requirements.’’ (c) Labeling. Each CNG fuel container
(ii) If a tank conforms to all rules in shall be permanently labeled in accord-
this section pertaining to tanks which ance with the requirements of FMVSS
are not side-mounted fuel tanks: No. 304, S7.4.
‘‘Meets all FMCSA requirements for [70 FR 48053, Aug. 15, 2005]
non-side-mounted fuel tanks.’’
(iii) The form of certificate specified § 393.69 Liquefied petroleum gas sys-
in paragraph (f)(3) (i) or (ii) of this sec- tems.
tion may be used on a liquid fuel tank (a) A fuel system that uses liquefied
manufactured before July 11, 1973, but petroleum gas as a fuel for the oper-
it is not mandatory for liquid fuel ation of a motor vehicle or for the op-
tanks manufactured before March 7, eration of auxiliary equipment in-
1989. The form of certification manu- stalled on, or used in connection with,
factured on or before March 7, 1989, a motor vehicle must conform to the
must meet the requirements in effect ‘‘Standards for the Storage and Han-
at the time of manufacture. dling of Liquefied Petroleum Gases’’ of
(4) Exception. The following pre- the National Fire Protection Associa-
viously exempted vehicles are not re- tion, Battery March Park, Quincy, MA
quired to carry the certification and 02269, as follows:
marking specified in paragraphs (f)(1) (1) A fuel system installed before De-
through (3) of this section: cember 31, 1962, must conform to the
(i) Ford vehicles with GVWR over 1951 edition of the Standards.
10,000 pounds identified as follows: The (2) A fuel system installed on or after
vehicle identification numbers (VINs) December 31, 1962, and before January
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contain A, K, L, M, N, W, or X in the 1, 1973, must conform to Division IV of


fourth position. the June 1959 edition of the Standards.

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Federal Motor Carrier Safety Administration, DOT § 393.70

(3) A fuel system installed on or after security required for the installation of
January 1, 1973, and providing fuel for the lower half on a truck tractor or
propulsion of the motor vehicle must converter dolly.
conform to Division IV of the 1969 edi- (2) Locking. Every fifth wheel assem-
tion of the Standards. bly must have a locking mechanism.
(4) A fuel system installed on or after The locking mechanism, and any
January 1, 1973, and providing fuel for adapter used in conjunction with it,
the operation of auxiliary equipment must prevent separation of the upper
must conform to Division VII of the and lower halves of the fifth wheel as-
1969 edition of the Standards. sembly unless a positive manual re-
(b) When the rules in this section re- lease is activated. The release may be
quire a fuel system to conform to a located so that the driver can operate
specific edition of the Standards, the it from the cab. If a motor vehicle has
fuel system may conform to the appli- a fifth wheel designed and constructed
cable provisions in a later edition of to be readily separable, the fifth wheel
the Standards specified in this section. locking devices shall apply automati-
(c) The tank of a fuel system must be
cally on coupling.
marked to indicate that the system
conforms to the Standards. (3) Location. The lower half of a fifth
wheel shall be located so that, regard-
[36 FR 15445, Aug. 14, 1971, as amended at 37 less of the condition of loading, the re-
FR 4342, Mar. 2, 1972; 41 FR 53031, Dec. 3, 1976; lationship between the kingpin and the
53 FR 49400, Dec. 7, 1988]
rear axle or axles of the towing motor
vehicle will properly distribute the
Subpart F—Coupling Devices and gross weight of both the towed and
Towing Methods towing vehicles on the axles of those
vehicles, will not unduly interfere with
§ 393.70 Coupling devices and towing
methods, except for driveaway- the steering, braking, and other ma-
towaway operations. neuvering of the towing vehicle, and
will not otherwise contribute to unsafe
(a) Tracking. When two or more vehi- operation of the vehicles comprising
cles are operated in combination, the the combination. The upper half of a
coupling devices connecting the vehi-
fifth wheel shall be located so that the
cles shall be designed, constructed, and
weight of the vehicles is properly dis-
installed, and the vehicles shall be de-
tributed on their axles and the com-
signed and constructed, so that when
bination of vehicles will operate safely
the combination is operated in a
during normal operation.
straight line on a level, smooth, paved
surface, the path of the towed vehicle (c) Towing of full trailers. A full trail-
will not deviate more than 3 inches to er must be equipped with a tow-bar and
either side of the path of the vehicle a means of attaching the tow-bar to
that tows it. the towing and towed vehicles. The
(b) Fifth wheel assemblies—(1) Mount- tow-bar and the means of attaching it
ing—(i) Lower half. The lower half of a must—
fifth wheel mounted on a truck tractor (1) Be structurally adequate for the
or converter dolly must be secured to weight being drawn;
the frame of that vehicle with properly (2) Be properly and securely mount-
designed brackets, mounting plates or ed;
angles and properly tightened bolts of (3) Provide for adequate articulation
adequate size and grade, or devices at the connection without excessive
that provide equivalent security. The slack at that location; and
installation shall not cause cracking, (4) Be provided with a locking device
warping, or deformation of the frame. that prevents accidental separation of
The installation must include a device the towed and towing vehicles. The
for positively preventing the lower half mounting of the trailer hitch (pintle
of the fifth wheel from shifting on the hook or equivalent mechanism) on the
frame to which it is attached. towing vehicle must include reinforce-
(ii) Upper half. The upper half of a ment or bracing of the frame sufficient
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fifth wheel must be fastened to the to produce strength and rigidity of the
motor vehicle with at least the same frame to prevent its undue distortion.

417

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§ 393.70 49 CFR Ch. III (10–1–07 Edition)

(d) Safety devices in case of tow-bar towing vehicle shall be secured to the
failure or disconnection. Every full trail- chains or cables in a fixed position.
er and every converter dolly used to (6) If the towed vehicle is a converter
convert a semitrailer to a full trailer dolly with a solid tongue and without a
must be coupled to the frame, or an ex- hinged tow-bar or other swivel between
tension of the frame, of the motor vehi- the fifth wheel mounting and the at-
cle which tows it with one or more tachment point of the tongue eye or
safety devices to prevent the towed ve- other hitch device—
hicle from breaking loose in the event (i) Safety chains or cables, when used
the tow-bar fails or becomes discon-
as the safety device for that vehicle,
nected. The safety device must meet
may consist of either two chains or ca-
the following requirements:
(1) The safety device must not be at- bles or a single chain or cable used
tached to the pintle hook or any other alone;
device on the towing vehicle to which (ii) A single safety device, including
the tow-bar is attached. However, if a single chain or cable used alone as
the pintle hook or other device was the safety device, must be in line with
manufactured prior to July 1, 1973, the the centerline of the trailer tongue;
safety device may be attached to the and
towing vehicle at a place on a pintle (iii) The device may be attached to
hook forging or casting if that place is the converter dolly at any point to the
independent of the pintle hook. rear of the attachment point of the
(2) The safety device must have no tongue eye or other hitch device.
more slack than is necessary to permit (7) Safety devices other than safety
the vehicles to be turned properly. chains or cables must provide strength,
(3) The safety device, and the means security of attachment, and directional
of attaching it to the vehicles, must stability equal to, or greater than,
have an ultimate strength of not less safety chains or cables installed in ac-
than the gross weight of the vehicle or cordance with paragraphs (d) (5) and (6)
vehicles being towed.
of this section.
(4) The safety device must be con-
nected to the towed and towing vehi- (8)(i) When two safety devices, in-
cles and to the tow-bar in a manner cluding two safety chains or cables, are
which prevents the tow-bar from drop- used and are attached to the towing ve-
ping to the ground in the event it fails hicle at separate points, the points of
or becomes disconnected. attachment on the towing vehicle shall
(5) Except as provided in paragraph be located equally distant from, and on
(d)(6) of this section, if the safety de- opposite sides of, the longitudinal cen-
vice consists of safety chains or cables, terline of the towing vehicle.
the towed vehicle must be equipped (ii) Where two chains or cables are
with either two safety chains or cables attached to the same point on the tow-
or with a bridle arrangement of a sin- ing vehicle, and where a bridle or a sin-
gle chain or cable attached to its frame gle chain or cable is used, the point of
or axle at two points as far apart as the attachment must be on the longitu-
configuration of the frame or axle per- dinal centerline or within 152 mm (6
mits. The safety chains or cables shall inches) to the right of the longitudinal
be either two separate pieces, each centerline of the towing vehicle.
equipped with a hook or other means (iii) A single safety device, other
for attachment to the towing vehicle, than a chain or cable, must also be at-
or a single piece leading along each tached to the towing vehicle at a point
side of the tow-bar from the two points
on the longitudinal centerline or with-
of attachment on the towed vehicle and
in 152 mm (6 inches) to the right of the
arranged into a bridle with a single
means of attachment to be connected longitudinal centerline of the towing
to the towing vehicle. When a single vehicle.
length of cable is used, a thimble and [37 FR 21439, Oct. 11, 1972, as amended at 70
twin-base cable clamps shall be used to FR 48053, Aug. 15, 2005]
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form the forward bridle eye. The hook


or other means of attachment to the

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Federal Motor Carrier Safety Administration, DOT § 393.71

§ 393.71 Coupling devices and towing ment of such towed vehicle shall be so
methods, driveaway-towaway oper- located on the towing vehicle that the
ations. relationship to the rear axle or axles
(a) Number in combination. (1) No more results in proper distribution of the
than three saddle-mounts may be used total gross weight of the vehicles and
in any combination. does not unduly interfere with the
(2) No more than one tow-bar or ball- steering, braking, or maneuvering of
and-socket type coupling device may the towing vehicle or otherwise con-
be used in any combination. tribute to the unsafe operation of vehi-
(3) When motor vehicles are towed by cles comprising the combination; and
means of triple saddle-mounts, the unless a perpendicular to the ground
towed vehicles shall have brakes acting from the center of gravity of the full-
on all wheels which are in contact with mounted vehicles lies forward of the
the roadway. center line of the rear axle of the sad-
(b) Carrying vehicles on towing vehicle. dle-mounted vehicle.
(1) When adequately and securely at- (4) If a motor vehicle towed by means
tached by means equivalent in security of a double saddle-mount has any vehi-
to that provided in paragraph (j)(2) of cle full-mounted on it, such saddle-
this section, a motor vehicle or motor mounted vehicle shall at all times
vehicles may be full-mounted on the while so loaded have effective brakes
structure of a towing vehicle engaged acting on those wheels which are in
in any driveaway-towaway operation. contact with the roadway.
(2) No motor vehicle or motor vehi- (d) Bumper tow-bars on heavy vehicles
cles may be full-mounted on a towing prohibited. Tow-bars of the type which
vehicle unless the relationship of such depend upon the bumpers as a means of
full-mounted vehicles to the rear axle transmitting forces between the vehi-
or axles results in proper distribution cles shall not be used to tow a motor
of the total gross weight of the vehicles vehicle weighing more than 5,000
and does not unduly interfere with the pounds.
steering, braking, or maneuvering of
(e) Front wheels of saddle-mounted ve-
the towing vehicle, or otherwise con-
hicles restrained. A motor vehicle towed
tribute to the unsafe operation of the
by means of a saddle-mount shall have
vehicles comprising the combination.
the motion of the front wheels re-
(3) Saddle-mounted vehicles must be
strained if under any condition of turn-
arranged such that the gross weight of
ing of such wheels they will project be-
the vehicles is properly distributed to
yond the widest part of either the
prevent undue interference with the
steering, braking, or maneuvering of towed or towing vehicle.
the combination of vehicles. (f) Vehicles to be towed in forward posi-
(c) Carrying vehicles on towed vehicles. tion. Unless the steering mechanism is
(1) When adequately and securely at- adequately locked in a straight-for-
tached by means equivalent in security ward position, all motor vehicles towed
to that provided in paragraph (j)(2) of by means of a saddle-mount shall be
this section, a motor vehicle or motor towed with the front end mounted on
vehicles may be full-mounted on the the towing vehicle.
structure of towed vehicles engaged in (g) Means required for towing. No
any driveaway-towaway operation. motor vehicles or combination of
(2) No motor vehicle shall be full- motor vehicles shall be towed in
mounted on a motor vehicle towed by driveaway-towaway operations by
means of a tow-bar unless the towed means other than a tow-bar, ball-and-
vehicle is equipped with brakes and is socket type coupling device, saddle-
provided with means for effective ap- mount connections which meet the re-
plication of brakes acting on all wheels quirements of this section, or in the
and is towed on its own wheels. case of a semi-trailer equipped with an
(3) No motor vehicle or motor vehi- upper coupler assembly, a fifth-wheel
cles shall be full-mounted on a motor meeting the requirements of § 393.70.
vehicle towed by means of a saddle- (h) Requirements for tow-bars. Tow-
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mount unless the center line of the bars shall comply with the following
kingpin or equivalent means of attach- requirements:

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§ 393.71 49 CFR Ch. III (10–1–07 Edition)

(1) Tow-bars, structural adequacy and shall fit tightly and not result in any
mounting. Every tow-bar shall be struc- slackness or permit the tow-bar to
turally adequate and properly installed bend. With the tow-bar supported rig-
and maintained. To insure that it is idly at both ends and with a load of 50
structurally adequate, it must, at pounds at the center, the sag, meas-
least, meet the requirements of the fol- ured at the center, in any direction
lowing table: shall not exceed 0.25 inch under any
condition of adjustment as to length.
Longitudinal strength in tension and
compression 2 (5) Method of clamping. Adequate
means shall be provided for securely
New tow- Strength
Gross weight of bars ac- as a beam fastening the tow-bar to the towed and
towed vehicle quired and (in any di- towing vehicles.
(pounds) 1 All tow- used by a rection (6) Tow-bar connection to steering
bars motor car- con-
rier after centrated mechanism. The tow-bar shall be pro-
Sept. 30, load at vided with suitable means of attach-
1948 center) 2,3
ment to and actuation of the steering
Pounds mechanism, if any, of the towed vehi-
cle. The attachment shall provide for
Less than 5,000 ....... 3,000 6,500 3,000
5,000 and over ........ .................. .................. ..................
sufficient angularity of movement of
Less than 10,000 ..... 6,000 (1 ) (1 ) the front wheels of the towed vehicle so
10,000 and over ...... .................. .................. .................. that it may follow substantially in the
Less than 15,000 ..... 9,000 (1 ) (1 )
path of the towing vehicle without
1 The required strength of tow-bars for towed vehicles of
cramping the tow-bar. The tow-bar
15,000 pounds and over gross weight and of new tow-bars
acquired and used after Sept. 30, 1948, for towed vehicles of shall be provided with suitable joints
5,000 pounds and over gross weight shall be computed by to permit such movement.
means of the following formulae: Longitudinal strength=gross
weight of towed vehicle × 1.3. Strength as a beam=gross (7) Tracking. The tow-bar shall be so
weight of towed vehicle × 0.6. designed, constructed, maintained, and
2 In testing, the whole unit shall be tested with all clamps,
joints, and pins so mounted and fastened as to approximate mounted as to cause the towed vehicle
conditions of actual operation.
3 This test shall be applicable only to tow-bars which are, in
to follow substantially in the path of
normal operation, subjected to a bending movement such as the towing vehicle. Tow-bars of such
tow-bars for house trailers. design on in our condition as to permit
(2) Tow-bars, jointed. The tow-bar the towed vehicle to deviate more than
shall be so constructed as to freely per- 3 inches to either side of the path of a
mit motion in both horizontal and towing vehicle moving in a straight
vertical planes between the towed and line as measured from the center of the
towing vehicles. The means used to towing vehicle are prohibited.
provide the motion shall be such as to (8) Passenger car-trailer type couplings.
Trailer couplings used for driveaway-
prohibit the transmission of stresses
towaway operations of passenger car
under normal operation between the
trailers shall conform to Society of
towed and towing vehicles, except
Automotive Engineers Standard No.
along the longitudinal axis of the
J684c, ‘‘Trailer Couplings and Hitches—
tongue or tongues.
Automotive Type,’’ July 1970. 1
(3) Tow-bar fastenings. The means
(9) Marking tow-bars. Every tow-bar
used to transmit the stresses to the
acquired and used in driveaway-
chassis or frames of the towed and tow-
towaway operations by a motor carrier
ing vehicles may be either temporary
shall be plainly marked with the fol-
structures or bumpers or other integral lowing certification of the manufac-
parts of the vehicles: Provided, however, turer thereof (or words of equivalent
That the means used shall be so con- meaning):
structed, installed, and maintained
that when tested as an assembly, fail- This tow-bar complies with the require-
ure in such members shall not occur ments of the Federal Motor Carrier Safety
Administration for (maximum gross weight
when the weakest new tow-bar which is
for which tow-bar is manufactured) vehicles.
permissible under paragraph (h)(1) of Allowable Maximum Gross Weight lllll
this section is subjected to the tests Manufactured llllllllllllllll
given therein. (month and year)
(4) Means of adjusting length. On tow- by llllllllllllllllllllll
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bars, adjustable as to length, the


means used to make such adjustment 1 See footnote 1 to § 393.24(c).

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Federal Motor Carrier Safety Administration, DOT § 393.71
(name of manufacturer) other means providing at least equiva-
lent security.
Tow-bar certification manufactured be- (2) U-bolts or other attachments. U-
fore the effective date of this regula- bolts used to attach the upper half to
tion must meet requirements in effect the towed vehicle shall be made of
at the time of manufacture. steel rod, free of defects, so shaped as
(10) Safety devices in case of tow-bar to avoid at any point a radius of less
failure or disconnection. (i) The towed than 1 inch: Provided, however, That a
vehicle shall be connected to the tow- lesser radius may be utilized if the U-
ing vehicle by a safety device to pre- bolt is so fabricated as not to cause
vent the towed vehicle from breaking more than 5 percent reduction in cross-
loose in the event the tow-bar fails or sectional area at points of curvature,
becomes disconnected. When safety in which latter event the minimum ra-
chains or cables are used as the safety dius shall be one-sixteenth inch. U-
device for that vehicle, at least two bolts shall have a diameter not less
safety chains or cables meeting the re- than required by the following table:
quirements of paragraph (h)(10)(ii) of
this section shall be used. The tensile DIAMETER OF U-BOLTS IN INCHES
strength of the safety device and the Double or triple saddle-mount
means of attachment to the vehicles Weight in pounds of
shall be at least equivalent to the cor- heaviest towed vehi- Middle Single
Front Rear
cle or front saddle-
responding longitudinal strength for mount mount
mount mount 1
tow-bars required in the table of para-
Up to 5,000 ............... 0.625 0.5625 0.500 0.500
graph (h)(1) of this section. If safety 5,000 and over .......... 0.6875 0.625 0.5625 0.5625
chains or cables are used as the safety 1 The total weight of all the vehicles being towed shall gov-
device, the required strength shall be ern. If other devices are used to accomplish the same pur-
the combined strength of the combina- poses as U-bolts they shall have at least equivalent strength
of U-bolts made of mild steel. Cast iron shall not be used for
tion of chains and cables. clamps or any other holding devices.
(ii) If chains or cables are used as the
(3) U-bolts and points of support, loca-
safety device, they shall be crossed and
tion. The distance between the most
attached to the vehicles near the
widely separated U-bolts shall not be
points of bumper attachments to the
less than 9 inches. The distance be-
chassis of the vehicles. The length of
tween the widely separated points
chain used shall be no more than nec-
where the upper-half supports the
essary to permit free turning of the ve-
towed vehicle shall not be less than 9
hicles. The chains shall be attached to
inches, except that saddle-mounts em-
the tow-bar at the point of crossing or
ploying ball and socket joints shall em-
as close to that point as is practicable. ploy a device which clamps the axle of
(iii) A safety device other than safety the towed vehicle throughout a length
chains or cables must provide strength, of not less than 5 inches.
security of attachment, and directional (4) Cradle-type upper-halves, specifica-
stability equal to, or greater than, that tions. Upper-halves of the cradle-type
provided by safety chains or cables in- using vertical members to restrain the
stalled in accordance with paragraph towed vehicle from relative movement
(h)(10)(ii) of this section. A safety de- in the direction of motion of the vehi-
vice other than safety chains or cables cles shall be substantially constructed
must be designed, constructed, and in- and adequate for the purpose. Such cra-
stalled so that, if the tow-bar fails or dle-mounts shall be equipped with at
becomes disconnected, the tow-bar will least one bolt or equivalent means to
not drop to the ground. provide against relative vertical move-
(i) [Reserved] ment between the upper-half and the
(j) Requirements for upper-half of sad- towed vehicle. Bolts, if used, shall be at
dle-mounts. The upper-half of any sad- least one-half inch in diameter. De-
dle-mount shall comply with the fol- vices using equivalent means shall
lowing requirements: have at least equivalent strength. The
(1) Upper-half connection to towed ve- means used to provide against relative
hicle. The upper-half shall be securely vertical motion between the upper-half
cprice-sewell on PROD1PC63 with CFR

attached to the frame or axle of the and the towed vehicle shall be such as
towed vehicle by means of U-bolts or not to permit a relative motion of over

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§ 393.71 49 CFR Ch. III (10–1–07 Edition)

one-half inch. The distance between TOTAL CROSS-SECTIONAL AREA OF U-BOLTS IN


the most widely separated points of SQUARE INCHES—Continued
support between the upper-half and the
Double or triple saddle-mount
towed vehicle shall be at least 9 inches. Weight in pounds of
(5) Lateral movement of towed vehicle. heaviest towed vehi- Middle Single
Front Rear
cle or front saddle-
(i) Towed vehicles having a straight mount mount
mount mount 1
axle or an axle having a drop of less
5,000 and over .......... 1.4 1.2 1.0 1.0
than 3 inches, unless the saddle-mount
1 The total weight of all the vehicles being towed shall gov-
is constructed in accordance with para- ern. If other devices are used to accomplish the same pur-
graph (m)(2) of this section, shall be se- poses as U-bolts they shall have at least equivalent strength
of U-bolts made of mild steel. Cast iron shall not be used for
curely fastened by means of chains or clamps or any other holding devices.
cables to the upper-half so as to insure
against relative lateral motion be- (2) Shifting. Adequate provision shall
tween the towed vehicle and the upper- be made by design and installation to
half. The chains or cables shall be at provide against relative movement be-
least 3⁄16-inch diameter and secured by tween the lower-half and the towing
bolts of at least equal diameter. vehicle especially during periods of
rapid acceleration and deceleration. To
(ii) Towed vehicles with an axle with
insure against shifting, designs of the
a drop of 3 inches or more, or con-
tripod type shall be equipped with ade-
nected by a saddle-mount constructed
quate and securely fastened hold-back
in accordance with paragraph (m)(2) of chains or similar devices.
this section, need not be restrained by
(3) Swaying. (i) Adequate provision
chains or cables provided that the
shall be made by design and installa-
upper-half is so designed as to provide tion to provide against swaying or lat-
against such relative motion. eral movement of the towed vehicle
(iii) Chains or cables shall not be re- relative to the towing vehicle. To in-
quired if the upper-half is so designed sure against swaying, lower-halves de-
as positively to provide against lateral signed with cross-members attached to
movement of the axle. but separable from vertical members
(k) Requirements for lower half of sad- shall have such cross-members fastened
dle-mounts. The lower half of any sad- to the vertical members by at least two
dle-mount shall comply with the fol- bolts on each side. Such bolts shall be
lowing requirements: of at least equivalent cross-sectional
(1) U-bolts or other attachments. U- area as those required for U-bolts for
bolts used to attach the lower half to the corresponding saddle-mount as
the towing vehicle shall be made of given in the table in paragraph (k)(1) of
steel rod, free of defects, so shaped as this section. The minimum distance
to avoid at any point a radius of less between the most widely separated
than 1 inch: Provided, however, That a points of support of the cross-member
lesser radius may be utilized if the U- by the vertical member shall be three
bolt is so fabricated as not to cause inches as measured in a direction par-
more than 5 percent reduction in cross- allel to the longitudinal axis of the
sectional area at points of curvature, towing vehicle.
in which latter event the minimum ra- (ii) The lower-half shall have a bear-
dius shall be one-sixteenth inch. U- ing surface on the frame of the towing
bolts shall have a total cross-sectional vehicle of such dimensions that the
area not less than as required by the pressure exerted by the lower-half upon
following table: the frame of the towing vehicle shall
not exceed 200 pounds per square inch
TOTAL CROSS-SECTIONAL AREA OF U-BOLTS IN under any conditions of static loading.
SQUARE INCHES Hardwood blocks or blocks of other
suitable material, such as hard rubber,
Double or triple saddle-mount aluminum or brakelining, if used be-
Weight in pounds of
heaviest towed vehi- Middle Single tween the lower half and the frame of
Front Rear
cle or front saddle- the towing vehicle shall be at least 1⁄2
mount mount
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mount mount 1
inch thick, 3 inches wide, and a com-
Up to 5,000 ............... 1.2 1.0 0.8 0.8 bined length of 6 inches.

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Federal Motor Carrier Safety Administration, DOT § 393.71

(iii) Under no condition shall the turally adequate and properly installed
highest point of support of the towed and maintained adequately to perform
vehicle by the upper-half be more than this function.
24 inches, measured vertically, above (6) Cross-member, use of wood. No ma-
the top of the frame of the towing vehi- terials, other than suitable metals,
cle, measured at the point where the shall be used as the cross-member, and
lower-half rests on the towing vehicle. wood may not be used structurally in
(4) Wood blocks. (i) Hardwood blocks any manner that will result in its
of good quality may be used to build up being subject to tensile stresses. Wood
the height of the front end of the towed may be used in cross-members if sup-
vehicle, provided that the total height ported throughout its length by suit-
of such wood blocks shall not exceed 8 able metal cross-members.
inches and not over two separate pieces (7) Lower half strength. The lower half
are placed upon each other to obtain
shall be capable of supporting the loads
such height; however, hardwood blocks,
given in the following table. For the
not over 4 in number, to a total height
purpose of test, the saddle-mount shall
not to exceed 14 inches, may be used if
be mounted as normally operated and
the total cross-sectional area of the U-
the load applied through the upper
bolts used to attach the lower-half of
the towing vehicle is at least 50 percent half:
greater than that required by the table
MINIMUM TEST LOAD IN POUNDS
contained in paragraph (k)(1) of this
section, or, if other devices are used in Double or triple saddle-mount
lieu of U-bolts, they shall provide for Weight in pounds of
heaviest towed vehi- Middle Single
as great a resistance to bending as is Front Rear
cle or front saddle-
mount mount
provided by the larger U-bolts above mount mount 1
prescribed. Up to 5,000 ............... 15,000 10,000 5,000 5,000
(ii) Hardwood blocks must be at least 5,000 and over .......... 30,000 20,000 10,000 10,000
4 inches in width and the surfaces be-
1 The total weight of all the vehicles being towed shall
tween blocks or block and lower-half or govern.
block and upper-half shall be planed
and so installed and maintained as to (l) Requirements for kingpins of saddle-
minimize any tendency of the towed mounts. The kingpin of any saddle-
vehicle to sway or rock. mount shall comply with the following
(5) Cross-member, general requirements. requirements:
The cross-member, which is that part (1) Kingpin size. (i) Kingpins shall be
of the lower-half used to distribute the constructed of steel suitable for the
weight of the towed vehicle equally to purpose, free of defects, and having a
each member of the frame of the tow- diameter not less than required by the
ing vehicle, if used, shall be struc- following table:
DIAMETER OF SOLID KINGPIN IN INCHES
Double or triple saddle-mount

Middle or front Single saddle-


Front mount Rear mount
Weight in pounds of heaviest towed vehicle mount mount 1

Mild Mild Mild Mild


H.T.S.2 H.T.S.2 H.T.S.2 H.T.S.
steel steel steel steel

Up to 5,000 ........................................................... 1.125 1.000 1.000 0.875 0.875 0.750 0.875 0.750
5,000 and over ...................................................... 1.500 1.125 1.250 1.000 1.000 0.875 1.000 0.875
1 The total weight of all the vehicles being towed shall govern.
2 High-tensile steel is steel having a minimum ultimate strength of 65,000 pounds per square inch.

(ii) If a ball and socket joint is used used, the metallic cross-sectional area
in place of a kingpin, the diameter of shall be at least equal to the cross-sec-
the neck of the ball shall be at least tional area of the corresponding solid
equal to the diameter of the cor- kingpin.
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responding solid kingpin given in the (2) Kingpin fit. If a kingpin bushing is
above table. If hollow kingpins are not used, the king-pin shall fit snugly

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§ 393.71 49 CFR Ch. III (10–1–07 Edition)

into the upper and lower-halves but the vehicles to provide for such angu-
shall not bind. Those portions of the larity.
upper or lower-halves in moving con- (3) Tracking. The saddle-mount shall
tact with the kingpin shall be smooth- be so designed, constructed, main-
ly machined with no rough or sharp tained, and installed that the towed ve-
edges. The bearing surface thus pro- hicle or vehicles will follow substan-
vided shall not be less in depth than tially in the path of the towing vehicle
the radius of the kingpin. without swerving. Towed vehicles shall
(3) Kingpin bushing on saddle-mounts. not deviate more than 3 inches to ei-
The kingpin of all new saddle-mounts ther side of the path of the towing ve-
acquired and used shall be snugly en- hicle when moving in a straight line.
closed in a bushing at least along such (4) Prevention of frame bending. Where
length of the kingpin as may be in necessary, provision shall be made to
moving contact with either the upper prevent the bending of the frame of the
or lower-halves. The bearing surface towing vehicle by insertion of suitable
thus provided shall not be less in depth blocks inside the frame channel to pre-
than the radius of the kingpin. vent kinking. The saddle-mount shall
(4) Kingpin to restrain vertical motion. not be so located as to cause deforma-
The kingpin shall be so designed and tion of the frame by reason of canti-
installed as to restrain the upper-half lever action.
from moving in a vertical direction rel- (5) Extension of frame. No saddle-
ative to the lower-half. mount shall be located at a point to
(m) Additional requirements for saddle- the rear of the frame of a towing vehi-
mounts. Saddle-mounts shall comply cle.
with the following requirements: (6) Nuts, secured. All nuts used on
(1) Bearing surface between upper and bolts, U-bolts, king-pins, or in any
lower-halves. The upper and lower- other part of the saddle-mount shall be
halves shall be so constructed and con- secured against accidental disconnec-
nected that the bearing surface be- tion by means of cotter-keys, lock-
washers, double nuts, safety nuts, or
tween the two halves shall not be less
equivalent means. Parts shall be so de-
than 16 square inches under any condi-
signed and installed that nuts shall be
tions of angularity between the towing
fully engaged.
and towed vehicles: Provided, however,
(7) Inspection of all parts. The saddle-
That saddle-mounts using a ball and
mount shall be so designed that it may
socket joint shall have a ball of such
be disassembled and each separate part
dimension that the static bearing load
inspected for worn, bent, cracked, bro-
shall not exceed 800 pounds per square
ken, or missing parts.
inch, based on the projected cross-sec-
(8) Saddle-mounts, marking. Every new
tional area of the ball: And further pro-
saddle-mount acquired and used in
vided, That saddle-mounts having the
driveaway-towaway operations by a
upper-half supported by ball, taper, or
motor carrier shall have the upper-half
roller-bearings shall not have such
and the lower-half separately marked
bearings loaded beyond the limits pre-
with the following certification of the
scribed for such bearings by the manu-
manufacturer thereof (or words of
facturer thereof. The upper-half shall
equivalent meaning).
rest evenly and smoothly upon the
lower-half and the contact surfaces This saddle-mount complies with the re-
shall be lubricated and maintained so quirements of the Federal Motor Carrier
that there shall be a minimum of fric- Safety Administration for vehicles up to
5,000 pounds (or over 5,000 pounds):
tional resistance between the parts.
(2) Saddle-mounts, angularity. All sad- Manufactured llllllllllllllll
dle-mounts acquired and used shall (Month and year)
provide for angularity between the by llllllllllllllllllllll
(Name of manufacturer)
towing and towed vehicles due to
vertical curvatures of the highway. (n) Requirements for devices used to
Such means shall not depend upon ei- connect motor vehicles or parts of motor
cprice-sewell on PROD1PC63 with CFR

ther the looseness or deformation of vehicles together to form one vehicle—(1)


the parts of either the saddle-mount or Front axle attachment. The front axle of

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Federal Motor Carrier Safety Administration, DOT § 393.75

one motor vehicle intended to be cou- (d) No bus shall be operated with re-
pled with another vehicle as defined in grooved, recapped or retreaded tires on
paragraph (g)(2)(ii) of this section shall the front wheels.
be attached with U-bolts meeting the (e) A regrooved tire with a load-car-
requirements of paragraph (j)(2) of this rying capacity equal to or greater than
section. 2,232 kg (4,920 pounds) shall not be used
(2) Rear axle attachment. The rear axle on the front wheels of any truck or
of one vehicle shall be coupled to the truck tractor.
frame of the other vehicle by means of (f) Tire loading restrictions (except on
a connecting device which when in manufactured homes). No motor vehicle
place forms a rectangle. The device (except manufactured homes, which
shall be composed of two pieces, top are governed by paragraph (g) of this
and bottom. The device shall be made section) shall be operated with tires
of 4-inch by 1⁄2-inch steel bar bent to that carry a weight greater than that
shape and shall have the corners rein- marked on the sidewall of the tire or,
forced with a plate at least 3 inches by in the absence of such a marking, a
1⁄2 inch by 8 inches long. The device weight greater than that specified for
shall be bolted together with 3⁄4-inch the tires in any of the publications of
bolts and at least three shall be used any of the organizations listed in Fed-
on each side. Wood may be used as eral Motor Vehicle Safety Standard
spacers to keep the frames apart and it No. 119 (49 CFR 571.119, S5.1(b)) unless:
shall be at least 4 inches square. (1) The vehicle is being operated
under the terms of a special permit
(Sec. 12, 80 Stat. 931; 49 U.S.C. 1651 note; sec-
issued by the State; and
tion 6 of the Department of Transportation
Act, 49 U.S.C. 1655, and the delegations of au- (2) The vehicle is being operated at a
thority at 49 CFR 1.48 and 389.4) reduced speed to compensate for the
tire loading in excess of the manufac-
[33 FR 19735, Dec. 25, 1968, as amended at 35
turer’s rated capacity for the tire. In
FR 10907, July 7, 1970; 37 FR 21440, Oct. 11,
1972; 53 FR 49400, Dec. 7, 1988; 70 FR 48054, no case shall the speed exceed 80 km/hr
Aug. 15, 2005] (50 mph).
(g)(1) Tire loading restrictions for man-
ufactured homes built before January 1,
Subpart G—Miscellaneous Parts 2002. Manufactured homes that are la-
and Accessories beled pursuant to 24 CFR
§ 393.75 Tires. 3282.362(c)(2)(i) before January 1, 2002,
must not be transported on tires that
(a) No motor vehicle shall be oper- are loaded more than 18 percent over
ated on any tire that (1) has body ply the load rating marked on the sidewall
or belt material exposed through the of the tire or, in the absence of such a
tread or sidewall, (2) has any tread or marking, more than 18 percent over the
sidewall separation, (3) is flat or has an load rating specified in any of the pub-
audible leak, or (4) has a cut to the ex- lications of any of the organizations
tent that the ply or belt material is ex- listed in FMVSS No. 119 (49 CFR
posed. 571.119, S5.1(b)). Manufactured homes
(b) Any tire on the front wheels of a labeled before January 1, 2002, trans-
bus, truck, or truck tractor shall have ported on tires overloaded by 9 percent
a tread groove pattern depth of at least or more must not be operated at speeds
4⁄32 of an inch when measured at any
exceeding 80 km/hr (50 mph).
point on a major tread groove. The (2) Tire loading restrictions for manu-
measurements shall not be made where factured homes built on or after January
tie bars, humps, or fillets are located. 1, 2002. Manufactured homes that are
(c) Except as provided in paragraph labeled pursuant to 24 CFR
(b) of this section, tires shall have a 3282.362(c)(2)(i) on or after January 1,
tread groove pattern depth of at least 2002, must not be transported on tires
2⁄32 of an inch when measured in a
loaded beyond the load rating marked
major tread groove. The measurement on the sidewall of the tire or, in the ab-
cprice-sewell on PROD1PC63 with CFR

shall not be made where tie bars, sence of such a marking, the load rat-
humps or fillets are located. ing specified in any of the publications

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§ 393.76 49 CFR Ch. III (10–1–07 Edition)

of any of the organizations listed in (3) Access. A sleeper berth must be


FMVSS No. 119 (49 CFR 571.119, S5.1(b)). constructed so that an occupant’s
(h) Tire inflation pressure. (1) No ready entrance to, and exit from, the
motor vehicle shall be operated on a sleeper berth is not unduly hindered.
tire which has a cold inflation pressure (b) Location. (1) A sleeper berth must
less than that specified for the load not be installed in or on a semitrailer
being carried. or a full trailer other than a house
(2) If the inflation pressure of the tire trailer.
has been increased by heat because of (2) A sleeper berth located within the
the recent operation of the vehicle, the cargo space of a motor vehicle must be
cold inflation pressure shall be esti- securely compartmentalized from the
mated by subtracting the inflation remainder of the cargo space. A sleeper
buildup factor shown in Table 1 from berth installed on or after January 1,
the measured inflation pressure. 1953 must be located in the cab or im-
mediately adjacent to the cab and
TABLE 1—INFLATION PRESSURE MEASUREMENT must be securely fixed with relation to
CORRECTION FOR HEAT the cab.
Minimum inflation pressure buildup (c) Exit from the berth. (1) Except as
Average speed of provided in paragraph (c)(2) of this sec-
vehicle Tires with 1,814 kg
in the previous (4,000 lbs.) max- Tires with over tion, there must be a direct and ready
1,814 kg (4,000
hour imum load rating lbs.) load rating means of exit from a sleeper berth into
or less
the driver’s seat or compartment. If
66–88.5 km/hr 34.5 kPa (5 psi) ... 103.4 kPa (15 psi). the sleeper berth was installed on or
(41–55 mph). after January 1, 1963, the exit must be
a doorway or opening at least 18 inches
[34 FR 9344, June 13, 1969, as amended at 40 high and 36 inches wide. If the sleeper
FR 44557, Sept. 29, 1975; 41 FR 36657, Aug. 31, berth was installed before January 1,
1976; 44 FR 25455, May 1, 1979; 44 FR 47938, 1963, the exit must have sufficient area
Aug. 16, 1979; 53 FR 18057, May 19, 1988; 53 FR to contain an ellipse having a major
49401, Dec. 7, 1988; 63 FR 8339, Feb. 18, 1998; 65 axis of 24 inches and a minor axis of 16
FR 70220, Nov. 21, 2000; 66 FR 67694, Dec. 31,
inches.
2001; 70 FR 48054, Aug. 15, 2005]
(2) A sleeper berth installed before
§ 393.76 Sleeper berths. January 1, 1953 must either:
(i) Conform to the requirements of
(a) Dimensions—(1) Size. A sleeper
paragraph (c)(1) of this section; or
berth must be at least the following
(ii) Have at least two exits, each of
size:
which is at least 18 inches high and 21
Length Width Height inches wide, located at opposite ends of
measured measured measured the vehicle and useable by the occu-
on center- on center- from high-
Date of installation pant without the assistance of any
line of lon- line of est point of
on motor vehicle gitudinal transverse top of mat- other person.
axis axis tress
(inches) (inches) (inches) 1 (d) Communication with the driver. A
sleeper berth which is not located with-
Before January 1,
1953 ..................... 72 18 18
in the driver’s compartment and has no
After December 31, direct entrance into the driver’s com-
1952, and before partment must be equipped with a
October 1, 1975 ... 75 21 21 means of communication between the
After September 30,
1975 ..................... 75 24 24 occupant and the driver. The means of
1 In
communication may consist of a tele-
the case of a sleeper berth which utilizes an adjustable
mechanical suspension system, the required clearance can be phone, speaker tube, buzzer, pull cord,
measured when the suspension system is adjusted to the or other mechanical or electrical de-
height to which it would settle when occupied by a driver.
vice.
(2) Shape. A sleeper berth installed on (e) Equipment. A sleeper berth must
a motor vehicle on or after January 1, be properly equipped for sleeping. Its
1953 must be of generally rectangular equipment must include:
shape, except that the horizontal cor- (1) Adequate bedclothing and blan-
ners and the roof corners may be kets; and
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rounded to radii not exceeding 101⁄2 (2) Either:


inches. (i) Springs and a mattress; or

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Federal Motor Carrier Safety Administration, DOT § 393.77

(ii) An innerspring mattress; or (3) Heaters permitting fuel leakage. Any


(iii) A cellular rubber or flexible type of heater from the burner of which
foam mattress at least four inches there could be spillage or leakage of
thick; or fuel upon the tilting or overturning of
(iv) A mattress filled with a fluid and the vehicle in which it is mounted.
of sufficient thickness when filled to (4) Heaters permitting air contamina-
prevent ‘‘bottoming-out’’ when occu- tion. Any heater taking air, heated or
pied while the vehicle is in motion. to be heated, from the engine compart-
(f) Ventilation. A sleeper berth must ment or from direct contact with any
have louvers or other means of pro- portion of the exhaust system; or any
viding adequate ventilation. A sleeper heater taking air in ducts from the
berth must be reasonably tight against outside atmosphere to be conveyed
dust and rain. through the engine compartment, un-
(g) Protection against exhaust and fuel less said ducts are so constructed and
leaks and exhaust heat. A sleeper berth installed as to prevent contamination
must be located so that leaks in the ve- of the air so conveyed by exhaust or
hicle’s exhaust system or fuel system engine compartment gases.
do not permit fuel, fuel system gases, (5) Solid fuel heaters except wood char-
or exhaust gases to enter the sleeper coal. Any stove or other heater employ-
berth. A sleeper berth must be located ing solid fuel except wood charcoal.
so that it will not be overheated or (6) Portable heaters. Portable heaters
damaged by reason of its proximity to shall not be used in any space occupied
the vehicle’s exhaust system. by persons except the cargo space of
(h) Occupant restraint. A motor vehi- motor vehicles which are being loaded
cle manufactured on or after July 1, or unloaded.
1971, and equipped with a sleeper berth (b) Heater specifications. All heaters
must be equipped with a means of pre- shall comply with the following speci-
venting ejection of the occupant of the fications:
sleeper berth during deceleration of the (1) Heating elements, protection. Every
vehicle. The restraint system must be heater shall be so located or protected
designed, installed, and maintained to as to prevent contact therewith by oc-
withstand a minimum total force of cupants, unless the surface tempera-
6,000 pounds applied toward the front of ture of the protecting grilles or of any
the vehicle and parallel to the longitu- exposed portions of the heaters, inclu-
dinal axis of the vehicle. sive of exhaust stacks, pipes, or con-
duits shall be lower than would cause
[39 FR 14711, Apr. 26, 1974; 39 FR 17233, May contact burns. Adequate protection
14, 1974, as amended at 53 FR 49401, Dec. 7, shall be afforded against igniting parts
1988] of the vehicle or burning occupants by
direct radiation. Wood charcoal heaters
§ 393.77 Heaters.
shall be enclosed within a metal barrel,
On every motor vehicle, every heater drum, or similar protective enclosure
shall comply with the following re- which enclosure shall be provided with
quirements: a securely fastened cover.
(a) Prohibited types of heaters. The in- (2) Moving parts, guards. Effective
stallation or use of the following types guards shall be provided for the protec-
of heaters is prohibited: tion of passengers or occupants against
(1) Exhaust heaters. Any type of ex- injury by fans, belts, or any other mov-
haust heater in which the engine ex- ing parts.
haust gases are conducted into or (3) Heaters, secured. Every heater and
through any space occupied by persons every heater enclosure shall be se-
or any heater which conducts engine curely fastened to the vehicle in a sub-
compartment air into any such space. stantial manner so as to provide
(2) Unenclosed flame heaters. Any type against relative motion within the ve-
of heater employing a flame which is hicle during normal usage or in the
not fully enclosed, except that such event the vehicle overturns. Every
heaters are not prohibited when used heater shall be so designed, con-
cprice-sewell on PROD1PC63 with CFR

for heating the cargo of tank motor ve- structed, and mounted as to minimize
hicles. the likelihood of disassembly of any of

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§ 393.77 49 CFR Ch. III (10–1–07 Edition)

its parts, including exhaust stacks, (8) Storage battery caps. If a separate
pipes, or conduits, upon overturn of the storage battery is located within the
vehicle in or on which it is mounted. personnel or cargo space, such battery
Wood charcoal heaters shall be secured shall be securely mounted and equipped
against relative motion within the en- with nonspill filler caps.
closure required by paragraph (c)(1) of (9) Combustion heater exhaust construc-
this section, and the enclosure shall be tion. Every heater employing the com-
securely fastened to the motor vehicle. bustion of oil, gas, liquefied petroleum
(4) Relative motion between fuel tank gas, or any other combustible material
and heater. When either in normal oper- shall be provided with substantial
ation or in the event of overturn, there means of conducting the products of
is or is likely to be relative motion be- combustion to the outside of the vehi-
tween the fuel tank for a heater and cle: Provided, however, That this re-
the heater, or between either of such quirement shall not apply to heaters
units and the fuel lines between them, used solely to heat the cargo space of
a suitable means shall be provided at motor vehicles where such motor vehi-
the point of greatest relative motion so cles or heaters are equipped with
as to allow this motion without caus-
means specifically designed and main-
ing failure of the fuel lines.
tained so that the carbon monoxide
(5) Operating controls to be protected.
concentration will never exceed 0.2 per-
On every bus designed to transport
cent in the cargo space. The exhaust
more than 15 passengers, including the
driver, means shall be provided to pre- pipe, stack, or conduit if required shall
vent unauthorized persons from tam- be sufficiently substantial and so se-
pering with the operating controls. cured as to provide reasonable assur-
Such means may include remote con- ance against leakage or discharge of
trol by the driver; installation of con- products of combustion within the ve-
trols at inaccessible places; control of hicle and, if necessary, shall be so insu-
adjustments by key or keys; enclosure lated as to make unlikely the burning
of controls in a locked space, locking or charring of parts of the vehicle by
of controls, or other means of accom- radiation or by direct contact. The
plishing this purpose. place of discharge of the products of
(6) Heater hoses. Hoses for all hot combustion to the atmosphere and the
water and steam heater systems shall means of discharge of such products
be specifically designed and con- shall be such as to minimize the likeli-
structed for that purpose. hood of their reentry into the vehicle
(7) Electrical apparatus. Every heater under all operating conditions.
employing any electrical apparatus (10) Combustion chamber construction.
shall be equipped with electrical con- The design and construction of any
ductors, switches, connectors, and combustion-type heater except cargo
other electrical parts of ample current- space heaters permitted by the proviso
carrying capacity to provide against of paragraph (c)(9) of this section and
overheating; any electric motor em- unenclosed flame heaters used for heat-
ployed in any heater shall be of ade- ing cargo of tank motor vehicles shall
quate size and so located that it will be such as to provide against the leak-
not be overheated; electrical circuits age of products of combustion into air
shall be provided with fuses and/or cir- to be heated and circulated. The mate-
cuit breakers to provide against elec- rial employed in combustion chambers
trical overloading; and all electrical shall be such as to provide against
conductors employed in or leading to leakage because of corrosion, oxida-
any heater shall be secured against tion, or other deterioration. Joints be-
dangling, chafing, and rubbing and tween combustion chambers and the
shall have suitable protection against air chambers with which they are in
any other condition likely to produce thermal and mechanical contact shall
short or open circuits. be so designed and constructed as to
NOTE: Electrical parts certified as proper prevent leakage between the chambers
for use by Underwriters’ Laboratories, Inc., and the materials employed in such
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shall be deemed to comply with the fore- joints shall have melting points sub-
going requirements. stantially higher than the maximum

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Federal Motor Carrier Safety Administration, DOT § 393.78

temperatures likely to be attained at the date of manufacture of which is


the points of jointure. subsequent to September 1, 1953, shall
(11) Heater fuel tank location. Every be marked plainly to indicate the type
bus designed to transport more than 15 of service for which such heater is de-
passengers, including the driver, with signed and with a certification by the
heaters of the combustion type shall manufacturer that the heater meets
have fuel tanks therefor located out- the applicable requirements for such
side of and lower than the passenger use. For example, ‘‘Meets I.C.C. Bus
space. When necessary, suitable protec- Heater Requirements,’’ Meets I.C.C.
tion shall be afforded by shielding or Flue-Vented Cargo Space Heater Re-
other means against the puncturing of quirements,’’ and after December 31,
any such tank or its connections by 1967, such certification shall read
flying stones or other objects. ‘‘Meets FMCSA Bus Heater Require-
(12) Heater, automatic fuel control. ments,’’ ‘‘Meets FMCSA Flue-Vented
Gravity or siphon feed shall not be per-
Cargo Space Heater Requirements,’’
mitted for heaters using liquid fuels.
etc.
Heaters using liquid fuels shall be
equipped with automatic means for (i) Exception. The certification for a
shutting off the fuel or for reducing catalytic heater which is used in trans-
such flow of fuel to the smallest prac- porting flammable liquid or gas shall
ticable magnitude, in the event of be as prescribed under § 177.834(1) of
overturn of the vehicle. Heaters using this title.
liquefied petroleum gas as fuel shall [33 FR 19735, Dec. 25, 1968, as amended at 40
have the fuel line equipped with auto- FR 51198, Nov. 4, 1975; 53 FR 49401, Dec. 7,
matic means at the source of supply for 1988]
shutting off the fuel in the event of
separation, breakage, or disconnection § 393.78 Windshield wiping and wash-
of any of the fuel lines between the ing systems.
supply source and the heater. (a) Vehicles manufactured on or after
(13) ‘‘Tell-tale’’ indicators. Heaters December 25, 1968. Each bus, truck, and
subject to paragraph (c)(14) of this sec- truck-tractor manufactured on or after
tion and not provided with automatic December 25, 1968, must have a wind-
controls shall be provided with ‘‘tell- shield wiping system that meets the re-
tale’’ means to indicate to the driver quirements of FMVSS No. 104 (S4.1) in
that the heater is properly functioning. effect on the date of manufacture. Each
This requirement shall not apply to of these vehicles must have a wind-
heaters used solely for the cargo space shield washing system that meets the
in semitrailers or full trailers. requirements of FMVSS No. 104 (S4.2.2)
(14) Shut-off control. Automatic in effect on the date of manufacture.
means, or manual means if the control
(b) Vehicles manufactured between June
is readily accessible to the driver with-
30, 1953, and December 24, 1968. Each
out moving from the driver’s seat,
shall be provided to shut off the fuel truck, truck-tractor, and bus manufac-
and electrical supply in case of failure tured between June 30, 1953, and De-
of the heater to function for any rea- cember 24, 1968, shall be equipped with
son, or in case the heater should func- a power-driven windshield wiping sys-
tion improperly or overheat. This re- tem with at least two wiper blades, one
quirement shall not apply to wood on each side of the centerline of the
charcoal heaters or to heaters used windshield. Motor vehicles which de-
solely to heat the contents of cargo pend upon vacuum to operate the wind-
tank motor vehicles, but wood charcoal shield wipers, shall have the wiper sys-
heaters must be provided with a con- tem constructed and maintained such
trolled method of regulating the flow that the performance of the wipers will
of combustion air. not be adversely affected by a change
(15) Certification required. Every com- in the intake manifold pressure.
bustion-type heater, except wood char- (c) Driveaway-towaway operations.
coal heaters, the date of manufacture Windshield wiping and washing sys-
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of which is subsequent to December 31, tems need not be in working condition


1952, and every wood charcoal heater, while a commercial motor vehicle is

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§ 393.79 49 CFR Ch. III (10–1–07 Edition)

being towed in a driveaway-towaway § 393.81 Horn.


operation.
Every bus, truck, truck-tractor, and
[70 FR 48054, Aug. 15, 2005] every driven motor vehicle in
driveaway-towaway operations shall be
§ 393.79 Windshield defrosting and equipped with a horn and actuating
defogging systems. elements which shall be in such condi-
(a) Vehicles manufactured on or after tion as to give an adequate and reliable
December 25, 1968. Each bus, truck, and warning signal.
truck-tractor manufactured on or after
December 25, 1968, must have a wind- § 393.82 Speedometer.
shield defrosting and defogging system Each bus, truck, and truck-tractor
that meets the requirements of FMVSS must be equipped with a speedometer
No. 103 in effect on the date of manu- indicating vehicle speed in miles per
facture. hour and/or kilometers per hour. The
(b) Vehicles manufactured before De- speedometer must be accurate to with-
cember 25, 1968. Each bus, truck, and in plus or minus 8 km/hr (5 mph) at a
truck-tractor shall be equipped with a speed of 80 km/hr (50 mph).
means for preventing the accumulation
of ice, snow, frost, or condensation [70 FR 48054, Aug. 15, 2005]
that could obstruct the driver’s view
§ 393.83 Exhaust systems.
through the windshield while the vehi-
cle is being driven. (a) Every motor vehicle having a de-
vice (other than as part of its cargo)
[70 FR 48054, Aug. 15, 2005] capable of expelling harmful combus-
tion fumes shall have a system to di-
§ 393.80 Rear-vision mirrors.
rect the discharge of such fumes. No
(a) Every bus, truck, and truck trac- part shall be located where its location
tor shall be equipped with two rear-vi- would likely result in burning, char-
sion mirrors, one at each side, firmly ring, or damaging the electrical wiring,
attached to the outside of the motor the fuel supply, or any combustible
vehicle, and so located as to reflect to part of the motor vehicle.
the driver a view of the highway to the (b) No exhaust system shall discharge
rear, along both sides of the vehicle. to the atmosphere at a location imme-
All such regulated rear-vision mirrors diately below the fuel tank or the fuel
and their replacements shall meet, as a tank filler pipe.
minimum, the requirements of FMVSS (c) The exhaust system of a bus pow-
No. 111 (49 CFR 571.111) in force at the ered by a gasoline engine shall dis-
time the vehicle was manufactured. charge to the atmosphere at or within
(b) Exceptions. (1) Mirrors installed on 6 inches forward of the rearmost part
a vehicle manufactured prior to Janu- of the bus.
ary 1, 1981, may be continued in serv- (d) The exhaust system of a bus using
ice, provided that if the mirrors are re- fuels other than gasoline shall dis-
placed they shall be replaced with mir- charge to the atmosphere either:
rors meeting, as a minimum, the re- (1) At or within 15 inches forward of
quirements of FMVSS No. 111 (49 CFR the rearmost part of the vehicle; or
571.111) in force at the time the vehicle (2) To the rear of all doors or win-
was manufactured. dows designed to be open, except win-
(2) Only one outside mirror shall be dows designed to be opened solely as
required, which shall be on the driver’s emergency exits.
side, on trucks which are so con-
(e) The exhaust system of every
structed that the driver has a view to
truck and truck tractor shall discharge
the rear by means of an interior mir-
to the atmosphere at a location to the
ror.
rear of the cab or, if the exhaust
(3) In driveway-towaway operations, projects above the cab, at a location
the driven vehicle shall have at least near the rear of the cab.
one mirror furnishing a clear view to
(f) No part of the exhaust system
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the rear.
shall be temporarily repaired with
[48 FR 57139, Dec. 28, 1983] wrap or patches.

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Federal Motor Carrier Safety Administration, DOT § 393.86

(g) No part of the exhaust system (2) Impact guard width. The outermost
shall leak or discharge at a point for- surfaces of the horizontal member of
ward of or directly below the driver/ the guard must extend to within 100
sleeper compartment. The exhaust out- mm (4 inches) of the side extremities of
let may discharge above the cab/sleeper the vehicle. The outermost surface of
roofline. the horizontal member shall not extend
(h) The exhaust system must be se- beyond the side extremity of the vehi-
curely fastened to the vehicle. cle.
(i) Exhaust systems may use hangers (3) Guard height. The vertical dis-
which permit required movement due tance between the bottom edge of the
to expansion and contraction caused by horizontal member of the guard and
heat of the exhaust and relative mo- the ground shall not exceed 560 mm (22
tion between engine and chassis of a inches) at any point across the full
vehicle. width of the member. Guards with
[53 FR 49401, Dec. 7, 1988] rounded corners may curve upward
within 255 mm (10 inches) of the longi-
§ 393.84 Floors. tudinal vertical planes that are tan-
The flooring in all motor vehicles gent to the side extremities of the ve-
shall be substantially constructed, free hicle.
of unnecessary holes and openings, and (4) Guard rear surface. At any height
shall be maintained so as to minimize 560 mm (22 inches) or more above the
the entrance of fumes, exhaust gases, ground, the rearmost surface of the
or fire. Floors shall not be permeated horizontal member of the guard must
with oil or other substances likely to be within 305 mm (12 inches) of the rear
cause injury to persons using the floor extremity of the vehicle. This para-
as a traction surface. graph shall not be construed to pro-
hibit the rear surface of the guard from
[53 FR 49401, Dec. 7, 1988] extending beyond the rear extremity of
the vehicle. Guards with rounded cor-
§ 393.85 [Reserved]
ners may curve forward within 255 mm
§ 393.86 Rear impact guards and rear (10 inches) of the side extremity.
end protection. (5) Cross-sectional vertical height. The
(a)(1) General requirements for trailers horizontal member of each guard must
and semitrailers manufactured on or after have a cross sectional vertical height
January 26, 1998. Each trailer and of at least 100 mm (3.94 inches) at any
semitrailer with a gross vehicle weight point across the guard width.
rating of 4,536 kg (10,000 pounds) or (6) Certification and labeling require-
more, and manufactured on or after ments for rear impact protection guards.
January 26, 1998, must be equipped with Each rear impact guard used to satisfy
a rear impact guard that meets the re- the requirements of paragraph (a)(1) of
quirements of Federal Motor Vehicle this section must be permanently
Safety Standard No. 223 (49 CFR marked or labeled as required by
571.223) in effect at the time the vehicle FMVSS No. 223 (49 CFR 571.223, S5.3).
was manufactured. When the rear im- The label must be on the forward-fac-
pact guard is installed on the trailer or ing surface of the horizontal member of
semitrailer, the vehicle must, at a min- the guard, 305 mm (12 inches) inboard
imum, meet the requirements of of the right end of the guard. The cer-
FMVSS No. 224 (49 CFR 571.224) in ef- tification label must contain the fol-
fect at the time the vehicle was manu- lowing information:
factured. The requirements of para- (i) The impact guard manufacturer’s
graph (a) of this section do not apply to name and address;
pole trailers (as defined in § 390.5 of this (ii) The statement ‘‘Manufactured in
chapter); pulpwood trailers, low chassis ll’’ (inserting the month and year
vehicles, special purpose vehicles, that the guard was manufactured); and,
wheels back vehicles (as defined in (iii) The letters ‘‘DOT’’, constituting
§ 393.5); and trailers towed in a certification by the guard manufac-
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driveaway-towaway operations (as de- turer that the guard conforms to all re-
fined in § 390.5). quirements of FMVSS No. 223.

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§ 393.87 49 CFR Ch. III (10–1–07 Edition)

(b)(1) Requirements for motor vehicles inches) or more than 1,219 mm (4 feet)
manufactured after December 31, 1952 (ex- beyond the rear must have the extrem-
cept trailers or semitrailers manufactured ities of the load marked with red or or-
on or after January 26, 1998). Each motor ange fluorescent warning flags. Each
vehicle manufactured after December warning flag must be at least 457 mm
31, 1952, (except truck tractors, pole (18 inches) square.
trailers, pulpwood trailers, or vehicles (b) Position of flags. There must be a
in driveaway-towaway operations) in single flag at the extreme rear if the
which the vertical distance between projecting load is two feet wide or less.
the rear bottom edge of the body (or Two warning flags are required if the
the chassis assembly if the chassis is projecting load is wider than two feet.
the rearmost part of the vehicle) and Flags must be located to indicate max-
the ground is greater than 76.2 cm (30 imum width of loads which extend be-
inches) when the motor vehicle is yond the sides and/or rear of the vehi-
empty, shall be equipped with a rear cle.
impact guard(s). The rear impact
[70 FR 48054, Aug. 15, 2005]
guard(s) must be installed and main-
tained in such a manner that: § 393.88 Television receivers.
(i) The vertical distance between the
bottom of the guard(s) and the ground Any motor vehicle equipped with a
does not exceed 76.2 cm (30 inches) television viewer, screen or other
when the motor vehicle is empty; means of visually receiving a television
(ii) The maximum lateral distance broadcast shall have the viewer or
between the closest points between screen located in the motor vehicle at
guards, if more than one is used, does a point to the rear of the back of the
not exceed 61 cm (24 inches); driver’s seat if such viewer or screen is
(iii) The outermost surfaces of the in the same compartment as the driver
horizontal member of the guard are no and the viewer or screen shall be so lo-
more than 45.7 cm (18 inches) from each cated as not to be visible to the driver,
side extremity of the motor vehicle; while he/she is driving the motor vehi-
(iv) The impact guard(s) are no more cle. The operating controls for the tele-
than 61 cm (24 inches) forward of the vision receiver shall be so located that
rear extremity of the motor vehicle. the driver cannot operate them with-
(2) Construction and attachment. The out leaving the driver’s seat.
rear impact guard(s) must be substan-
§ 393.89 Buses, driveshaft protection.
tially constructed and attached by
means of bolts, welding, or other com- Any driveshaft extending lengthways
parable means. under the floor of the passenger com-
(3) Vehicle components and structures partment of a bus shall be protected by
that may be used to satisfy the require- means of at least one guard or bracket
ments of paragraph (b) of this section. at that end of the shaft which is pro-
Low chassis vehicles, special purpose vided with a sliding connection (spline
vehicles, or wheels back vehicles con- or other such device) to prevent the
structed and maintained so that the whipping of the shaft in the event of
body, chassis, or other parts of the ve- failure thereof or of any of its compo-
hicle provide the rear end protection nent parts. A shaft contained within a
comparable to impact guard(s) con- torque tube shall not require any such
forming to the requirements of para- device.
graph (b)(1) of this section shall be con- [33 FR 19735, Dec. 25, 1968, as amended at 53
sidered to be in compliance with those FR 49402, Dec. 7, 1988]
requirements.
§ 393.90 Buses, standee line or bar.
[64 FR 47708, Sept. 1, 1999, as amended at 67
FR 61824, Oct. 2, 2002] Except as provided below, every bus,
which is designed and constructed so as
§ 393.87 Warning flags on projecting to allow standees, shall be plainly
loads. marked with a line of contrasting color
(a) Any commercial motor vehicle at least 2 inches wide or equipped with
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transporting a load which extends be- some other means so as to indicate to


yond the sides by more than 102 mm (4 any person that he/she is prohibited

432

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Federal Motor Carrier Safety Administration, DOT § 393.93

from occupying a space forward of a (2) Buses manufactured on or after July


perpendicular plane drawn through the 1, 1971. Every bus manufactured on or
rear of the driver’s seat and perpen- after July 1, 1971, must conform to the
dicular to the longitudinal axis of the requirements of Federal Motor Vehicle
bus. Every bus shall have clearly post- Safety Standard No. 208 1 (§ 571.208) (re-
ed at or near the front, a sign with let- lating to installation of seat belt as-
ters at least one-half inch high stating semblies) and Federal Motor Vehicle
that it is a violation of the Federal Safety Standard No. 210 1 (§ 571.210) (re-
Motor Carrier Safety Administration’s lating to installation of seat belt as-
regulations for a bus to be operated sembly anchorages).
with persons occupying the prohibited (3) Buses manufactured on or after Jan-
area. The requirements of this section uary 1, 1972. Every bus manufactured
shall not apply to any bus being trans- on or after January 1, 1972, must con-
ported in driveaway-towaway oper- form to the requirements of Federal
ation or to any level of the bus other Motor Vehicle Safety Standard No.
that the level in which the driver is lo- 207 1 (§ 571.207) (relating to seating sys-
cated nor shall they be construed to tems).
prohibit any seated person from occu- (b) Trucks and truck tractors—(1)
pying permanent seats located in the Trucks and truck tractors manufactured
prohibited area provided such seats are on and after January 1, 1965, and before
so located that persons sitting therein July 1, 1971. Except as provided in para-
will not interfere with the driver’s safe graph (d) of this section, after June 30,
operation of the bus. 1972, every truck and truck tractor
manufactured on or after January 1,
§ 393.91 Buses, aisle seats prohibited. 1965, and before July 1, 1971, must be
No bus shall be equipped with aisle equipped with a Type 1 or Type 2 seat
seats unless such seats are so designed belt assembly that conforms to Federal
and installed as to automatically fold Motor Vehicle Safety Standard No. 209
and leave a clear aisle when they are (§ 571.209) installed at the driver’s seat
unoccupied. No bus shall be operated if and at the right front outboard seat, if
any seat therein is not securely fas- the vehicle has one, and seat belt as-
tened to the vehicle. sembly anchorages that conform to the
location and geometric requirements of
[53 FR 49402, Dec. 7, 1988]
Federal Motor Vehicle Safety Standard
§ 393.92 [Reserved] No. 210 (§ 571.210) for each seat belt as-
sembly that is required by this sub-
§ 393.93 Seats, seat belt assemblies, paragraph.
and seat belt assembly anchorages. (2) Trucks and truck tractors manufac-
tured on or after July 1, 1971. Every
(a) Buses—(1) Buses manufactured on
truck and truck tractor manufactured
or after January 1, 1965, and before July
on or after July 1, 1971, except a truck
1, 1971. After June 30, 1972, every bus
or truck tractor being transported in
manufactured on or after January 1,
driveaway-towaway operation and hav-
1965, and before July 1, 1971, must be
ing an incomplete vehicle seating and
equipped with a Type 1 or Type 2 seat
cab configuration, must conform to the
belt assembly that conforms to Federal
requirements of Federal Motor Vehicle
Motor Vehicle Safety Standard No.
Safety Standard No. 208 1 (§ 571.208) (re-
209 1 (§ 571.209) installed at the driver’s
lating to installation of seat belt as-
seat and seat belt assembly anchorages
semblies) and Federal Motor Vehicle
that conform to the location and geo-
Safety Standard No. 210 1 (§ 571.210) (re-
metric requirements of Federal Motor
lating to installation of seat belt as-
Vehicle Safety Standard No. 210 1
sembly anchorages).
(§ 571.210) for that seat belt assembly.
(3) Trucks and truck tractors manufac-
tured on or after January 1, 1972. Every
1 Individual copies of Federal Motor Vehi-
truck and truck tractor manufactured
cle Safety Standards may be obtained from on or after January 1, 1972, except a
the National Highway Traffic Safety Admin-
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istration. 1200 New Jersey Ave., SE., Wash-


ington, DC 20590–0001. 1 See footnote to § 393.93(a).

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§ 393.94 49 CFR Ch. III (10–1–07 Edition)

truck or truck tractor being trans- ANSI S1.4—1983. (See § 393.7(b) for infor-
ported in driveaway-towaway oper- mation on the incorporation by ref-
ation and having an incomplete vehicle erence and availability of this docu-
seating and cab configuration, must ment.)
conform to the requirements of Federal (5) Locate the microphone, oriented
Motor Vehicle Safety Standard No. vertically upward, 6 inches to the right
207 1 (§ 571.207) (relating to seating sys- of, in the same plane as, and directly in
tems). line with, the driver’s right ear.
(c) Effective date of standards. When- (6) With the vehicle’s transmission in
ever paragraph (a) or (b) of this section neutral gear, accelerate its engine to
requires conformity to a Federal Motor either its maximum governed engine
Vehicle Safety Standard, the vehicle or speed, if it is equipped with an engine
equipment must conform to the version governor, or its speed at its maximum
of the Standard that is in effect on the rated horsepower, if it is not equipped
date the vehicle is manufactured or on with an engine governor. Stabilize the
the date the vehicle is modified to con- engine at that speed.
form to the requirements of paragraph (7) Observe the A-weighted sound
(a) or (b) of this section, whichever is level reading on the meter for the sta-
later. bilized engine speed condition. Record
(d) Trucks and truck tractors manu- that reading, if the reading has not
factured on or after January 1, 1965, been influenced by extraneous noise
and before July 1, 1971, and operated in sources such as motor vehicles oper-
the State of Hawaii, must comply with ating on adjacent roadways.
the provisions of paragraph (b) of this (8) Return the vehicle’s engine speed
section on and after January 1, 1976. to idle and repeat the procedures speci-
fied in paragraphs (c) (6) and (7) of this
[35 FR 16839, Oct. 30, 1970, as amended at 39
FR 32561, Sept. 9, 1974; 40 FR 32336, Aug. 1,
section until two maximum sound lev-
1975; 72 FR 55703, Oct. 1, 2007] els within 2 dB of each other are re-
corded. Numerically average those two
§ 393.94 Interior noise levels in power maximum sound level readings.
units. (9) The average obtained in accord-
(a) Applicability of this section. The in- ance with paragraph (c)(8) of this sec-
terior noise level requirements apply tion is the vehicle’s interior sound
to all trucks, truck-tractors, and level at the driver’s seating position
buses. for the purpose of determining whether
(b) General rule. The interior sound the vehicle conforms to the rule in
level at the driver’s seating position of paragraph (b) of this section. However,
a motor vehicle must not exceed 90 a 2 dB tolerance over the sound level
dB(A) when measured in accordance limitation specified in that paragraph
with paragraph (c) of this section. is permitted to allow for variations in
(c) Test procedure. (1) Park the vehi- test conditions and variations in the
cle at a location so that no large re- capabilities of meters.
flecting surfaces, such as other vehi- (10) If the motor vehicle’s engine ra-
cles, signboards, buildings, or hills, are diator fan drive is equipped with a
within 50 feet of the driver’s seating clutch or similar device that automati-
position. cally either reduces the rotational
(2) Close all vehicle doors, windows, speed of the fan or completely dis-
and vents. Turn off all power-operated engages the fan from its power source
accessories. in response to reduced engine cooling
(3) Place the driver in his/her normal loads the vehicle may be parked before
seated position at the vehicle’s con- testing with its engine running at high
trols. Evacuate all occupants except idle or any other speed the operator
the driver and the person conducting may choose, for sufficient time but not
the test. more than 10 minutes, to permit the
(4) The sound level meters used to de- engine radiator fan to automatically
termine compliance with the require- disengage.
ments of this section must meet the [38 FR 30881, Nov. 8, 1973, as amended at 40
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American National Standards Institute FR 32336, Aug. 1, 1975; 41 FR 28268, July 9,


‘‘Specification for Sound Level Meters,’’ 1976; 70 FR 48054, Aug. 15, 2005]

434

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Federal Motor Carrier Safety Administration, DOT § 393.95

Subpart H—Emergency Equipment (c)–(e) [Reserved]


(f) Warning devices for stopped vehicles.
§ 393.95 Emergency equipment on all Except as provided in paragraph (g) of
power units. this section, one of the following op-
Each truck, truck tractor, and bus tions must be used:
(except those towed in driveaway- (1) Three bidirectional emergency re-
towaway operations) must be equipped flective triangles that conform to the
as follows: requirements of Federal Motor Vehicle
(a) Fire Extinguishers—(1) Minimum Safety Standard No. 125, § 571.125 of this
ratings: (i) A power unit that is used to title; or
transport hazardous materials in a (2) At least 6 fusees or 3 liquid-burn-
quantity that requires placarding (See ing flares. The vehicle must have as
§ 177.823 of this title) must be equipped many additional fusees or liquid-burn-
with a fire extinguisher having an Un- ing flares as are necessary to satisfy
derwriters’ Laboratories rating of 10
the requirements of § 392.22.
B:C or more.
(ii) A power unit that is not used to (3) Other warning devices may be
transport hazardous materials must be used in addition to, but not in lieu of,
equipped with either: the required warning devices, provided
(A) A fire extinguisher having an Un- those warning devices do not decrease
derwriters’ Laboratories rating of 5 B:C the effectiveness of the required warn-
or more; or ing devices.
(B) Two fire extinguishers, each of (g) Restrictions on the use of flame-pro-
which has an Underwriters’ Labora- ducing devices. Liquid-burning flares,
tories rating of 4 B:C or more. fusees, oil lanterns, or any signal pro-
(2) Labeling and marking. Each fire ex- duced by a flame shall not be carried
tinguisher required by this section on any commercial motor vehicle
must be labeled or marked by the man- transporting Division 1.1, 1.2, 1.3 (ex-
ufacturer with its Underwriters’ Lab- plosives) hazardous materials; any
oratories rating. cargo tank motor vehicle used for the
(3) Visual Indicators. The fire extin- transportation of Division 2.1 (flam-
guisher must be designed, constructed, mable gas) or Class 3 (flammable liq-
and maintained to permit visual deter- uid) hazardous materials whether load-
mination of whether it is fully charged. ed or empty; or any commercial motor
(4) Condition, location, and mounting. vehicle using compressed gas as a
The fire extinguisher(s) must be filled motor fuel.
and located so that it is readily acces- (h)—(i) [Reserved]
sible for use. The extinguisher(s) must
(j) Requirements for fusees and liquid-
be securely mounted to prevent sliding,
burning flares. Each fusee shall be capa-
rolling, or vertical movement relative
ble of burning for 30 minutes, and each
to the motor vehicle.
liquid-burning flare shall contain
(5) Extinguishing agents. The fire ex-
enough fuel to burn continuously for at
tinguisher must use an extinguishing
agent that does not need protection least 60 minutes. Fusees and liquid-
from freezing. Extinguishing agents burning flares shall conform to the re-
must comply with the toxicity provi- quirements of Underwriters Labora-
sions of the Environmental Protection tories, Inc., UL No. 912, Highway Emer-
Agency’s Significant New Alternatives gency Signals, Fourth Edition, July 30,
Policy (SNAP) regulations under 40 1979, (with an amendment dated No-
CFR Part 82, Subpart G. vember 9, 1981). (See § 393.7(c) for infor-
(6) Exception. This paragraph (a) does mation on the incorporation by ref-
not apply to the driven unit in a erence and availability of this docu-
driveaway-towaway operation. ment.) Each fusee and liquid-burning
(b) Spare fuses. Power units for which flare shall be marked with the UL sym-
fuses are needed to operate any re- bol in accordance with the require-
quired parts and accessories must have ments of UL 912.
at least one spare fuse for each type/ (k) Requirements for red flags. Red
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size of fuse needed for those parts and flags shall be not less than 12 inches
accessories. square, with standards adequate to

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§ 393.100 49 CFR Ch. III (10–1–07 Edition)

maintain the flags in an upright posi- (i) 0.8 g deceleration in the forward
tion. direction;
(49 U.S.C. 304, 1655; 49 CFR 1.48(b) and 301.60)
(ii) 0.5 g acceleration in the rearward
direction; and
[33 FR 19735, Dec. 25, 1968, as amended at 35 (iii) 0.5 g acceleration in a lateral di-
FR 13019, Aug. 15, 1970; 35 FR 14619, Sept. 18, rection.
1970; 37 FR 17176, Aug. 25, 1972; 40 FR 10685,
Mar. 7, 1975; 41 FR 53031, Dec. 3, 1976; 47 FR (2) Working Load Limit. Tiedown as-
47837, Oct. 28, 1982; 59 FR 34712, July 6, 1994; semblies (including chains, wire rope,
67 FR 61225, Sept. 27, 2002; 70 FR 48054, Aug. steel strapping, synthetic webbing, and
15, 2005; 72 FR 44036, Aug. 7, 2007] cordage) and other attachment or fas-
tening devices used to secure articles
Subpart I—Protection Against of cargo to, or in, commercial motor
Shifting and Falling Cargo vehicles must be designed, installed,
and maintained to ensure that the
forces acting on the devices or systems
SOURCE: 67 FR 61225, Sept. 27, 2002, unless do not exceed the working load limit
otherwise noted.
for the devices under the following con-
§ 393.100 Which types of commercial ditions, applied separately:
motor vehicles are subject to the (i) 0.435 g deceleration in the forward
cargo securement standards of this direction;
subpart, and what general require- (ii) 0.5 g acceleration in the rearward
ments apply? direction; and
(a) Applicability. The rules in this (iii) 0.25 g acceleration in a lateral di-
subpart are applicable to trucks, truck rection.
tractors, semitrailers, full trailers, and (b) Performance criteria for devices to
pole trailers. prevent vertical movement of loads that
(b) Prevention against loss of load. are not contained within the structure of
Each commercial motor vehicle must, the vehicle. Securement systems must
when transporting cargo on public provide a downward force equivalent to
roads, be loaded and equipped, and the at least 20 percent of the weight of the
cargo secured, in accordance with this article of cargo if the article is not
subpart to prevent the cargo from leak- fully contained within the structure of
ing, spilling, blowing or falling from the vehicle. If the article is fully con-
the motor vehicle. tained within the structure of the vehi-
(c) Prevention against shifting of load. cle, it may be secured in accordance
Cargo must be contained, immobilized with Sec. 393.106(b).
or secured in accordance with this sub- (c) Equivalent means of securement.
part to prevent shifting upon or within The means of securing articles of cargo
the vehicle to such an extent that the are considered to meet the perform-
vehicle’s stability or maneuverability ance requirements of this section if the
is adversely affected. cargo is ‘‘
(1) Immobilized, such so that it can-
§ 393.102 What are the minimum per- not shift or tip to the extent that the
formance criteria for cargo secure-
ment devices and systems? vehicle’s stability or maneuverability
is adversely affected; or
(a) Performance criteria—(1) Breaking (2) Transported in a sided vehicle
Strength. Tiedown assemblies (includ- that has walls of adequate strength,
ing chains, wire rope, steel strapping, such that each article of cargo within
synthetic webbing, and cordage) and the vehicle is in contact with, or suffi-
other attachment or fastening devices ciently close to a wall or other articles,
used to secure articles of cargo to, or so that it cannot shift or tip to the ex-
in, commercial motor vehicles must be tent that the vehicle’s stability or ma-
designed, installed, and maintained to neuverability is adversely affected; or
ensure that the maximum forces acting (3) Secured in accordance with the
on the devices or systems do not exceed
applicable requirements of §§ 393.104
the manufacturer’s breaking strength
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through 393.136.
rating under the following conditions,
applied separately: [71 FR 35832, June 22, 2006]

436

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Federal Motor Carrier Safety Administration, DOT § 393.104

§ 393.104 What standards must cargo must be strong enough to meet the per-
securement devices and systems formance criteria of § 393.102, with no
meet in order to satisfy the require- damaged or weakened components,
ments of this subpart? such as, but not limited to, cracks or
(a) General. All devices and systems cuts that will adversely affect their
used to secure cargo to or within a ve- performance for cargo securement pur-
hicle must be capable of meeting the poses, including reducing the working
requirements of § 393.102. load limit.
(b) Prohibition on the use of damaged (d) Material for dunnage, chocks, cra-
securement devices. All tiedowns, cargo dles, shoring bars, blocking and bracing.
securement systems, parts and compo- Material used as dunnage or dunnage
nents used to secure cargo must be in bags, chocks, cradles, shoring bars, or
proper working order when used to per- used for blocking and bracing, must
form that function with no damaged or not have damage or defects which
weakened components, such as, but not would compromise the effectiveness of
limited to, cracks or cuts that will ad- the securement system.
versely affect their performance for (e) Manufacturing standards for tie-
cargo securement purposes, including down assemblies. Tiedown assemblies
reducing the working load limit. (including chains, wire rope, steel
(c) Vehicle structures and anchor strapping, synthetic webbing, and cord-
points. Vehicle structures, floors, walls, age) and other attachment or fastening
decks, tiedown anchor points, devices used to secure articles of cargo
headerboards, bulkheads, stakes, posts, to, or in, commercial motor vehicles
and associated mounting pockets used must conform to the following applica-
to contain or secure articles of cargo ble standards:
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437

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VerDate Aug<31>2005
11:20 Nov 02, 2007

§ 393.104
An assembly component of . . . Must conform to . . .

(1) Steel strapping 1,2 .................................................... Standard Specification for Strapping, Flat Steel and Seals, American Society for Testing and Materials (ASTM) D3953–97, February
1998.4
Jkt 211213

(2) Chain ....................................................................... National Association of Chain Manufacturers’ Welded Steel Chain Specifications, dated September 28, 2005.4
(3) Webbing ................................................................... Web Sling and Tiedown Association’s Recommended Standard Specification for Synthetic Web Tiedowns, WSTDA-T1, 1998.4
(4) Wire rope 3 ............................................................... Wire Rope Technical Board’s Wire Rope Users Manual, 2nd Edition, November 1985.4
(5) Cordage ................................................................... Cordage Institute rope standard:
(i) PETRS–2, Polyester Fiber Rope, three-Strand and eight-Strand Constructions, January 1993; 4
PO 00000

(ii) PPRS–2, Polypropylene Fiber Rope, three-Strand and eight-Strand Constructions, August 1992; 4
(iii) CRS–1, Polyester/Polypropylene Composite Rope Specifications, three-Strand and eight-Strand Standard Construction, May
1979; 4
(iv) NRS–1, Nylon Rope Specifications, three-Strand and eight-Strand Standard Construction, May 1979; 4 and
(v) C–1, Double Braided Nylon Rope Specifications DBN, January 1984.4
Frm 00448

1 Steel strapping not marked by the manufacturer with a working load limit will be considered to have a working load limit equal to one-fourth of the breaking strength listed in ASTM
D3953–97.
2 Steel strapping 25.4 mm (1 inch) or wider must have at least two pairs of crimps in each seal and, when an end-over-end lap joint is formed, must be sealed with at least two seals.
3 Wire rope which is not marked by the manufacturer with a working load limit shall be considered to have a working load limit equal to one-fourth of the nominal strength listed in the
manual.
Fmt 8010

4 See § 393.7 for information on the incorporation by reference and availability of this document.
438
Sfmt 8010

49 CFR Ch. III (10–1–07 Edition)


Y:\SGML\211213.XXX
211213
Federal Motor Carrier Safety Administration, DOT § 393.108

(f) Use of tiedowns. (1) Tiedowns and (2) Articles or cargo placed beside
securing devices must not contain each other and secured by transverse
knots. tiedowns must either:
(2) If a tiedown is repaired, it must be (i) Be placed in direct contact with
repaired in accordance with the appli- each other, or
cable standards in paragraph (e) of this (ii) Be prevented from shifting to-
section, or the manufacturer’s instruc- wards each other while in transit.
tions. (d) Aggregate working load limit for
(3) Each tiedown must be attached tiedowns. The aggregate working load
and secured in a manner that prevents limit of tiedowns used to secure an ar-
it from becoming loose, unfastening, ticle or group of articles against move-
opening or releasing while the vehicle ment must be at least one-half times
is in transit. the weight of the article or group of ar-
ticles. The aggregate working load
(4) Edge protection must be used
limit is the sum of:
whenever a tiedown would be subject to
(1) One-half the working load limit of
abrasion or cutting at the point where each tiedown that goes from an anchor
it touches an article of cargo. The edge point on the vehicle to an anchor point
protection must resist abrasion, cut- on an article of cargo;
ting and crushing. (2) One-half the working load limit of
[67 FR 61225, Sept. 27, 2002, as amended at 71 each tiedown that is attached to an an-
FR 35833, June 22, 2006] chor point on the vehicle, passes
through, over, or around the article of
§ 393.106 What are the general require- cargo, and is then attached to an an-
ments for securing articles of chor point on the same side of the vehi-
cargo? cle.
(a) Applicability. The rules in this sec- (3) The working load limit for each
tion are applicable to the transpor- tiedown that goes from an anchor point
tation of all types of articles of cargo, on the vehicle, through, over, or
except commodities in bulk that lack around the article of cargo, and then
structure or fixed shape (e.g., liquids, attaches to another anchor point on
gases, grain, liquid concrete, sand, the other side of the vehicle.
gravel, aggregates) and are transported [67 FR 61225, Sept. 27, 2002, as amended at 68
in a tank, hopper, box, or similar de- FR 56208, Sept. 30, 2003; 71 FR 35833, June 22,
vice that forms part of the structure of 2006]
a commercial motor vehicle. The rules
in this section apply to the cargo types § 393.108 How is the working load
limit of a tiedown, or the load re-
covered by the commodity-specific straining value of a friction mat, de-
rules of § 393.116 through § 393.136. The termined?
commodity-specific rules take prece-
(a) The working load limit (WLL) of
dence over the general requirements of
a tiedown, associated connector or at-
this section when additional require-
tachment mechanism is the lowest
ments are given for a commodity listed
working load limit of any of its compo-
in those sections.
nents (including tensioner), or the
(b) General. Cargo must be firmly im- working load limit of the anchor points
mobilized or secured on or within a ve- to which it is attached, whichever is
hicle by structures of adequate less.
strength, dunnage or dunnage bags, (b) The working load limits of
shoring bars, tiedowns or a combina- tiedowns may be determined by using
tion of these. either the tiedown manufacturer’s
(c) Cargo placement and restraint. (1) markings or by using the tables in this
Articles of cargo that are likely to roll section. The working load limits listed
must be restrained by chocks, wedges, in the tables are to be used when the
a cradle or other equivalent means to tiedown material is not marked by the
prevent rolling. The means of pre- manufacturer with the working load
venting rolling must not be capable of limit. Tiedown materials which are
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becoming unintentionally unfastened marked by the manufacturer with


or loose while the vehicle is in transit. working load limits that differ from

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§ 393.108 49 CFR Ch. III (10–1–07 Edition)

the tables, shall be considered to have of the nominal strength listed in the
a working load limit equal to the value Wire Rope Users Manual.
for which they are marked. (2) Wire which is not marked or la-
(c) Synthetic cordage (e.g., nylon, beled to enable identification of its
polypropylene, polyester) which is not construction type shall be considered
marked or labeled to enable identifica- to have a working load limit equal to
tion of its composition or working load that for 6 × 37, fiber core wire rope.
limit shall be considered to have a (f) Manila rope which is not marked
working load limit equal to that for
by the manufacturer with a working
polypropylene fiber rope.
load limit shall be considered to have a
(d) Welded steel chain which is not
marked or labeled to enable identifica- working load limit based on its diame-
tion of its grade or working load limit ter as provided in the tables of working
shall be considered to have a working load limits.
load limit equal to that for grade 30 (g) Friction mats which are not
proof coil chain. marked or rated by the manufacturer
(e)(1) Wire rope which is not marked shall be considered to provide resist-
by the manufacturer with a working ance to horizontal movement equal to
load limit shall be considered to have a 50 percent of the weight placed on the
working load limit equal to one-fourth mat.
TABLES TO § 393.108
[Working Load Limits (WLL), Chain]

WLL in kg (pounds)
Size mm (inches) Grade 30 proof Grade 43 high Grade 70 trans- Grade 80 alloy Grade 100 alloy
coil test port

1. 7 (1/4) ................................ 580 (1,300) 1,180 (2,600) 1,430 (3,150) 1,570 (3,500) 1,950 (4,300)
2. 8 (5/16) .............................. 860 (1,900) 1,770 (3,900) 2,130 (4,700) 2,000 (4,500) 2,600 (5,700)
3. 10 (3/8) .............................. 1,200 (2,650) 2,450 (5,400) 2,990 (6,600) 3,200 (7,100) 4,000 (8,800)
4. 11 (7/16) ............................ 1,680 (3,700) 3,270 (7,200) 3,970 (8,750)
5. 13 (1/2) .............................. 2,030 (4,500) 4,170 (9,200) 5,130 (11,300) 5,400 (12,000) 6,800 (15,000)
6. 16 (5/8) .............................. 3,130 (6,900) 5,910 (13,000) 7,170 (15,800) 8,200 (18,100) 10,300 (22,600)
Chain Mark Examples:
Example 1 ...................... 3 4 7 8 10
Example 2 ...................... 30 43 70 80 100
Example 3 ...................... 300 430 700 800 1000

SYNTHETIC WEBBING MANILA ROPE—Continued


Width mm (inches) WLL kg (pounds) Diameter mm (inches) WLL kg (pounds)

45 (13⁄4) ..................................................... 790 (1,750) 11 (7/16) .................................................... 120 (265)


50 (2) ......................................................... 910 (2,000) 13 (1/2) ...................................................... 150 (315)
75 (3) ......................................................... 1,360 (3,000) 16 (5/8) ...................................................... 210 (465)
100 (4) ....................................................... 1,810 (4,000) 20 (3/4) ...................................................... 290 (640)
25 (1) ......................................................... 480 (1,050)

WIRE ROPE (6 × 37, FIBER CORE)


POLYPROPYLENE FIBER ROPE WLL (3-STRAND
Diameter mm (inches) WLL kg (pounds) AND 8-STRAND CONSTRUCTIONS)

7 (1/4) ........................................................ 640 (1,400) Diameter mm (inches) WLL kg (pounds)


8 (5/16) ...................................................... 950 (2,100)
10 (3/8) ...................................................... 1,360 (3,000) 10 (3/8) ...................................................... 180 (400)
11 (7/16) .................................................... 1,860 (4,100) 11 (7/16) .................................................... 240 (525)
13 (1/2) ...................................................... 2,400 (5,300) 13 (1/2) ...................................................... 280 (625)
16 (5/8) ...................................................... 3,770 (8,300) 16 (5/8) ...................................................... 420 (925)
20 (3/4) ...................................................... 4,940 (10,900) 20 (3/4) ...................................................... 580 (1,275)
22 (7/8) ...................................................... 7,300 (16,100) 25 (1) ......................................................... 950 (2,100)
25 (1) ......................................................... 9,480 (20,900)
POLYESTER FIBER ROPE WLL (3-STRAND AND
MANILA ROPE 8-STRAND CONSTRUCTIONS)
cprice-sewell on PROD1PC63 with CFR

Diameter mm (inches) WLL kg (pounds) Diameter mm (inches) WLL kg (pounds)

10 (3/8) ...................................................... 90 (205) 10 (3/8) ...................................................... 250 (555)

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Federal Motor Carrier Safety Administration, DOT § 393.114

POLYESTER FIBER ROPE WLL (3-STRAND AND (1) One tiedown for articles 5 feet
8-STRAND CONSTRUCTIONS)—Continued (1.52 meters) or less in length, and 1,100
pounds (500 kg) or less in weight;
Diameter mm (inches) WLL kg (pounds)
(2) Two tiedowns if the article is:
11 (7/16) .................................................... 340 (750) (i) 5 feet (1.52 meters) or less in
13 (1/2) ...................................................... 440 (960) length and more than 1,100 pounds (500
16 (5/8) ...................................................... 680 (1,500) kg) in weight; or
20 (3/4) ...................................................... 850 (1,880)
25 (1) ......................................................... 1,500 (3,300) (ii) Longer than 5 feet (1.52 meters)
but less than or equal to 10 feet (3.04
meters) in length, irrespective of the
NYLON ROPE
weight.
Diameter mm (inches) WLL kg (pounds) (3) Two tiedowns if the article is
longer than 10 feet (3.04 meters), and
10 (3/8) ...................................................... 130 (278)
11 (7/16) .................................................... 190 (410)
one additional tiedown for every 10 feet
13 (1/2) ...................................................... 240 (525) (3.04 meters) of article length, or frac-
16 (5/8) ...................................................... 420 (935) tion thereof, beyond the first 10 feet
20 (3/4) ...................................................... 640 (1,420) (3.04 meters) of length.
25 (1) ......................................................... 1,140 (2,520)
(c) If an individual article is blocked,
braced, or immobilized to prevent
DOUBLE BRAIDED NYLON ROPE movement in the forward direction by
Diameter mm (inches) WLL kg (pounds)
a headerboard, bulkhead, other articles
which are adequately secured or by an
10 (3/8) ...................................................... 150 (336) appropriate blocking or immobilization
11 (7/16) .................................................... 230 (502) method, it must be secured by at least
13 (1/2) ...................................................... 300 (655)
16 (5/8) ...................................................... 510 (1,130) one tiedown for every 3.04 meters (10
20 (3/4) ...................................................... 830 (1,840) feet) of article length, or fraction
25 (1) ......................................................... 1,470 (3,250) thereof.
(d) Special rule for special purpose vehi-
STEEL STRAPPING cles. The rules in this section do not
apply to a vehicle transporting one or
Width × thickness mm (inches) WLL kg (pounds) more articles of cargo such as, but not
31.7 × .74 (1 1/4 × 0.029) ......................... 540 (1,190) limited to, machinery or fabricated
31.7 × .79 (11⁄4 × 0.031) ............................ 540 (1,190) structural items (e.g., steel or concrete
31.7 × .89 (11⁄4 × 0.035) ............................ 540 (1,190) beams, crane booms, girders, and truss-
31.7 × 1.12 (11⁄4 × 0.044) .......................... 770 (1,690)
31.7 × 1.27 (11⁄4 × 0.05) ............................ 770 (1,690) es, etc.) which, because of their design,
31.7 × 1.5 (11⁄4 × 0.057) ............................ 870 (1,925) size, shape, or weight, must be fastened
50.8 × 1.12 (2 × 0.044) ............................. 1,200 (2,650) by special methods. However, any arti-
50.8 × 1.27 (2 × 0.05) ............................... 1,200 (2,650)
cle of cargo carried on that vehicle
must be securely and adequately fas-
§ 393.110 What else do I have to do to tened to the vehicle.
determine the minimum number of
tiedowns? [67 FR 61225, Sept. 27, 2002, as amended at 71
FR 35833, June 22, 2006]
(a) When tiedowns are used as part of
a cargo securement system, the min- § 393.112 Must a tiedown be adjust-
imum number of tiedowns required to able?
secure an article or group of articles Each tiedown, or its associated con-
against movement depends on the nectors, or its attachment mechanisms
length of the article(s) being secured, must be designed, constructed, and
and the requirements of paragraphs (b) maintained so the driver of an in-tran-
and (c) of this section. These require- sit commercial motor vehicle can
ments are in addition to the rules tighten them. However, this require-
under § 393.106. ment does not apply to the use of steel
(b) When an article is not blocked or strapping.
positioned to prevent movement in the
forward direction by a headerboard, § 393.114 What are the requirements
bulkhead, other cargo that is posi- for front end structures used as
tioned to prevent movement, or other part of a cargo securement system?
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appropriate blocking devices, it must (a) Applicability. The rules in this sec-
be secured by at least: tion are applicable to commercial

441

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§ 393.116 49 CFR Ch. III (10–1–07 Edition)

motor vehicles transporting articles of articles of cargo at least equal to, a


cargo that are in contact with the front end structure which conforms to
front end structure of the vehicle. The those requirements.
front end structure on these cargo-car-
[67 FR 61225, Sept. 27, 2002, as amended at 71
rying vehicles must meet the perform- FR 35833, June 22, 2006]
ance requirements of this section.
(b) Height and width. (1) The front end SPECIFIC SECUREMENT REQUIREMENTS
structure must extend either to a BY COMMODITY TYPE
height of 4 feet above the floor of the
vehicle or to a height at which it § 393.116 What are the rules for secur-
blocks forward movement of any item ing logs?
or article of cargo being carried on the (a) Applicability. The rules in this sec-
vehicle, whichever is lower. tion are applicable to the transpor-
(2) The front end structure must have tation of logs with the following excep-
a width which is at least equal to the tions:
width of the vehicle or which blocks
(1) Logs that are unitized by banding
forward movement of any article of
or other comparable means may be
cargo being transported on the vehicle,
transported in accordance with the
whichever is narrower.
general cargo securement rules of
(c) Strength. The front end structure
§§ 393.100 through 393.114.
must be capable of withstanding the
following horizontal forward static (2) Loads that consist of no more
load: than four processed logs may be trans-
(1) For a front end structure less than ported in accordance with the general
6 feet in height, a horizontal forward cargo securement rules of §§ 393.100
static load equal to one-half (0.5) of the through 393.114.
weight of the articles of cargo being (3) Firewood, stumps, log debris and
transported on the vehicle uniformly other such short logs must be trans-
distributed over the entire portion of ported in a vehicle or container en-
the front end structure that is within 4 closed on both sides, front, and rear
feet above the vehicle’s floor or that is and of adequate strength to contain
at or below a height above the vehicle’s them. Longer logs may also be so load-
floor at which it blocks forward move- ed.
ment of any article of the vehicle’s (b) Components of a securement system.
cargo, whichever is less; or (1) Logs must be transported on a vehi-
(2) For a front end structure 6 feet in cle designed and built, or adapted, for
height or higher, a horizontal forward the transportation of logs. Any such
static load equal to four-tenths (0.4) of vehicle must be fitted with bunks, bol-
the weight of the articles of cargo sters, stakes or standards, or other
being transported on the vehicle uni- equivalent means, that cradle the logs
formly distributed over the entire front and prevent them from rolling.
end structure. (2) All vehicle components involved
(d) Penetration resistance. The front in securement of logs must be designed
end structure must be designed, con- and built to withstand all anticipated
structed, and maintained so that it is operational forces without failure, ac-
capable of resisting penetration by any cidental release or permanent deforma-
article of cargo that contacts it when tion. Stakes or standards that are not
the vehicle decelerates at a rate of 20 permanently attached to the vehicle
feet per second, per second. The front must be secured in a manner that pre-
end structure must have no aperture vents unintentional separation from
large enough to permit any article of the vehicle in transit.
cargo in contact with the structure to (3) Tiedowns must be used in com-
pass through it. bination with the stabilization pro-
(e) Substitute devices. The require- vided by bunks, stakes, and bolsters to
ments of this section may be met by secure the load unless the logs:
the use of devices performing the same (i) are transported in a crib-type log
functions as a front end structure, if trailer (as defined in 49 CFR 393.5), and
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the devices are at least as strong as, (ii) are loaded in compliance with
and provide protection against shifting paragraphs (b)(2) and (c) of this section.

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Federal Motor Carrier Safety Administration, DOT § 393.116

(4) The aggregate working load limit must secure the highest log on each
for tiedowns used to secure a stack of side of the center stake, and must be
logs on a frame vehicle, or a flatbed ve- fastened below these logs. It may be
hicle equipped with bunks, bolsters, or fixed at each end and tensioned from
stakes must be at least one-sixth the the middle, or fixed in the middle and
weight of the stack of logs. tensioned from each end, or it may
(c) Use of securement system. (1) Logs pass through a pulley or equivalent de-
must be solidly packed, and the outer vice in the middle and be tensioned
bottom logs must be in contact with from one end.
and resting solidly against the bunks, (5) Any structure or stake that is
bolsters, stakes or standards. subjected to an upward force when the
(2) Each outside log on the side of a tiedowns are tensioned must be an-
stack of logs must touch at least two chored to resist that force.
stakes, bunks, bolsters, or standards. If (6) If two stacks of shortwood are
one end does not actually touch a loaded side-by-side, in addition to
stake, it must rest on other logs in a meeting the requirements of para-
stable manner and must extend beyond graphs (d)(1) through (d)(5) of this sec-
the stake, bunk, bolster or standard. tion, they must be loaded so that:
(3) The center of the highest outside (i) There is no space between the two
log on each side or end must be below stacks of logs;
the top of each stake, bunk or stand- (ii) The outside of each stack is
ard. raised at least 2.5 cm (1 in) within 10
(4) Each log that is not held in place cm (4 in) of the end of the logs or the
by contact with other logs or the side of the vehicle;
stakes, bunks, or standards must be (iii) The highest log is no more than
held in place by a tiedown. Additional 2.44 m (8 ft) above the deck; and
tiedowns or securement devices must (iv) At least one tiedown is used
be used when the condition of the wood lengthwise across each stack of logs.
results in such low friction between (e) Securement of logs loaded lengthwise
logs that they are likely to slip upon on flatbed and frame vehicles—(1)
each other. Shortwood. In addition to meeting the
(d) Securement of shortwood logs loaded requirements of paragraphs (b) and (c)
crosswise on frame, rail and flatbed vehi- of this section, each stack of shortwood
cles. In addition to the requirements of loaded lengthwise on a frame vehicle or
paragraphs (b) and (c) of this section, on a flatbed must be cradled in a bunk
each stack of logs loaded crosswise unit or contained by stakes and
must meet the following rules: (i) Secured to the vehicle by at least
(1) In no case may the end of a log in two tiedowns, or
the lower tier extend more than one- (ii) If all the logs in any stack are
third of the log’s total length beyond blocked in the front by a front-end
the nearest supporting structure on the structure strong enough to restrain the
vehicle. load, or by another stack of logs, and
(2) When only one stack of shortwood blocked in the rear by another stack of
is loaded crosswise, it must be secured logs or vehicle end structure, the stack
with at least two tiedowns. The may be secured with one tiedown. If
tiedowns must attach to the vehicle one tiedown is used, it must be posi-
frame at the front and rear of the load, tioned about midway between the
and must cross the load in this direc- stakes, or
tion. (iii) Be bound by at least two tie-
(3) When two tiedowns are used, they down-type devices such as wire rope,
must be positioned at approximately used as wrappers that encircle the en-
one-third and two-thirds of the length tire load at locations along the load
of the logs. that provide effective securement. If
(4) A vehicle that is more than 10 me- wrappers are being used to bundle the
ters (33 feet) long must be equipped logs together, the wrappers are not re-
with center stakes, or comparable de- quired to be attached to the vehicle.
vices, to divide it into sections ap- (2) Longwood. Longwood must be cra-
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proximately equal in length. Where a dled in two or more bunks and must ei-
vehicle is so divided, each tiedown ther:

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§ 393.118 49 CFR Ch. III (10–1–07 Edition)

(i) Be secured to the vehicle by at cordance with the general provisions of


least two tiedowns at locations that §§ 393.100 through 393.114.
provide effective securement, or (d) Securement of bundles transported
(ii) Be bound by at least two tiedown- using more than one tier. Bundles car-
type devices, such as wire rope, used as ried in more than one tier must be ei-
wrappers that encircle the entire load ther:
at locations along the load that pro- (1) Blocked against lateral movement
vide effective securement. If a wrap- by stakes on the sides of the vehicle
per(s) is being used to bundle the logs and secured by tiedowns laid out over
together, the wrapper is not required the top tier, as outlined in the general
to be attached to the vehicle. provisions of §§ 393.100 through 393.114;
(f) Securement of logs transported on or
pole trailers. (1) The load must be se- (2) Restrained from lateral move-
cured by at least one tiedown at each ment by blocking or high friction de-
bunk, or alternatively, by at least two vices between tiers and secured by
tiedowns used as wrappers that encir- tiedowns laid out over the top tier, as
cle the entire load at locations along outlined in the general provisions of
the load that provide effective secure- §§ 393.100 through 393.114; or
ment. (3) Placed directly on top of other
(2) The front and rear wrappers must bundles or on spacers and secured in
be at least 3.04 meters (10 feet) apart. accordance with the following:
(3) Large diameter single and double (i) The length of spacers between
log loads must be immobilized with bundles must provide support to all
chock blocks or other equivalent pieces in the bottom row of the bundle.
means to prevent shifting. (ii) The width of individual spacers
(4) Large diameter logs that rise must be equal to or greater than the
above bunks must be secured to the un- height.
derlying load with at least two addi- (iii) If spacers are comprised of layers
tional wrappers. of material, the layers must be unit-
ized or fastened together in a manner
[67 FR 61225, Sept. 27, 2002, as amended at 71 which ensures that the spacer performs
FR 35833, June 22, 2006] as a single piece of material.
(iv) The arrangement of the tiedowns
§ 393.118 What are the rules for secur- for the bundles must be:
ing dressed lumber or similar build-
ing products? (A) Secured by tiedowns over the top
tier of bundles, in accordance with the
(a) Applicability. The rules in this sec- general provisions of §§ 393.100 through
tion apply to the transportation of 393.114 with a minimum of two
bundles of dressed lumber, packaged tiedowns for bundles longer than 1.52
lumber, building products such as ply- meters (5 ft); and
wood, gypsum board or other materials (B) Secured by tiedowns as follows:
of similar shape. Lumber or building (1) If there are 3 tiers, the middle and
products which are not bundled or top bundles must be secured by
packaged must be treated as loose tiedowns in accordance with the gen-
items and transported in accordance eral provisions of §§ 393.100 through
with §§ 393.100 through 393.114 of this 393.114; or
subpart. For the purpose of this sec- (2)(I) If there are more than 3 tiers,
tion, ‘‘bundle’’ refers to packages of then one of the middle bundles and the
lumber, building materials or similar top bundle must be secured by tiedown
products which are unitized for secure- devices in accordance with the general
ment as a single article of cargo. provision of §§ 393.100 through 393.114,
(b) Positioning of bundles. Bundles and the maximum height for the mid-
must be placed side by side in direct dle tier that must be secured may not
contact with each other, or a means exceed 6 feet about the deck of the
must be provided to prevent bundles trailer; or
from shifting towards each other. (ii) Otherwise, the second tier from
(c) Securement of bundles transported the bottom must be secured in accord-
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using no more than one tier. Bundles car- ance with the general provisions of
ried on one tier must be secured in ac- §§ 393.100 through 393.114; or

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Federal Motor Carrier Safety Administration, DOT § 393.120

(4) Secured by tiedowns over each a transverse or longitudinal row, the


tier of bundles, in accordance with each row of coils must be secured by
§§ 393.100 through 393.114 using a min- the following:
imum of two tiedowns over each of the (i) At least one tiedown attached to
top bundles longer than 1.52 meters (5 the front of the row of coils, restrain-
ft), in all circumstances; or ing against forward motion, and when-
(5) When loaded in a sided vehicle or ever practicable, making an angle no
container of adequate strength, dressed more than 45 degrees with the floor of
lumber or similar building products the vehicle or intermodal container
may be secured in accordance with the when viewed from the side of the vehi-
general provisions of §§ 393.100 through cle or container;
393.114. (ii) At least one tiedown attached to
[67 FR 61225, Sept. 27, 2002, as amended at 71 the rear of the row of coils, restraining
FR 35834, June 22, 2006] against rearward motion, and whenever
practicable, making an angle no more
§ 393.120 What are the rules for secur- than 45 degrees with the floor of the ve-
ing metal coils? hicle or intermodal container when
(a) Applicability. The rules in this sec- viewed from the side of the vehicle or
tion apply to the transportation of one container;
or more metal coils which, individually (iii) At least one tiedown over the top
or grouped together, weigh 2268 kg (5000 of each coil or transverse row of coils,
pounds) or more. Shipments of metal restraining against vertical motion.
coils that weigh less than 2268 kg (5000 Tiedowns going over the top of a coil(s)
pounds) may be secured in accordance must be as close as practicable to the
with the provisions of §§ 393.100 through eye of the coil and positioned to pre-
393.114. vent the tiedown from slipping or be-
(b) Securement of coils transported with coming unintentionally unfastened
eyes vertical on a flatbed vehicle, in a while the vehicle is in transit; and
sided vehicle or intermodal container with (iv) Tiedowns must be arranged to
anchor points—(1) An individual coil. prevent shifting or tipping in the for-
Each coil must be secured by tiedowns ward, rearward and lateral directions.
arranged in a manner to prevent the (c) Securement of coils transported with
coils from tipping in the forward, rear- eyes crosswise on a flatbed vehicle, in a
ward, and lateral directions. The re- sided vehicle or intermodal container with
straint system must include the fol- anchor points—(1) An individual coil.
lowing: Each coil must be secured by the fol-
(i) At least one tiedown attached di- lowing:
agonally from the left side of the vehi- (i) A means (e.g., timbers, chocks or
cle or intermodal container (near the wedges, a cradle, etc.) to prevent the
forwardmost part of the coil), across coil from rolling. The means of pre-
the eye of the coil, to the right side of venting rolling must support the coil
the vehicle or intermodal container off the deck, and must not be capable
(near the rearmost part of the coil); of becoming unintentionally unfas-
(ii) At least one tiedown attached di- tened or loose while the vehicle is in
agonally from the right side of the ve- transit. If timbers, chocks or wedges
hicle or intermodal container (near the are used, they must be held in place by
forwardmost part of the coil), across coil bunks or similar devices to pre-
the eye of the coil, to the left side of vent them from coming loose. The use
the vehicle or intermodal container of nailed blocking or cleats as the sole
(near the rearmost part of the coil); means to secure timbers, chocks or
(iii) At least one tiedown attached wedges, or a nailed wood cradle, is pro-
transversely over the eye of the coil; hibited;
and (ii) At least one tiedown through its
(iv) Either blocking and bracing, fric- eye, restricting against forward mo-
tion mats or tiedowns must be used to tion, and whenever practicable, making
prevent longitudinal movement in the an angle no more than 45 degrees with
forward direction. the floor of the vehicle or intermodal
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(2) Coils grouped in rows. When coils container when viewed from the side of
are grouped and loaded side by side in the vehicle or container; and

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§ 393.120 49 CFR Ch. III (10–1–07 Edition)

(iii) At least one tiedown through its (iv) At least one tiedown attached
eye, restricting against rearward mo- transversely over the top of the coil;
tion, and whenever practicable, making and
an angle no more than 45 degrees with (v) Either blocking, or friction mats
the floor of the vehicle or intermodal to prevent longitudinal movement.
container when viewed from the side of (2) An individual coil—option 2. Each
the vehicle or container. coil must be secured by:
(2) Prohibition on crossing of tiedowns (i) A means (e.g., timbers, chocks or
when coils are transported with eyes wedges, a cradle, etc.) to prevent the
crosswise. Attaching tiedowns diago- coil from rolling. The means of pre-
nally through the eye of a coil to form venting rolling must support the coil
an X-pattern when viewed from above off the deck, and must not be capable
the vehicle is prohibited. of becoming unintentionally unfas-
(d) Securement of coils transported with tened or loose while the vehicle is in
eyes lengthwise on a flatbed vehicle, in a transit. If timbers, chocks or wedges
sided vehicle or intermodal container with are used, they must be held in place by
anchor points—(1) An individual coil-op- coil bunks or similar devices to pre-
tion 1. Each coil must be secured by: vent them from coming loose. The use
(i) A means (e.g., timbers, chocks or of nailed blocking or cleats as the sole
wedges, a cradle, etc.) to prevent the means to secure timbers, chocks or
coil from rolling. The means of pre- wedges, or a nailed wood cradle, is pro-
venting rolling must support the coil hibited;
off the deck, and must not be capable (ii) At least one tiedown attached
of becoming unintentionally unfas- straight through its eye from the left
tened or loose while the vehicle is in side of the vehicle or intermodal con-
transit. If timbers, chocks or wedges tainer (near the forward-most part of
the coil), to the left side of the vehicle
are used, they must be held in place by
or intermodal container (near the rear-
coil bunks or similar devices to pre-
most part of the coil), and, whenever
vent them from coming loose. The use
practicable, making an angle no more
of nailed blocking or cleats as the sole than 45 degrees with the floor of the ve-
means to secure timbers, chocks or hicle or intermodal container when
wedges, or a nailed wood cradle, is pro- viewed from the side of the vehicle or
hibited; container;
(ii) At least one tiedown attached di- (iii) At least one tiedown attached
agonally through its eye from the left straight through its eye, from the right
side of the vehicle or intermodal con- side of the vehicle or intermodal con-
tainer (near the forward-most part of tainer (near the forward-most part of
the coil), to the right side of the vehi- the coil), to the right side of the vehi-
cle or intermodal container (near the cle or intermodal container (near the
rearmost part of the coil), making an rearmost part of the coil), and when-
angle no more than 45 degrees, when- ever practicable, making an angle no
ever practicable, with the floor of the more than 45 degrees with the floor of
vehicle or intermodal container when the vehicle or intermodal container
viewed from the side of the vehicle or when viewed from the side of the vehi-
container; cle or container;
(iii) At least one tiedown attached di- (iv) At least one tiedown attached
agonally through its eye, from the transversely over the top of the coil;
right side of the vehicle or intermodal and
container (near the forward-most part (v) Either blocking or friction mats
of the coil), to the left side of the vehi- to prevent longitudinal movement.
cle or intermodal container (near the (3) An individual coil—option 3. Each
rearmost part of the coil), making an coil must be secured by:
angle no more than 45 degrees, when- (i) A means (e.g., timbers, chocks or
ever practicable, with the floor of the wedges, a cradle, etc.) to prevent the
vehicle or intermodal container when coil from rolling. The means of pre-
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viewed from the side of the vehicle or venting rolling must support the coil
container; off the deck, and must not be capable

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Federal Motor Carrier Safety Administration, DOT § 393.122

of becoming unintentionally unfas- these to prevent any horizontal move-


tened or loose while the vehicle is in ment and tipping.
transit. If timbers, chocks or wedges
are used, they must be held in place by § 393.122 What are the rules for secur-
coil bunks or similar devices to pre- ing paper rolls?
vent them from coming loose. The use (a) Applicability. The rules in this sec-
of nailed blocking or cleats as the sole tion apply to shipments of paper rolls
means to secure timbers, chocks or which, individually or together, weigh
wedges, or a nailed wood cradle, is pro- 2268 kg (5000 lb) or more. Shipments of
hibited; paper rolls that weigh less than 2268 kg
(ii) At least one tiedown over the top (5000 lb), and paper rolls that are unit-
of the coil, located near the forward- ized on a pallet, may either be secured
most part of the coil; in accordance with the rules in this
(iii) At least one tiedown over the top section or the requirements of §§ 393.100
of the coil located near the rearmost through 393.114.
part of the coil; and (b) Securement of paper rolls trans-
(iv) Either blocking or friction mats ported with eyes vertical in a sided vehi-
to prevent longitudinal movement.he cle. (1) Paper rolls must be placed
forward direction. tightly against the walls of the vehicle,
other paper rolls, or other cargo, to
(4) Rows of coils. Each transverse row
prevent movement during transit.
of coils having approximately equal
(2) If there are not enough paper rolls
outside diameters must be secured
in the shipment to reach the walls of
with: the vehicle, lateral movement must be
(i) A means (e.g., timbers, chocks or prevented by filling the void, blocking,
wedges, a cradle, etc.) to prevent each bracing, tiedowns or friction mats. The
coil in the row of coils from rolling. paper rolls may also be banded to-
The means of preventing rolling must gether.
support each coil off the deck, and (3) When any void behind a group of
must not be capable of becoming unin- paper rolls, including that at the rear
tentionally unfastened or loose while of the vehicle, exceeds the diameter of
the vehicle is in transit. If timbers, the paper rolls, rearward movement
chocks or wedges are used, they must must be prevented by friction mats,
be held in place by coil bunks or simi- blocking, bracing, tiedowns, or banding
lar devices to prevent them from com- to other rolls.
ing loose. The use of nailed blocking or (4)(i) If a paper roll is not prevented
cleats as the sole means to secure tim- from tipping or falling sideways or
bers, chocks or wedges, or a nailed rearwards by vehicle structure or other
wood cradle, is prohibited; cargo, and its width is more than 2
(ii) At least one tiedown over the top times its diameter, it must be pre-
of each coil or transverse row, located vented from tipping or falling by band-
near the forward-most part of the coil; ing it to other rolls, bracing, or
(iii) At least one tiedown over the top tiedowns.
of each coil or transverse row, located (ii) If the forwardmost roll(s) in a
near the rearmost part of the coil; and group of paper rolls has a width greater
(iv) Either blocking, bracing or fric- than 1.75 times its diameter and it is
tion mats to prevent longitudinal not prevented from tipping or falling
movement. forwards by vehicle structure or other
(e) Securement of coils transported in a cargo, then it must be prevented from
sided vehicle without anchor points or an tipping or falling forwards by banding
intermodal container without anchor it to other rolls, bracing, or tiedowns.
points. Metal coils transported in a ve- (iii) If the forwardmost roll(s) in a
hicle with sides without anchor points group of paper rolls has a width equal
or an intermodal container without an- to or less than 1.75 times its diameter,
chor points must be loaded in a manner and it is restrained against forward
to prevent shifting and tipping. The movement by friction mat(s) alone,
coils may also be secured using a sys- then banding, bracing, or tiedowns are
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tem of blocking and bracing, friction not required to prevent tipping or fall-
mats, tiedowns, or a combination of ing forwards.

447

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§ 393.122 49 CFR Ch. III (10–1–07 Edition)

(iv) If a paper roll or the forwardmost vented from rolling or shifting longitu-
roll in a group of paper rolls has a dinally by contact with vehicle struc-
width greater than 1.25 times its di- ture or other cargo, by chocks, wedges
ameter, and it is not prevented from or blocking and bracing of adequate
tipping or falling forwards by vehicle size, or by tiedowns.
structure or other cargo, and it is not (2) Chocks, wedges or blocking must
restrained against forward movement be held securely in place by some
by friction mat(s) alone, then it must means in addition to friction, so they
be prevented from tipping or falling by cannot become unintentionally unfas-
banding it to other rolls, bracing or tened or loose while the vehicle is in
tiedowns. transit.
(5) If paper rolls are banded together, (3) The rearmost roll must not be se-
the rolls must be placed tightly against cured using the rear doors of the vehi-
each other to form a stable group. The cle or intermodal container, or by
bands must be applied tightly, and blocking held in place by those doors.
must be secured so that they cannot (4) If there is more than a total of 203
fall off the rolls or to the deck. mm (8 in) of space between the ends of
(6) A friction mat used to provide the a paper roll, or a row of rolls, and the
principal securement for a paper roll walls of the vehicle, void fillers, block-
must protrude from beneath the roll in ing, bracing, friction mats, or tiedowns
the direction in which it is providing must be used to prevent the roll from
that securement. shifting towards either wall.
(c) Securement of split loads of paper (f) Securement of stacked loads of paper
rolls transported with eyes vertical in a rolls transported with eyes crosswise in a
sided vehicle. (1) If a paper roll in a split sided vehicle. (1) Rolls must not be load-
load is not prevented from forward ed in a second layer unless the bottom
movement by vehicle structure or layer extends to the front of the vehi-
other cargo, it must be prevented from cle.
forward movement by filling the open (2) Rolls must not be loaded in a
space, or by blocking, bracing, third or higher layer unless all wells in
tiedowns, friction mats, or some com- the layer beneath are filled.
bination of these. (3) The foremost roll in each upper
(2) A friction mat used to provide the layer, or any roll with an empty well in
principal securement for a paper roll front of it, must be secured against for-
must protrude from beneath the roll in ward movement by:
the direction in which it is providing (i) Banding it to other rolls, or
that securement. (ii) Blocking against an adequately
(d) Securement of stacked loads of paper secured eye-vertical blocking roll rest-
rolls transported with eyes vertical in a ing on the floor of the vehicle which is
sided vehicle. (1) Paper rolls must not be at least 1.5 times taller than the di-
loaded on a layer of paper rolls beneath ameter of the roll being blocked, or
unless the lower layer extends to the (iii) Placing it in a well formed by
front of the vehicle. two rolls on the lower row whose di-
(2) Paper rolls in the second and sub- ameter is equal to or greater than that
sequent layers must be prevented from of the roll on the upper row.
forward, rearward or lateral movement (4) The rearmost roll in each upper
by means as allowed for the bottom layer must be secured by banding it to
layer, or by use of a blocking roll from other rolls if it is located in either of
a lower layer. the last two wells formed by the rear-
(3) The blocking roll must be at least most rolls in the layer below.
38 mm (1.5 in) taller than other rolls, or (5) Rolls must be secured against lat-
must be raised at least 38 mm (1.5 in) eral movement by the same means al-
using dunnage. lowed for the bottom layer when there
(4) A roll in the rearmost row of any is more than a total of 203 mm (8 in) of
layer raised using dunnage may not be space between the ends of a paper roll,
secured by friction mats alone. or a row of rolls, and the walls of the
(e) Securement of paper rolls trans- vehicle.
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ported with eyes crosswise in a sided vehi- (g) Securement of paper rolls trans-
cle. (1) The paper rolls must be pre- ported with the eyes lengthwise in a sided

448

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Federal Motor Carrier Safety Administration, DOT § 393.124

vehicle. (1) Each roll must be prevented §§ 393.100 through 393.114 to prevent lat-
from forward movement by contact eral movement.
with vehicle structure, other cargo, [67 FR 61225, Sept. 27, 2002, as amended at 71
blocking or tiedowns. FR 35834, June 22, 2006]
(2) Each roll must be prevented from
rearward movement by contact with § 393.124 What are the rules for secur-
other cargo, blocking, friction mats or ing concrete pipe?
tiedowns. (a) Applicability. (1) The rules in this
(3) The paper rolls must be prevented section apply to the transportation of
from rolling or shifting laterally by concrete pipe on flatbed trailers and
contact with the wall of the vehicle or vehicles, and lowboy trailers.
other cargo, or by chocks, wedges or (2) Concrete pipe bundled tightly to-
blocking of adequate size. gether into a single rigid article that
(4) Chocks, wedges or blocking must has no tendency to roll, and concrete
be held securely in place by some pipe loaded in a sided vehicle or con-
means in addition to friction, so they tainer must be secured in accordance
cannot become unintentionally unfas- with the provisions of §§ § 393.100
tened or loose while the vehicle is in through 393.114.
transit. (b) General specifications for tiedowns.
(h) Securement of stacked loads of (1) The aggregate working load limit of
paper rolls transported with the eyes all tiedowns on any group of pipes
lengthwise in a sided vehicle. (1) Rolls must not be less than half the total
must not be loaded in a higher layer if weight of all the pipes in the group.
another roll will fit in the layer be- (2) A transverse tiedown through a
neath. pipe on an upper tier or over longitu-
(2) An upper layer must be formed by dinal tiedowns is considered to secure
placing paper rolls in the wells formed all those pipes beneath on which that
by the rolls beneath. tiedown causes pressure.
(3) A roll in an upper layer must be (c) Blocking. (1) Blocking may be one
secured against forward and rearward or more pieces placed symmetrically
movement by any of the means allowed about the center of a pipe.
for the bottom layer, by use of a block- (2) One piece must extend at least
ing roll, or by banding to other rolls. half the distance from the center to
(i) Securement of paper rolls trans- each end of the pipe, and two pieces
ported on a flatbed vehicle or in a cur- must be placed on the opposite side,
tain-sided vehicle—(1) Paper rolls with one at each end of the pipe.
eyes vertical or with eyes lengthwise. (3) Blocking must be placed firmly
(i) The paper rolls must be loaded and against the pipe, and must be secured
secured as described for a sided vehicle, to prevent it moving out from under
and the entire load must be secured by the pipe.
tiedowns in accordance with the re- (4) Timber blocking must have min-
quirements of §§ 393.100 through 393.114. imum dimensions of at least 10 × 15 cm
(ii) Stacked loads of paper rolls with (4 × 6 in).
eyes vertical are prohibited. (d) Arranging the load—(1) Pipe of dif-
(2) Paper rolls with eyes crosswise. (i) ferent diameter. If pipe of more than one
The paper rolls must be prevented from diameter are loaded on a vehicle,
rolling or shifting longitudinally by groups must be formed that consist of
contact with vehicle structure or other pipe of only one size, and each group
cargo, by chocks, wedges or blocking must be separately secured.
and bracing of adequate size, or by (2) Arranging a bottom tier. The bot-
tiedowns. tom tier must be arranged to cover the
(ii) Chocks, wedges or blocking must full length of the vehicle, or as a par-
be held securely in place by some tial tier in one group or two groups.
means in addition to friction so that (3) Arranging an upper tier. Pipe must
they cannot become unintentionally be placed only in the wells formed by
unfastened or loose while the vehicle is adjacent pipes in the tier beneath. A
in transit. third or higher tier must not be started
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(iii) Tiedowns must be used in ac- unless all wells in the tier beneath are
cordance with the requirements of filled.

449

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§ 393.124 49 CFR Ch. III (10–1–07 Edition)

(4) Arranging the top tier. The top tier (ii) If each pipe is not secured indi-
must be arranged as a complete tier, a vidually with a tiedown, then:
partial tier in one group, or a partial (A) Either one 1/2-inch diameter
tier in two groups. chain or wire rope, or two 3/8-inch di-
(5) Arranging bell pipe. (i) Bell pipe ameter chain or wire rope, must be
must be loaded on at least two longitu- placed longitudinally over the group of
dinal spacers of sufficient height to en- pipes;
sure that the bell is clear of the deck. (B) One transverse tiedown must be
(ii) Bell pipe loaded in one tier must used for every 3.04 m (10 ft) of load
have the bells alternating on opposite length. The transverse tiedowns may
sides of the vehicle. be placed through a pipe, or over both
(iii) The ends of consecutive pipe longitudinal tiedowns between two
must be staggered, if possible, within pipes on the top tier.
the allowable width, otherwise they (C) If the first pipe of a group in the
must be aligned. top tier is not placed in the first well
(iv) Bell pipe loaded in more than one formed by pipes at the front of the tier
tier must have the bells of the bottom beneath, it must be secured by an addi-
tier all on the same side of the vehicle. tional tiedown that runs rearward at
(v) Pipe in every upper tier must be an angle not more than 45 degrees to
loaded with bells on the opposite side the horizontal, whenever practicable.
of the vehicle to the bells of the tier This tiedown must pass either through
below. the front pipe of the upper tier, or out-
side it and over both longitudinal
(vi) If the second tier is not complete,
tiedowns; and
pipe in the bottom tier which do not
(D) If the last pipe of a group in the
support a pipe above must have their
top tier is not placed in the last well
bells alternating on opposite sides of
formed by pipes at the rear of the tier
the vehicle.
beneath, it must be secured by an addi-
(a) Securing pipe with an inside diame-
tional tiedown that runs forward at an
ter up to 1,143 mm (45 in). In addition to
angle not more than 45 degrees to the
the requirements of paragraphs (b), (c)
horizontal, whenever practicable. This
and (d) of this section, the following
tiedown must pass either through the
rules must be satisfied:
rear pipe of the upper tier or outside it
(1) Stabilizing the bottom tier. (i) The and over both longitudinal tiedowns.
bottom tier must be immobilized longi- (f) Securing large pipe, with an inside
tudinally at each end by blocking, ve- diameter over 1143 mm (45 in). In addition
hicle end structure, stakes, a locked to the requirements of paragraphs (b),
pipe unloader, or other equivalent (c) and (d) of this section, the following
means. rules must be satisfied:
(ii) Other pipe in the bottom tier may (1) The front pipe and the rear pipe
also be held in place by blocks and/or must be immobilized by blocking,
wedges; and wedges, vehicle end structure, stakes,
(iii) Every pipe in the bottom tier locked pipe unloader, or other equiva-
must also be held firmly in contact lent means.
with the adjacent pipe by tiedowns (2) Each pipe must be secured by
though the front and rear pipes: tiedowns through the pipe:
(A) At least one tiedown through the (i) At least one tiedown through each
front pipe of the bottom tier must run pipe in the front half of the load, which
aft at an angle not more than 45 de- includes the middle one if there is an
grees with the horizontal, whenever odd number, and must run rearward at
practicable. an angle not more than 45 degrees with
(B) At least one tiedown through the the horizontal, whenever practicable.
rear pipe of the bottom tier must run (ii) At least one tiedown through
forward at an angle not more than 45 each pipe in the rear half of the load,
degrees with the horizontal, whenever and must run forward at an angle not
practicable. more than 45 degrees with the hori-
(2) Use of tiedowns. (i) Each pipe may zontal, whenever practicable, to hold
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be secured individually with tiedowns each pipe firmly in contact with adja-
through the pipe. cent pipe; and

450

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Federal Motor Carrier Safety Administration, DOT § 393.128

(iii) If the front or rear pipe is not (3) The front and rear of the con-
also in contact with vehicle end struc- tainer must be secured independently.
ture, stakes, a locked pipe unloader, or Each chain, wire rope, or integral lock-
other equivalent means, at least two ing device must be attached to the con-
tiedowns positioned as described in tainer in a manner that prevents it
paragraphs (f)(2)(i) and (ii) of this sec- from being unintentionally unfastened
tion, must be used through that pipe. while the vehicle is in transit.
(3) If only one pipe is transported, or (d) Securement of empty intermodal
if several pipes are transported without containers transported on vehicles other
contact between other pipes, the re- than container chassis vehicle(s). Empty
quirements in this paragraph apply to intermodal containers transported on
each pipe as a single front and rear ar- vehicles other than container chassis
ticle. vehicles do not have to have all lower
corners of the intermodal container
§ 393.126 What are the rules for secur- resting upon the vehicle, or have all
ing intermodal containers? lower corners supported by a structure
(a) Applicability. The rules in this capable of bearing the weight of the
section apply to the transportation of empty container, provided:
intermodal containers. Cargo con- (1) The empty intermodal container
tained within an intermodal container is balanced and positioned on the vehi-
must be secured in accordance with the cle in a manner such that the con-
provisions of §§ 393.100 through 393.114 tainer is stable before the addition of
or, if applicable, the commodity spe- tiedowns or other securement equip-
cific rules of this part. ment; and,
(2) The amount of overhang for the
(b) Securement of intermodal containers
empty container on the trailer does not
transported on container chassis vehi-
exceed five feet on either the front or
cle(s). (1) All lower corners of the inter-
rear of the trailer;
modal container must be secured to the
(3) The empty intermodal container
container chassis with securement de-
must not interfere with the vehicle’s
vices or integral locking devices that
maneuverability; and,
cannot unintentionally become unfas- (4) The empty intermodal container
tened while the vehicle is in transit. is secured to prevent lateral, longitu-
(2) The securement devices must re- dinal, or vertical shifting.
strain the container from moving more
than 1.27 cm (1/2 in) forward, more than [67 FR 61225, Sept. 27, 2002, as amended at 71
1.27 cm (1/2 in) aft, more than 1.27 cm FR 35834, June 22, 2006]
(1/2 in) to the right, more than 1.27 cm § 393.128 What are the rules for secur-
(1/2 in) to the left, or more than 2.54 cm ing automobiles, light trucks and
(1 in) vertically. vans?
(3) The front and rear of the con- (a) Applicability. The rules in this sec-
tainer must be secured independently. tion apply to the transportation of
(c) Securement of loaded intermodal automobiles, light trucks, and vans
containers transported on vehicles other which individually weigh 4,536 kg.
than container chassis vehicle(s). (1) All (10,000 lb) or less. Vehicles which indi-
lower corners of the intermodal con- vidually are heavier than 4,536 kg
tainer must rest upon the vehicle, or (10,000 lb) must be secured in accord-
the corners must be supported by a ance with the provisions of § 393.130 of
structure capable of bearing the weight this part.
of the container and that support (b) Securement of automobiles, light
structure must be independently se- trucks, and vans. (1) Automobiles, light
cured to the motor vehicle. trucks, and vans must be restrained at
(2) Each container must be secured to both the front and rear to prevent lat-
the vehicle by: eral, forward, rearward, and vertical
(i) Chains, wire ropes or integral de- movement using a minimum of two
vices which are fixed to all lower cor- tiedowns.
ners; or (2) Tiedowns that are designed to be
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(ii) Crossed chains which are fixed to affixed to the structure of the auto-
all upper corners; and, mobile, light truck, or van must use

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§ 393.130 49 CFR Ch. III (10–1–07 Edition)

the mounting points on those vehicles hicles such as automobiles, light


that have been specifically designed for trucks, and vans that have been flat-
that purpose. tened or crushed.
(3) Tiedowns that are designed to fit (b) Prohibition on the use of synthetic
over or around the wheels of an auto- webbing. The use of synthetic webbing
mobile, light truck, or van must pro- to secure flattened or crushed vehicles
vide restraint in the lateral, longitu- is prohibited except that such webbing
dinal and vertical directions. may be used to connect wire rope or
(4) Edge protectors are not required chain to anchor points on the commer-
for synthetic webbing at points where cial motor vehicle. However, the web-
the webbing comes in contact with the bing (regardless of whether edge pro-
tires. tection is used) must not come into
contact with the flattened or crushed
§ 393.130 What are the rules for secur- cars.
ing heavy vehicles, equipment and
machinery? (c) Securement of flattened or crushed
vehicles. Flattened or crushed vehicles
(a) Applicability. The rules in this sec- must be transported on vehicles which
tion apply to the transportation of have:
heavy vehicles, equipment and machin- (1) Containment walls or comparable
ery which operate on wheels or tracks, means on four sides which extend to
such as front end loaders, bulldozers, the full height of the load and which
tractors, and power shovels and which block against movement of the cargo
individually weigh 4,536 kg (10,000 lb.) in the forward, rearward and lateral di-
or more. Vehicles, equipment and ma- rections; or
chinery which is lighter than 4,536 kg
(2)(i) Containment walls or com-
(10,000 lb.) may also be secured in ac-
parable means on three sides which ex-
cordance with the provisions of this
tend to the full height of the load and
section, with § 393.128, or in accordance
which block against movement of the
with the provisions of §§ 393.100 through
cargo in the direction for which there
393.114.
is a containment wall or comparable
(b) Preparation of equipment being means, and
transported. (1) Accessory equipment,
(ii) A minimum of two tiedowns are
such as hydraulic shovels, must be
required per vehicle stack; or
completely lowered and secured to the
vehicle. (3)(i) Containment walls on two sides
(2) Articulated vehicles shall be re- which extend to the full height of the
strained in a manner that prevents ar- load and which block against move-
ticulation while in transit. ment of the cargo in the forward and
(c) Securement of heavy vehicles, equip- rearward directions, and
ment or machinery with crawler tracks or (ii) A minimum of three tiedowns are
wheels. (1) In addition to the require- required per vehicle stack; or
ments of paragraph (b) of this section, (4) A minimum of four tiedowns per
heavy equipment or machinery with vehicle stack.
crawler tracks or wheels must be re- (5) In addition to the requirements of
strained against movement in the lat- paragraphs (c)(2), (3), and (4), the fol-
eral, forward, rearward, and vertical di- lowing rules must be satisfied:
rection using a minimum of four (i) Vehicles used to transport flat-
tiedowns. tened or crushed vehicles must be
(2) Each of the tiedowns must be af- equipped with a means to prevent liq-
fixed as close as practicable to the uids from leaking from the bottom of
front and rear of the vehicle, or mount- the vehicle, and loose parts from fall-
ing points on the vehicle that have ing from the bottom and all four sides
been specifically designed for that pur- of the vehicle extending to the full
pose. height of the cargo.
(ii) The means used to contain loose
§ 393.132 What are the rules for secur- parts may consist of structural walls,
ing flattened or crushed vehicles? sides or sideboards, or suitable cov-
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(a) Applicability. The rules in this sec- ering material, alone or in combina-
tion apply to the transportation of ve- tions.

452

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Federal Motor Carrier Safety Administration, DOT § 393.136

(iii) The use of synthetic material for regularly shaped rock weighing in ex-
containment of loose parts is per- cess of 5,000 kg (11,000 lb.) or with a vol-
mitted. ume in excess of 2 cubic-meters on an
[67 FR 61225, Sept. 27, 2002, as amended at 71
open vehicle, or in a vehicle whose
FR 35834, June 22, 2006] sides are not designed and rated to con-
tain such cargo.
§ 393.134 What are the rules for secur- (2) Pieces of rock weighing more than
ing roll-on/roll-off or hook lift con- 100 kg (220 lb.), but less than 5,000 kg
tainers? (11,000 lb.) must be secured, either in
(a) Applicability. The rules in this sec- accordance with this section, or in ac-
tion apply to the transportation of cordance with the provisions of
roll-on/roll-off or hook lift containers. §§ 393.100 through 393.114, including:
(b) Securement of a roll-on/roll-off and (i) Rock contained within a vehicle
hook lift container. Each roll-on/roll-off which is designed to carry such cargo;
and hook lift container carried on a ve- or
hicle which is not equipped with an in- (ii) Secured individually by tiedowns,
tegral securement system must be: provided each piece can be stabilized
(1) Blocked against forward move- and adequately secured.
ment by the lifting device, stops, a (3) Rock which has been formed or
combination of both or other suitable cut to a shape and which provides a
restraint mechanism; stable base for securement must also
(2) Secured to the front of the vehicle be secured, either in accordance with
by the lifting device or other suitable the provisions of this section, or in ac-
restraint against lateral and vertical cordance with the provisions of
movement; §§ 393.100 through 393.114.
(3) Secured to the rear of the vehicle (b) General requirements for the posi-
with at least one of the following tioning of boulders on the vehicle. (1)
mechanisms: Each boulder must be placed with its
(i) One tiedown attached to both the flattest and/or largest side down.
vehicle chassis and the container chas- (2) Each boulder must be supported
sis; on at least two pieces of hard wood
(ii) Two tiedowns installed length- blocking at least 10 cm × 10 cm (4
wise, each securing one side of the con- inches × 4 inches) side dimensions ex-
tainer to one of the vehicle’s side rails; tending the full width of the boulder.
or (3) Hardwood blocking pieces must be
(iii) Two hooks, or an equivalent placed as symmetrically as possible
mechanism, securing both sides of the under the boulder and should support
container to the vehicle chassis at at least three-fourths of the length of
least as effectively as the tiedowns in the boulder.
the two previous items. (4) If the flattest side of a boulder is
(4) The mechanisms used to secure rounded or partially rounded, so that
the rear end of a roll-on/roll off or hook the boulder may roll, it must be placed
lift container must be installed no in a crib made of hardwood timber
more than two meters (6 ft 7 in) from fixed to the deck of the vehicle so that
the rear of the container. the boulder rests on both the deck and
(5) In the event that one or more of the timber, with at least three well-
the front stops or lifting devices are separated points of contact that pre-
missing, damaged or not compatible, vent its tendency to roll in any direc-
additional manually installed tiedowns tion.
must be used to secure the container to (5) If a boulder is tapered, the nar-
the vehicle, providing the same level of rowest end must point towards the
securement as the missing, damaged or front of the vehicle.
incompatible components. (c) General tiedown requirements. (1)
Only chain may be used as tiedowns to
§ 393.136 What are the rules for secur- secure large boulders.
ing large boulders? (2) Tiedowns which are in direct con-
(a) Applicability. (1) The rules in this tact with the boulder should, where
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section are applicable to the transpor- possible, be located in valleys or


tation of any large piece of natural, ir- notches across the top of the boulder,

453

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§ 393.201 49 CFR Ch. III (10–1–07 Edition)

and must be arranged to prevent slid- Subpart J—Frames, Cab and Body
ing across the rock surface. Components, Wheels, Steer-
(d) Securement of a cubic shaped boul- ing, and Suspension Systems
der. In addition to the requirements of
paragraphs (b) and (c) of this section,
SOURCE: 53 FR 49402, Dec. 7, 1988, unless
the following rules must be satisfied:
otherwise noted.
(1) Each boulder must be secured in-
dividually with at least two chain § 393.201 Frames.
tiedowns placed transversely across the
vehicle. (a) The frame or chassis of each com-
mercial motor vehicle shall not be
(2) The aggregate working load limit
cracked, loose, sagging or broken.
of the tiedowns must be at least half
the weight of the boulder. (b) Bolts or brackets securing the cab
or the body of the vehicle to the frame
(3) The tiedowns must be placed as
must not be loose, broken, or missing.
closely as possible to the wood block-
ing used to support the boulder. (c) The frame rail flanges between
the axles shall not be bent, cut or
(e) Securement of a non-cubic shaped
notched, except as specified by the
boulder—with a stable base. In addition
manufacturer.
to the requirements of paragraphs (b)
and (c) of this section, the following (d) Parts and accessories shall not be
rules must be satisfied: welded to the frame or chassis of a
commercial motor vehicle except in ac-
(1) The boulder must be secured indi-
cordance with the vehicle manufactur-
vidually with at least two chain
er’s recommendations. Any welded re-
tiedowns forming an ‘‘X’’ pattern over
pair of the frame must also be in ac-
the boulder.
cordance with the vehicle manufactur-
(2) The aggregate working load limit
er’s recommendations.
of the tiedowns must be at least half
(e) No holes shall be drilled in the top
the weight of the boulder.
or bottom rail flanges, except as speci-
(3) The tiedowns must pass over the
fied by the manufacturer.
center of the boulder and must be at-
tached to each other at the intersec- [53 FR 49402, Dec. 7, 1988, as amended at 70
tion by a shackle or other connecting FR 48055, Aug. 15, 2005]
device.
(f) Securement of a non-cubic shaped § 393.203 Cab and body components.
boulder—with an unstable base. In addi- (a) The cab compartment doors or
tion to the requirements of paragraphs door parts used as an entrance or exist
(b) and (c) of this section, each boulder shall not be missing or broken. Doors
must be secured by a combination of shall not sag so that they cannot be
chain tiedowns as follows: properly opened or closed. No door
(1) One chain must surround the top shall be wired shut or otherwise se-
of the boulder (at a point between one- cured in the closed position so that it
half and two-thirds of its height). The cannot be readily opened. EXCEPTION:
working load limit of the chain must When the vehicle is loaded with pipe or
be at least half the weight of the boul- bar stock that blocks the door and the
der. cab has a roof exit.
(2) Four chains must be attached to (b) Bolts or brackets securing the cab
the surrounding chain and the vehicle or the body of the vehicle to the frame
to form a blocking mechanism which shall not be loose, broken, or missing.
prevents any horizontal movement. (c) The hood must be securely fas-
Each chain must have a working load tened.
limit of at least one-fourth the weight (d) All seats must be securely mount-
of the boulder. Whenever practicable, ed.
the angle of the chains must not exceed (e) The front bumper must not be
45 degrees from the horizontal. missing, loosely attached, or pro-
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truding beyond the confines of the ve-


hicle so as to create a hazard.

454

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Federal Motor Carrier Safety Administration, DOT § 393.209

§ 393.205 Wheels. greater than 3 psi in a 5-minute time


(a) Wheels and rims shall not be period when the vehicle’s air pressure
cracked or broken. gauge shows normal operating pres-
(b) Stud or bolt holes on the wheels sure.
shall shall not be elongated (out of (g) Air suspension exhaust controls.
round). The air suspension exhaust controls
(c) Nuts or bolts shall not be missing must not have the capability to ex-
or loose. haust air from the suspension system
of one axle of a two-axle air suspension
§ 393.207 Suspension systems. trailer unless the controls are either
located on the trailer, or the power
(a) Axles. No axle positioning part
unit and trailer combination are not
shall be cracked, broken, loose or miss-
capable of traveling at a speed greater
ing. All axles must be in proper align-
than 10 miles per hour while the air is
ment.
exhausted from the suspension system.
(b) Adjustable axles. Adjustable axle
This paragraph shall not be construed
assemblies shall not have locking pins
to prohibit—
missing or disengaged.
(1) Devices that could exhaust air
(c) Leaf springs. No leaf spring shall
from both axle systems simulta-
be cracked, broken, or missing nor
neously; or
shifted out of position.
(2) Lift axles on multi-axle units.
(d) Coil springs. No coil spring shall be
cracked or broken. [53 FR 49402, Dec. 7, 1988, as amended at 70
(e) Torsion bar. No torsion bar or tor- FR 48055, Aug. 15, 2005]
sion bar suspension shall be cracked or
broken. § 393.209 Steering wheel systems.
(f) Air suspensions. The air pressure (a) The steering wheel shall be se-
regulator valve shall not allow air into cured and must not have any spokes
the suspension system until at least 55 cracked through or missing.
psi is in the braking system. The vehi- (b) Steering wheel lash. (1) The steer-
cle shall be level (not tilting to the left ing wheel lash shall not exceed the fol-
or right). Air leakage shall not be lowing parameters:
Steering wheel diameter Manual steering system Power steering system

406 mm or less (16 inches or less) .......... 51 mm (2 inches) .................................... 108 mm (41⁄4 inches).
457 mm (18 inches) .................................. 57 mm (21⁄4 inches) ................................ 121 mm (43⁄4 inches).
483 mm (19 inches) .................................. 60 mm (23⁄8 inches) ................................ 127 mm (5 inches).
508 mm (20 inches) .................................. 64 mm (21⁄2 inches) ................................ 133 mm (51⁄4 inches).
533 mm (21 inches) .................................. 67 mm (25⁄8 inches) ................................ 140 mm (51⁄2 inches).
559 mm (22 inches) .................................. 70 mm (23⁄4 inches) ................................ 146 mm (53⁄4 inches).

(2) For steering wheel diameters not through the limit of travel in both di-
listed in paragraph (b)(1) of this section rections.
the steering wheel lash shall not ex- (e) Power steering systems. All compo-
ceed 14 degrees angular rotation for nents of the power system must be in
manual steering systems, and 30 de- operating condition. No parts shall be
grees angular rotation for power steer- loose or broken. Belts shall not be
ing systems. frayed, cracked or slipping. The system
(c) Steering column. The steering col- shall not leak. The power steering sys-
umn must be securely fastened. tem shall have sufficient fluid in the
(d) Steering system. Universal joints reservoir.
and ball-and-socket joints shall not be
worn, faulty or repaired by welding. [53 FR 49402, Dec. 7, 1988, as amended at 70
The steering gear box shall not have FR 48055, Aug. 15, 2005]
loose or missing mounting bolts or
cracks in the gear box or mounting PART 394 [RESERVED]
brackets. The pitman arm on the steer-
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ing gear output shaft shall not be


loose. Steering wheels shall turn freely

455

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Pt. 395 49 CFR Ch. III (10–1–07 Edition)

PART 395—HOURS OF SERVICE OF pants of the commercial motor vehicle


DRIVERS and security for the commercial motor
vehicle and its cargo. However, that
Sec. driver may not drive or be permitted to
395.0 Rescission. drive—
395.1 Scope of rules in this part. (i) For more than 13 hours in the ag-
395.2 Definitions. gregate following 10 consecutive hours
395.3 Maximum driving time for property- off duty for drivers of property-car-
carrying vehicles. rying commercial motor vehicles;
395.5 Maximum driving time for passenger-
carrying vehicles. (ii) After the end of the 14th hour
395.7 [Reserved] since coming on duty following 10 con-
395.8 Driver’s record of duty status. secutive hours off duty for drivers of
395.10–395.12 [Reserved] property-carrying commercial motor
395.13 Drivers declared out of service. vehicles;
395.15 Automatic on-board recording de- (iii) For more than 12 hours in the
vices.
aggregate following 8 consecutive
AUTHORITY: 49 U.S.C. 504, 14122, 31133, 31136, hours off duty for drivers of passenger-
31502; Sec. 229, Pub. L. 106–159, 113 Stat. 1748; carrying commercial motor vehicles;
Sec. 113, Pub. L. 103–311, 108 Stat. 1673, 1676;
or
and 49 CFR 1.73.
(iv) After he/she has been on duty 15
SOURCE: 33 FR 19758, Dec. 25, 1968, unless hours following 8 consecutive hours off
otherwise noted.
duty for drivers of passenger-carrying
EDITORIAL NOTE: Nomenclature changes to commercial motor vehicles.
part 395 appear at 66 FR 49874, Oct. 1, 2001. (2) Emergency conditions. In case of
any emergency, a driver may complete
§ 395.0 Rescission.
his/her run without being in violation
Any regulations on hours of service of the provisions of the regulations in
of drivers in effect before April 28, 2003, this part, if such run reasonably could
which were amended or replaced by the have been completed absent the emer-
final rule adopted on April 28, 2003 [69 gency.
FR 22456] are rescinded and not in ef- (c) Driver-salesperson. The provisions
fect. of § 395.3(b) shall not apply to any driv-
[70 FR 50071, Aug. 25, 2005] er-salesperson whose total driving time
does not exceed 40 hours in any period
§ 395.1 Scope of rules in this part. of 7 consecutive days.
(a) General. (1) The rules in this part (d) Oilfield operations. (1) In the in-
apply to all motor carriers and drivers, stance of drivers of commercial motor
except as provided in paragraphs (b) vehicles used exclusively in the trans-
through (q) of this section. portation of oilfield equipment, includ-
(2) The exceptions from Federal re- ing the stringing and picking up of pipe
quirements contained in paragraphs (l) used in pipelines, and servicing of the
and (m) of this section do not preempt field operations of the natural gas and
State laws and regulations governing oil industry, any period of 8 consecu-
the safe operation of commercial tive days may end with the beginning
motor vehicles. of any off-duty period of 24 or more
(b) Adverse driving conditions. (1) Ex- successive hours.
cept as provided in paragraph (h)(2) of (2) In the case of specially trained
this section, a driver who encounters drivers of commercial motor vehicles
adverse driving conditions, as defined which are specially constructed to
in § 395.2, and cannot, because of those service oil wells, on-duty time shall
conditions, safely complete the run not include waiting time at a natural
within the maximum driving time per- gas or oil well site; provided, that all
mitted by §§ 395.3(a) or 395.5(a) may such time shall be fully and accurately
drive and be permitted or required to accounted for in records to be main-
drive a commercial motor vehicle for tained by the motor carrier. Such
not more than 2 additional hours in records shall be made available upon
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order to complete that run or to reach request of the Federal Motor Carrier
a place offering safety for the occu- Safety Administration.

456

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Federal Motor Carrier Safety Administration, DOT § 395.1

(e) Short-haul operations—(1) 100 air- (iii) The driver returns to the normal
mile radius driver. A driver is exempt work reporting location at the end of
from the requirements of § 395.8 if: each duty tour;
(i) The driver operates within a 100 (iv) The driver has at least 10 con-
air-mile radius of the normal work re- secutive hours off duty separating each
porting location; on-duty period;
(ii) The driver, except a driver-sales- (v) The driver does not drive more
person, returns to the work reporting than 11 hours following at least 10 con-
location and is released from work secutive hours off duty;
within 12 consecutive hours; (vi) The driver does not drive:
(iii)(A) A property-carrying commer- (A) After the 14th hour after coming
cial motor vehicle driver has at least 10 on duty on 5 days of any period of 7
consecutive hours off duty separating consecutive days; and
each 12 hours on duty; (B) After the 16th hour after coming
(B) A passenger-carrying commercial on duty on 2 days of any period of 7
motor vehicle driver has at least 8 con- consecutive days;
secutive hours off duty separating each (vii) The driver does not drive:
12 hours on duty; (A) After having been on duty for 60
(iv)(A) A property-carrying commer- hours in 7 consecutive days if the em-
cial motor vehicle driver does not ex- ploying motor carrier does not operate
ceed 11 hours maximum driving time commercial motor vehicles every day
following 10 consecutive hours off duty; of the week;
or (B) After having been on duty for 70
hours in 8 consecutive days if the em-
(B) A passenger-carrying commercial
ploying motor carrier operates com-
motor vehicle driver does not exceed 10
mercial motor vehicles every day of
hours maximum driving time following
the week;
8 consecutive hours off duty; and
(viii) Any period of 7 or 8 consecutive
(v) The motor carrier that employs
days may end with the beginning of
the driver maintains and retains for a
any off-duty period of 34 or more con-
period of 6 months accurate and true
secutive hours.
time records showing:
(ix) The motor carrier that employs
(A) The time the driver reports for the driver maintains and retains for a
duty each day; period of 6 months accurate and true
(B) The total number of hours the time records showing:
driver is on duty each day; (A) The time the driver reports for
(C) The time the driver is released duty each day;
from duty each day; and (B) The total number of hours the
(D) The total time for the preceding driver is on duty each day;
7 days in accordance with § 395.8(j)(2) (C) The time the driver is released
for drivers used for the first time or from duty each day;
intermittently. (D) The total time for the preceding
(2) Operators of property-carrying com- 7 days in accordance with § 395.8(j)(2)
mercial motor vehicles not requiring a for drivers used for the first time or
commercial driver’s license. Except as intermittently.
provided in this paragraph, a driver is (f) Retail store deliveries. The provi-
exempt from the requirements of § 395.3 sions of § 395.3 (a) and (b) shall not
and § 395.8 and ineligible to use the pro- apply with respect to drivers of com-
visions of § 395.1(e)(1), (g) and (o) if: mercial motor vehicles engaged solely
(i) The driver operates a property- in making local deliveries from retail
carrying commercial motor vehicle for stores and/or retail catalog businesses
which a commercial driver’s license is to the ultimate consumer, when driv-
not required under part 383 of this sub- ing solely within a 100-air mile radius
chapter; of the driver’s work-reporting location,
(ii) The driver operates within a 150 during the period from December 10 to
air-mile radius of the location where December 25, both inclusive, of each
the driver reports to and is released year.
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from work, i.e., the normal work re- (g) Sleeper berths—(1) Property-car-
porting location; rying commercial motor vehicle—(i) In

457

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§ 395.1 49 CFR Ch. III (10–1–07 Edition)

General. A driver who operates a prop- (2) Specially trained driver of a spe-
erty-carrying commercial motor vehi- cially constructed oil well servicing com-
cle equipped with a sleeper berth, as mercial motor vehicle at a natural gas or
defined in §§ 395.2 and 393.76 of this sub- oil well location. A specially trained
chapter, (A) Must, before driving, accu- driver who operates a commercial
mulate motor vehicle specially constructed to
(1) At least 10 consecutive hours off service natural gas or oil wells that is
duty; equipped with a sleeper berth, as de-
(2) At least 10 consecutive hours of fined in §§ 395.2 and 393.76 of this sub-
sleeper-berth time; chapter, or who is off duty at a natural
(3) A combination of consecutive gas or oil well location, may accumu-
sleeper-berth and off-duty time late the equivalent of 10 consecutive
amounting to at least 10 hours; or hours off duty time by taking a com-
(4) The equivalent of at least 10 con- bination of at least 10 consecutive
secutive hours off duty if the driver hours of off-duty time, sleeper-berth
does not comply with paragraph time, or time in other sleeping accom-
(g)(1)(i)(A)(1), (2), or (3) of this section; modations at a natural gas or oil well
location; or by taking two periods of
(B) May not drive more than 11 hours
rest in a sleeper berth, or other sleep-
following one of the 10-hour off-duty
ing accommodation at a natural gas or
periods specified in paragraph
oil well location, providing:
(g)(1)(i)(A)(1) through (4) of this sec-
(i) Neither rest period is shorter than
tion; and
2 hours;
(C) May not drive after the 14th hour
(ii) The driving time in the period
after coming on duty following one of
immediately before and after each rest
the 10-hour off-duty periods specified in
period, when added together, does not
paragraph (g)(1)(i)(A)(1) through (4) of
exceed 11 hours;
this section; and
(iii) The driver does not drive after
(D) Must exclude from the calcula- the 14th hour after coming on duty fol-
tion of the 14-hour limit any sleeper lowing 10 hours off duty, where the 14th
berth period of at least 8 but less than hour is calculated:
10 consecutive hours. (A) By excluding any sleeper berth or
(ii) Specific requirements.—The fol- other sleeping accommodation period
lowing rules apply in determining com- of at least 2 hours which, when added
pliance with paragraph (g)(1)(i) of this to a subsequent sleeper berth or other
section: sleeping accommodation period, totals
(A) The term ‘‘equivalent of at least at least 10 hours, and
10 consecutive hours off duty’’ means a (B) By including all on-duty time, all
period of (1) At least 8 but less than 10 off-duty time not spent in the sleeper
consecutive hours in a sleeper berth, berth or other sleeping accommoda-
and tions, all such periods of less than 2
(2) A separate period of at least 2 but hours, and any period not described in
less than 10 consecutive hours either in paragraph (g)(2)(iii)(A) of this section;
the sleeper berth or off duty, or any and
combination thereof. (iv) The driver may not return to
(B) Calculation of the 11-hour driving driving subject to the normal limits
limit includes all driving time; compli- under § 395.3 without taking at least 10
ance must be re-calculated from the consecutive hours off duty, at least 10
end of the first of the two periods used consecutive hours in the sleeper berth
to comply with paragraph (g)(1)(ii)(A) or other sleeping accommodations, or a
of this section. combination of at least 10 consecutive
(C) Calculation of the 14-hour limit hours off duty, sleeper berth time, or
includes all time except any sleeper- time in other sleeping accommoda-
berth period of at least 8 but less than tions.
10 consecutive hours; compliance must (3) Passenger-carrying commercial
be re-calculated from the end of the motor vehicles. A driver who is driving a
first of the two periods used to comply passenger-carrying commercial motor
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with the requirements of paragraph vehicle that is equipped with a sleeper


(g)(1)(ii)(A) of this section. berth, as defined in §§ 395.2 and 393.76 of

458

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Federal Motor Carrier Safety Administration, DOT § 395.1

this subchapter, may accumulate the (i) More than 15 hours following 8
equivalent of 8 consecutive hours of consecutive hours off duty;
off-duty time by taking a combination (ii) After being on duty for 20 hours
of at least 8 consecutive hours off-duty or more following 8 consecutive hours
and sleeper berth time; or by taking off duty;
two periods of rest in the sleeper berth, (iii) After having been on duty for 70
providing: hours in any period of 7 consecutive
(i) Neither rest period is shorter than days, if the motor carrier for which the
two hours; driver drives does not operate every
(ii) The driving time in the period
day in the week; or
immediately before and after each rest
period, when added together, does not (iv) After having been on duty for 80
exceed 10 hours; hours in any period of 8 consecutive
(iii) The on-duty time in the period days, if the motor carrier for which the
immediately before and after each rest driver drives operates every day in the
period, when added together, does not week.
include any driving time after the 15th (3) A driver who is driving a commer-
hour; and cial motor vehicle in the State of Alas-
(iv) The driver may not return to ka and who encounters adverse driving
driving subject to the normal limits conditions (as defined in § 395.2) may
under § 395.5 without taking at least 8 drive and be permitted or required to
consecutive hours off duty, at least 8 drive a commercial motor vehicle for
consecutive hours in the sleeper berth, the period of time needed to complete
or a combination of at least 8 consecu- the run.
tive hours off duty and sleeper berth (i) After a property-carrying com-
time. mercial motor vehicle driver completes
(h) State of Alaska—(1) Property-car- the run, that driver must be off duty
rying commercial motor vehicle. The pro- for at least 10 consecutive hours before
visions of § 395.3(a) and (b) do not apply he/she drives again; and
to any driver who is driving a commer-
(ii) After a passenger-carrying com-
cial motor vehicle in the State of Alas-
ka. A driver who is driving a property- mercial motor vehicle driver completes
carrying commercial motor vehicle in the run, that driver must be off duty
the State of Alaska must not drive or for at least 8 consecutive hours before
be required or permitted to drive— he/she drives again.
(i) More than 15 hours following 10 (i) State of Hawaii. The rules in § 395.8
consecutive hours off duty; or do not apply to a driver who drives a
(ii) After being on duty for 20 hours commercial motor vehicle in the State
or more following 10 consecutive hours of Hawaii, if the motor carrier who em-
off duty. ploys the driver maintains and retains
(iii) After having been on duty for 70 for a period of 6 months accurate and
hours in any period of 7 consecutive true records showing—
days, if the motor carrier for which the (1) The total number of hours the
driver drives does not operate every driver is on duty each day; and
day in the week; or (2) The time at which the driver re-
(iv) After having been on duty for 80 ports for, and is released from, duty
hours in any period of 8 consecutive each day.
days, if the motor carrier for which the (j) Travel time—(1) When a property-
driver drives operates every day in the
carrying commercial motor vehicle
week.
driver at the direction of the motor
(2) Passenger-carrying commercial
motor vehicle. The provisions of § 395.5 carrier is traveling, but not driving or
do not apply to any driver who is driv- assuming any other responsibility to
ing a passenger-carrying commercial the carrier, such time must be counted
motor vehicle in the State of Alaska. A as on-duty time unless the driver is af-
driver who is driving a passenger-car- forded at least 10 consecutive hours off
rying commercial motor vehicle in the duty when arriving at destination, in
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State of Alaska must not drive or be which case he/she must be considered
required or permitted to drive— off duty for the entire period.

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§ 395.1 49 CFR Ch. III (10–1–07 Edition)

(2) When a passenger-carrying com- duty within 16 hours after coming on


mercial motor vehicle driver at the di- duty following 10 consecutive hours off
rection of the motor carrier is trav- duty; and
eling, but not driving or assuming any (3) The driver has not taken this ex-
other responsibility to the carrier, emption within the previous 6 consecu-
such time must be counted as on-duty tive days, except when the driver has
time unless the driver is afforded at begun a new 7- or 8-consecutive day pe-
least 8 consecutive hours off duty when riod with the beginning of any off-duty
arriving at destination, in which case period of 34 or more consecutive hours
he/she must be considered off duty for as allowed by § 395.3(c).
the entire period. (p) Commercial motor vehicle transpor-
(k) Agricultural operations. The provi- tation to or from a motion picture produc-
sions of this part shall not apply to tion site. A driver of a commercial
drivers transporting agricultural com- motor vehicle providing transportation
modities or farm supplies for agricul- of property or passengers to or from a
tural purposes in a State if such trans- theatrical or television motion picture
portation: production site is exempt from the re-
(1) Is limited to an area within a 100 quirements of § 395.3(a) if the driver op-
air-mile radius from the source of the erates within a 100 air-mile radius of
commodities or the distribution point the location where the driver reports
for the farm supplies, and to and is released from work, i.e., the
(2) Is conducted (except in the case of normal work-reporting location. With
livestock feed transporters) during the respect to the maximum daily hours of
planting and harvesting seasons within service, such a driver may not drive—
such State, as determined by the State.
(1) More than 10 hours following 8
(l) Ground water well drilling oper-
consecutive hours off duty;
ations. In the instance of a driver of a
commercial motor vehicle who is used (2) For any period after having been
primarily in the transportation and op- on duty 15 hours following 8 consecu-
erations of a ground water well drilling tive hours off duty.
rig, any period of 7 or 8 consecutive (3) If a driver of a commercial motor
days may end with the beginning of vehicle providing transportation of
any off-duty period of 24 or more suc- property or passengers to or from a
cessive hours. theatrical or television motion picture
(m) Construction materials and production site operates beyond a 100
equipment. In the instance of a driver air-mile radius of the normal work-re-
of a commercial motor vehicle who is porting location, the driver is subject
used primarily in the transportation of to § 395.3(a), and paragraphs (p)(1) and
construction materials and equipment, (2) of this section do not apply.
any period of 7 or 8 consecutive days (q) Transporters of grapes during har-
may end with the beginning of any off- vest period in the State of New York. The
duty period of 24 or more successive provisions of this part shall not apply
hours. to drivers transporting grapes if such
(n) Utility service vehicles. The provi- transportation:
sions of this part shall not apply to a (1) Is within the State of New York;
driver of a utility service vehicle as de- (2) Is west of Interstate 81;
fined in § 395.2. (3) Is within a 150 air-mile radius of
(o) Property-carrying driver. A prop- where the grapes were picked or dis-
erty-carrying driver is exempt from the tributed; and
requirements of § 395.3(a)(2) if: (4) Is during the harvest period as de-
(1) The driver has returned to the fined by the State of New York. This
driver’s normal work reporting loca- provision expires September 30, 2009.
tion and the carrier released the driver
from duty at that location for the pre- [57 FR 33647, July 30, 1992, as amended at 58
FR 33777, June 21, 1993; 60 FR 38748, July 28,
vious five duty tours the driver has
1995; 61 FR 14679, Apr. 3, 1996; 63 FR 33279,
worked; June 18, 1998; 68 FR 22515, Apr. 28, 2003; 68 FR
(2) The driver has returned to the 56211, Sept. 30, 2003; 70 FR 50071, Aug. 25, 2005;
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normal work reporting location and 72 FR 36790, July 5, 2007; 72 FR 55703, Oct. 1,
the carrier releases the driver from 2007]

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Federal Motor Carrier Safety Administration, DOT § 395.2

§ 395.2 Definitions. any day at the time designated by the


As used in this part, the following motor carrier for a 24-hour period.
words and terms are construed to Farm supplies for agricultural purposes
mean: means products directly related to the
Adverse driving conditions means growing or harvesting of agricultural
snow, sleet, fog, other adverse weather commodities during the planting and
conditions, a highway covered with harvesting seasons within each State,
snow or ice, or unusual road and traffic as determined by the State, and live-
conditions, none of which were appar- stock feed at any time of the year.
ent on the basis of information known Ground water well drilling rig means
to the person dispatching the run at any vehicle, machine, tractor, trailer,
the time it was begun. semi-trailer, or specialized mobile
Agricultural commodity means any ag- equipment propelled or drawn by me-
ricultural commodity, nonprocessed chanical power and used on highways
food, feed, fiber, or livestock (including to transport water well field operating
livestock as defined in sec. 602 of the equipment, including water well drill-
Emergency Livestock Feed Assistance ing and pump service rigs equipped to
Act of 1988 [7 U.S.C. 1471] and insects). access ground water.
Automatic on-board recording device Multiple stops means all stops made in
means an electric, electronic, any one village, town, or city may be
electromechanical, or mechanical de- computed as one.
vice capable of recording driver’s duty On duty time means all time from the
status information accurately and time a driver begins to work or is re-
automatically as required by § 395.15. quired to be in readiness to work until
The device must be integrally syn- the time the driver is relieved from
chronized with specific operations of work and all responsibility for per-
the commercial motor vehicle in which forming work. On duty time shall in-
it is installed. At a minimum, the de- clude:
vice must record engine use, road (1) All time at a plant, terminal, fa-
speed, miles driven, the date, and time cility, or other property of a motor
of day. carrier or shipper, or on any public
Driver-salesperson means any em- property, waiting to be dispatched, un-
ployee who is employed solely as such less the driver has been relieved from
by a private carrier of property by duty by the motor carrier;
commercial motor vehicle, who is en- (2) All time inspecting, servicing, or
gaged both in selling goods, services, or conditioning any commercial motor
the use of goods, and in delivering by vehicle at any time;
commercial motor vehicle the goods (3) All driving time as defined in the
sold or provided or upon which the term driving time;
services are performed, who does so en- (4) All time, other than driving time,
tirely within a radius of 100 miles of in or upon any commercial motor vehi-
the point at which he/she reports for cle except time spent resting in a sleep-
duty, who devotes not more than 50 er berth;
percent of his/her hours on duty to (5) All time loading or unloading a
driving time. The term selling goods for commercial motor vehicle, supervising,
purposes of this section shall include in or assisting in the loading or unload-
all cases solicitation or obtaining of re- ing, attending a commercial motor ve-
orders or new accounts, and may also hicle being loaded or unloaded, remain-
include other selling or merchandising ing in readiness to operate the com-
activities designed to retain the cus- mercial motor vehicle, or in giving or
tomer or to increase the sale of goods receiving receipts for shipments loaded
or services, in addition to solicitation or unloaded;
or obtaining of reorders or new ac- (6) All time repairing, obtaining as-
counts. sistance, or remaining in attendance
Driving time means all time spent at upon a disabled commercial motor ve-
the driving controls of a commercial hicle;
motor vehicle in operation. (7) All time spent providing a breath
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Eight consecutive days means the pe- sample or urine specimen, including
riod of 8 consecutive days beginning on travel time to and from the collection

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§ 395.3 49 CFR Ch. III (10–1–07 Edition)

site, in order to comply with the ran- determined by the utility provider);
dom, reasonable suspicion, post-acci- and
dent, or follow-up testing required by (3) Except for any occasional emer-
part 382 of this subchapter when di- gency use, operated primarily within
rected by a motor carrier; the service area of a utility’s sub-
(8) Performing any other work in the scribers or consumers, without regard
capacity, employ, or service of a motor to whether the vehicle is owned, leased,
carrier; and or rented by the utility.
(9) Performing any compensated
work for a person who is not a motor [57 FR 33648, July 30, 1992, as amended at 59
carrier. FR 7515, Feb. 15, 1994; 59 FR 60324, Nov. 23,
1994; 60 FR 38748, July 28, 1995; 61 FR 14679,
Seven consecutive days means the pe-
Apr. 3, 1996; 63 FR 33279, June 18, 1998; 72 FR
riod of 7 consecutive days beginning on 36790, July 5, 2007]
any day at the time designated by the
motor carrier for a 24-hour period. § 395.3 Maximum driving time for
Sleeper berth means a berth con- property-carrying vehicles.
forming to the requirements of § 393.76
of this chapter. Subject to the exceptions and exemp-
Transportation of construction mate- tions in § 395.1:
rials and equipment means the transpor- (a) No motor carrier shall permit or
tation of construction and pavement require any driver used by it to drive a
materials, construction equipment, and property-carrying commercial motor
construction maintenance vehicles, by vehicle, nor shall any such driver drive
a driver to or from an active construc- a property-carrying commercial motor
tion site (a construction site between vehicle:
mobilization of equipment and mate- (1) More than 11 cumulative hours
rials to the site to the final completion following 10 consecutive hours off duty;
of the construction project) within a 50 or
air mile radius of the normal work re- (2) For any period after the end of the
porting location of the driver. This 14th hour after coming on duty fol-
paragraph does not apply to the trans- lowing 10 consecutive hours off duty,
portation of material found by the Sec- except when a property-carrying driver
retary to be hazardous under 49 U.S.C. complies with the provisions of
5103 in a quantity requiring placarding § 395.1(o) or § 395.1(e)(2).
under regulations issued to carry out (b) No motor carrier shall permit or
such section. require a driver of a property-carrying
Twenty-four-hour period means any commercial motor vehicle to drive, nor
24-consecutive-hour period beginning shall any driver drive a property-car-
at the time designated by the motor rying commercial motor vehicle, re-
carrier for the terminal from which the gardless of the number of motor car-
driver is normally dispatched. riers using the driver’s services, for
Utility service vehicle means any com- any period after—
mercial motor vehicle:
(1) Having been on duty 60 hours in
(1) Used in the furtherance of repair-
any period of 7 consecutive days if the
ing, maintaining, or operating any
employing motor carrier does not oper-
structures or any other physical facili-
ate commercial motor vehicles every
ties necessary for the delivery of public
utility services, including the fur- day of the week; or
nishing of electric, gas, water, sanitary (2) Having been on duty 70 hours in
sewer, telephone, and television cable any period of 8 consecutive days if the
or community antenna service; employing motor carrier operates com-
(2) While engaged in any activity mercial motor vehicles every day of
necessarily related to the ultimate de- the week.
livery of such public utility services to (c)(1) Any period of 7 consecutive
consumers, including travel or move- days may end with the beginning of
ment to, from, upon, or between activ- any off-duty period of 34 or more con-
ity sites (including occasional travel or secutive hours; or
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movement outside the service area ne- (2) Any period of 8 consecutive days
cessitated by any utility emergency as may end with the beginning of any off-

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Federal Motor Carrier Safety Administration, DOT § 395.8

duty period of 34 or more consecutive previously approved format of the


hours. Daily Log, Form MCS–59 or the Multi-
day Log, MCS–139 and 139A, which
[70 FR 50073, Aug. 25, 2005]
meets the requirements of this section,
§ 395.5 Maximum driving time for pas- may continue to be used.
senger-carrying vehicles. (2) Every driver who operates a com-
mercial motor vehicle shall record his/
Subject to the exceptions and exemp- her duty status by using an automatic
tions in § 395.1: on-board recording device that meets
(a) No motor carrier shall permit or the requirements of § 395.15 of this part.
require any driver used by it to drive a The requirements of § 395.8 shall not
passenger-carrying commercial motor apply, except paragraphs (e) and (k) (1)
vehicle, nor shall any such driver drive and (2) of this section.
a passenger-carrying commercial (b) The duty status shall be recorded
motor vehicle: as follows:
(1) More than 10 hours following 8 (1) ‘‘Off duty’’ or ‘‘OFF.’’
consecutive hours off duty; or (2) ‘‘Sleeper berth’’ or ‘‘SB’’ (only if a
(2) For any period after having been sleeper berth used).
on duty 15 hours following 8 consecu- (3) ‘‘Driving’’ or ‘‘D.’’
tive hours off duty. (4) ‘‘On-duty not driving’’ or ‘‘ON.’’
(b) No motor carrier shall permit or (c) For each change of duty status
require a driver of a passenger-carrying (e.g., the place of reporting for work,
commercial motor vehicle to drive, nor starting to drive, on-duty not driving
shall any driver drive a passenger-car- and where released from work), the
rying commercial motor vehicle, re- name of the city, town, or village, with
gardless of the number of motor car- State abbreviation, shall be recorded.
riers using the driver’s services, for
NOTE: If a change of duty status occurs at
any period after—
a location other than a city, town, or village,
(1) Having been on duty 60 hours in show one of the following: (1) The highway
any 7 consecutive days if the employ- number and nearest milepost followed by the
ing motor carrier does not operate name of the nearest city, town, or village
commercial motor vehicles every day and State abbreviation, (2) the highway
of the week; or number and the name of the service plaza
(2) Having been on duty 70 hours in followed by the name of the nearest city,
any period of 8 consecutive days if the town, or village and State abbreviation, or
(3) the highway numbers of the nearest two
employing motor carrier operates com-
intersecting roadways followed by the name
mercial motor vehicles every day of of the nerest city, town, or village and State
the week. abbreviation.
[70 FR 50073, Aug. 25, 2005] (d) The following information must
be included on the form in addition to
§ 395.7 [Reserved] the grid:
§ 395.8 Driver’s record of duty status. (1) Date;
(2) Total miles driving today;
(a) Except for a private motor carrier (3) Truck or tractor and trailer num-
of passengers (nonbusiness), every ber;
motor carrier shall require every driver (4) Name of carrier;
used by the motor carrier to record his/ (5) Driver’s signature/certification;
her duty status for each 24 hour period (6) 24-hour period starting time (e.g.
using the methods prescribed in either midnight, 9:00 a.m., noon, 3:00 p.m.);
paragraph (a)(1) or (2) of this section. (7) Main office address;
(1) Every driver who operates a com- (8) Remarks;
mercial motor vehicle shall record his/ (9) Name of co-driver;
her duty status, in duplicate, for each (10) Total hours (far right edge of
24-hour period. The duty status time grid);
shall be recorded on a specified grid, as (11) Shipping document number(s), or
shown in paragraph (g) of this section. name of shipper and commodity;
The grid and the requirements of para- (e) Failure to complete the record of
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graph (d) of this section may be com- duty activities of this section or
bined with any company forms. The § 395.15, failure to preserve a record of

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§ 395.8 49 CFR Ch. III (10–1–07 Edition)

such duty activities, or making of false (7) Signature/certification. The driver


reports in connection with such duty shall certify to the correctness of all
activities shall make the driver and/or entries by signing the form containing
the carrier liable to prosecution. the driver’s duty status record with
(f) The driver’s activities shall be re- his/her legal name or name of record.
corded in accordance with the fol- The driver’s signature certifies that all
lowing provisions: entries required by this section made
(1) Entries to be current. Drivers shall by the driver are true and correct.
keep their records of duty status cur- (8) Time base to be used. (i) The driv-
rent to the time shown for the last er’s duty status record shall be pre-
change of duty status. pared, maintained, and submitted
(2) Entries made by driver only. All en- using the time standard in effect at the
tries relating to driver’s duty status driver’s home terminal, for a 24-hour
must be legible and in the driver’s own period beginning with the time speci-
handwriting. fied by the motor carrier for that driv-
(3) Date. The month, day and year for er’s home terminal.
the beginning of each 24-hour period (ii) The term ‘‘7 or 8 consecutive
shall be shown on the form containing days’’ means the 7 or 8 consecutive 24-
the driver’s duty status record. hour periods as designated by the car-
(4) Total miles driving today. Total rier for the driver’s home terminal.
mileage driven during the 24-hour pe- (iii) The 24-hour period starting time
riod shall be recorded on the form con- must be identified on the driver’s duty
taining the driver’s duty status record. status record. One-hour increments
(5) Commercial motor vehicle identifica- must appear on the graph, be identi-
tion. The driver shall show the number fied, and preprinted. The words ‘‘Mid-
assigned by the motor carrier, or the night’’ and ‘‘Noon’’ must appear above
license number and licensing State of or beside the appropriate one-hour in-
each commercial motor vehicle oper- crement.
ated during each 24-hour period on his/ (9) Main office address. The motor car-
her record of duty status. The driver of rier’s main office address shall be
an articulated (combination) commer- shown on the form containing the driv-
cial motor vehicle shall show the num- er’s duty status record.
ber assigned by the motor carrier, or (10) Recording days off duty. Two or
the license number and licensing State more consecutive 24-hour periods off
of each motor vehicle used in each duty may be recorded on one duty sta-
commercial motor vehicle combination tus record.
operated during that 24-hour period on (11) Total hours. The total hours in
his/her record of duty status. each duty status: ff duty other than in
(6) Name of motor carrier. The name(s) a sleeper berth; off duty in a sleeper
of the motor carrier(s) for which work berth; driving, and on duty not driving,
is performed shall be shown on the shall be entered to the right of the
form containing the driver’s record of grid, the total of such entries shall
duty status. When work is performed equal 24 hours.
for more than one motor carrier during (12) Shipping document number(s) or
the same 24-hour period, the beginning name of shipper and commodity shall be
and finishing time, showing a.m. or shown on the driver’s record of duty
p.m., worked for each motor carrier status.
shall be shown after each motor car- (g) Graph grid. The following graph
rier’s name. Drivers of leased commer- grid must be incorporated into a motor
cial motor vehicles shall show the carrier recordkeeping system which
name of the motor carrier performing must also contain the information re-
the transportation. quired in paragraph (d) of this section.
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Federal Motor Carrier Safety Administration, DOT § 395.8

(h) Graph grid preparation. The graph as defined in § 395.2. (If a non-sleeper
grid may be used horizontally or berth operation, sleeper berth need not
vertically and shall be completed as be shown on the grid.)
follows: (3) Driving. A continuous line shall be
(1) Off duty. Except for time spent drawn between the appropriate time
resting in a sleeper berth, a continuous markers to record the period(s) of driv-
line shall be drawn between the appro- ing time, as defined in § 395.2.
priate time markers to record the pe- (4) On duty not driving. A continuous
riod(s) of time when the driver is not line shall be drawn between the appro-
on duty, is not required to be in readi- priate time markers to record the pe-
ness to work, or is not under any re- riod(s) of time on duty not driving
sponsibility for performing work. specified in § 395.2.
(2) Sleeper berth. A continuous line (5) Location—remarks. The name of
shall be drawn between the appropriate the city, town, or village, with State
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time markers to record the period(s) of abbreviation where each change of


time off duty resting in a sleeper berth, duty status occurs shall be recorded.

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§ 395.8 49 CFR Ch. III (10–1–07 Edition)
NOTE: If a change of duty status occurs at (iii) The beginning and finishing
a location other than a city, town, or village, time, including a.m. or p.m., worked
show one of the following: (1) The highway for each carrier.
number and nearest milepost followed by the
(2) Motor carriers, when using a driv-
name of the nearest city, town, or village
and State abbreviation, (2) the highway er for the first time or intermittently,
number and the name of the service plaza shall obtain from the driver a signed
followed by the name of the nearest city, statement giving the total time on
town, or village and State abbreviation, or duty during the immediately preceding
(3) the highway numbers of the nearest two 7 days and the time at which the driver
intersecting roadways followed by the name was last relieved from duty prior to be-
of the nearest city, town, or village and ginning work for the motor carriers.
State abbreviation.
(k) Retention of driver’s record of duty
(i) Filing driver’s record of duty status. status. (1) Each motor carrier shall
The driver shall submit or forward by maintain records of duty status and all
mail the original driver’s record of supporting documents for each driver
duty status to the regular employing it employs for a period of six months
motor carrier within 13 days following from the date of receipt.
the completion of the form. (2) The driver shall retain a copy of
(j) Drivers used by more than one motor each record of duty status for the pre-
carrier. (1) When the services of a driver vious 7 consecutive days which shall be
are used by more than one motor car- in his/her possession and available for
rier during any 24-hour period in effect inspection while on duty.
at the driver’s home terminal, the driv-
NOTE: Driver’s Record of Duty Status.
er shall submit a copy of the record of
duty status to each motor carrier. The The graph grid, when incorporated as part
record shall include: of any form used by a motor carrier, must be
of sufficient size to be legible.
(i) All duty time for the entire 24-
The following executed specimen grid illus-
hour period; trates how a driver’s duty status should be
(ii) The name of each motor carrier recorded for a trip from Richmond, Virginia,
served by the driver during that period; to Newark, New Jersey. The grid reflects the
and midnight to midnight 24 hour period.

Graph Grid (Midnight to Midnight Operation) handling details with the local police. The
driver arrived at the company’s Baltimore,
The driver in this instance reported for
Maryland, terminal at noon and went to
duty at the motor carrier’s terminal. The
lunch while minor repairs were made to the
driver reported for work at 6 a.m., helped tractor. At 1 p.m. the driver resumed the trip
load, checked with dispatch, made a pretrip and made a delivery in Philadelphia, Penn-
inspection, and performed other duties until sylvania, between 3 p.m. and 3:30 p.m. at
7:30 a.m. when the driver began driving. At 9 which time the driver started driving again.
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a.m. the driver had a minor accident in Fred- Upon arrival at Cherry Hill, New Jersey, at
ericksburg, Virginia, and spent one half hour 4 p.m., the driver entered the sleeper berth

466
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Federal Motor Carrier Safety Administration, DOT § 395.13
for a rest break until 5:45 p.m. at which time that driver may lawfully do so under
the driver resumed driving again. At 7 p.m. the rules in this part.
the driver arrived at the company’s terminal
in Newark, New Jersey. Between 7 p.m. and
(ii) Require a driver who has been de-
8 p.m. the driver prepared the required pa- clared out of service for failure to pre-
perwork including completing the driver’s pare a record of duty status to operate
record of duty status, driver vehicle inspec- a commercial motor vehicle until that
tion report, insurance report for the Fred- driver has been off duty for the appro-
ericksburg, Virginia accident, checked for priate number of consecutive hours re-
the next day’s dispatch, etc. At 8 p.m., the
driver went off duty. quired by this part and is in compli-
ance with this section. The appropriate
(Approved by the Office of Management and consecutive hours off-duty may include
Budget under control number 2125–0016)
sleeper berth time.
[47 FR 53389, Nov. 26, 1982, as amended at 49 (2) A motor carrier shall complete
FR 38290, Sept. 28, 1984; 49 FR 46147, Nov. 23, the ‘‘Motor Carrier Certification of Ac-
1984; 51 FR 12622, Apr. 14, 1986; 52 FR 41721,
Oct. 30, 1987; 53 FR 18058, May 19, 1988; 53 FR
tion Taken’’ portion of the form MCS–
38670, Sept. 30, 1988; 57 FR 33649, July 30, 1992; 63 (Driver-Vehicle Examination Re-
58 FR 33777, June 21, 1993; 59 FR 8753, Feb. 23, port) and deliver the copy of the form
1994; 60 FR 38748, July 28, 1995; 62 FR 16709, either personally or by mail to the Di-
Apr. 8, 1997; 63 FR 33279, June 18, 1998] vision Administrator or State Director
Federal Motor Carrier Safety Adminis-
§§ 395.10–395.12 [Reserved]
tration, at the address specified upon
§ 395.13 Drivers declared out of serv- the form within 15 days following the
ice. date of examination. If the motor car-
rier mails the form, delivery is made
(a) Authority to declare drivers out of
on the date it is postmarked.
service. Every special agent of the Fed-
eral Motor Carrier Safety Administra- (d) Responsibilities of the driver. (1) No
tion (as defined in appendix B to this driver who has been declared out of
subchapter) is authorized to declare a service shall operate a commercial
driver out of service and to notify the motor vehicle until that driver may
motor carrier of that declaration, upon lawfully do so under the rules of this
finding at the time and place of exam- part.
ination that the driver has violated the (2) No driver who has been declared
out of service criteria as set forth in out of service, for failing to prepare a
paragraph (b) of this section. record of duty status, shall operate a
(b) Out of service criteria. (1) No driver commercial motor vehicle until the
shall drive after being on duty in ex- driver has been off duty for the appro-
cess of the maximum periods permitted priate number of consecutive hours re-
by this part. quired by this part and is in compli-
(2) No driver required to maintain a ance with this section.
record of duty status under § 395.8 or (3) A driver to whom a form has been
§ 395.15 of this part shall fail to have a tendered declaring the driver out of
record of duty status current on the service shall within 24 hours thereafter
day of examination and for the prior deliver or mail the copy to a person or
seven consecutive days. place designated by motor carrier to
(3) Exception. A driver failing only to receive it.
have possession of a record of duty sta- (4) Section 395.13 does not alter the
tus current on the day of examination
hazardous materials requirements pre-
and the prior day, but has completed
scribed in § 397.5 pertaining to attend-
records of duty status up to that time
ance and surveillance of commercial
(previous 6 days), will be given the op-
portunity to make the duty status motor vehicles.
record current. [44 FR 34963, June 18, 1979, as amended at 47
(c) Responsibilities of motor carriers. (1) FR 53392, Nov. 26, 1982; 51 FR 12622, Apr. 14,
No motor carrier shall: 1986; 53 FR 18058, May 19, 1988; 53 FR 38670,
(i) Require or permit a driver who Sept. 30, 1988; 53 FR 47544, Nov. 23, 1988; 60 FR
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has been declared out of service to op- 38748, July 28, 1995; 68 FR 22516, Apr. 28, 2003;
erate a commercial motor vehicle until 70 FR 50073, Aug. 25, 2005]

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§ 395.15 49 CFR Ch. III (10–1–07 Edition)

§ 395.15 Automatic on-board recording (5) All hard copies of the driver’s
devices. record of duty status must be signed by
(a) Authority to use automatic on-board the driver. The driver’s signature cer-
recording device. (1) A motor carrier tifies that the information contained
may require a driver to use an auto- thereon is true and correct.
matic on-board recording device to (c) The duty status and additional in-
record the driver’s hours of service in formation shall be recorded as follows:
lieu of complying with the require- (1) ‘‘Off duty’’ or ‘‘OFF’’, or by an
ments of § 395.8 of this part. identifiable code or character;
(2) Every driver required by a motor (2) ‘‘Sleeper berth’’ or ‘‘SB’’ or by an
carrier to use an automatic on-board identifiable code or character (only if
recording device shall use such device the sleeper berth is used);
to record the driver’s hours of service. (3) ‘‘Driving’’ or ‘‘D’’, or by an identi-
(b) Information requirements. (1) Auto- fiable code or character; and
matic on-board recording devices shall (4) ‘‘On-duty not driving’’ or ‘‘ON’’, or
produce, upon demand, a driver’s hours by an identifiable code or character.
of service chart, electronic display, or (5) Date;
printout showing the time and se- (6) Total miles driving today;
quence of duty status changes includ- (7) Truck or tractor and trailer num-
ing the drivers’ starting time at the be- ber;
ginning of each day. (8) Name of carrier;
(2) The device shall provide a means (9) Main office address;
whereby authorized Federal, State, or (10) 24-hour period starting time (e.g.,
local officials can immediately check midnight, 9:00 a.m., noon, 3:00 p.m.)
the status of a driver’s hours of service. (11) Name of co-driver;
This information may be used in con- (12) Total hours; and
junction with handwritten or printed (13) Shipping document number(s), or
records of duty status, for the previous name of shipper and commodity.
7 days. (d) Location of duty status change. (1)
(3) Support systems used in conjunc- For each change of duty status (e.g.,
tion with on-board recorders at a driv- the place and time of reporting for
er’s home terminal or the motor car- work, starting to drive, on-duty not
rier’s principal place of business must driving and where released from work),
be capable of providing authorized Fed- the name of the city, town, or village,
eral, State or local officials with sum- with State abbreviation, shall be re-
maries of an individual driver’s hours corded.
of service records, including the infor- (2) Motor carriers are permitted to
mation specified in § 395.8(d) of this use location codes in lieu of the re-
part. The support systems must also quirements of paragraph (d)(1) of this
provide information concerning on- section. A list of such codes showing
board system sensor failures and iden- all possible location identifiers shall be
tification of edited data. Such support carried in the cab of the commercial
systems should meet the information motor vehicle and available at the
interchange requirements of the Amer- motor carrier’s principal place of busi-
ican National Standard Code for Infor- ness. Such lists shall be made available
mation Interchange (ANSCII) (EIARS– to an enforcement official on request.
232/CCITT V.24 port (National Bureau (e) Entries made by driver only. If a
of Standards ‘‘Code for Information driver is required to make written en-
Interchange,’’ FIPS PUB 1–1)). tries relating to the driver’s duty sta-
(4) The driver shall have in his/her tus, such entries must be legible and in
possession records of duty status for the driver’s own handwriting.
the previous 7 consecutive days avail- (f) Reconstruction of records of duty
able for inspection while on duty. status. Drivers are required to note any
These records shall consist of informa- failure of automatic on-board record-
tion stored in and retrievable from the ing devices, and to reconstruct the
automatic on-board recording device, driver’s record of duty status for the
handwitten records, computer gen- current day, and the past 7 days, less
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erated records, or any combination any days for which the drivers have
thereof. records, and to continue to prepare a

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Federal Motor Carrier Safety Administration, DOT § 395.15

handwritten record of all subsequent audibly that the device has ceased to
duty status until the device is again function. Devices installed and oper-
operational. ational as of October 31, 1988, and au-
(g) On-board information. Each com- thorized to be used in lieu of the hand-
mercial motor vehicle must have on- written record of duty status by the
board the commercial motor vehicle an FMCSA are exempted from this re-
information packet containing the fol- quirement.
lowing items: (5) Automatic on-board recording de-
(1) An instruction sheet describing in vices with electronic displays shall
detail how data may be stored and re- have the capability of displaying the
trieved from an automatic on-board re- following:
cording system; and (i) Driver’s total hours of driving
(2) A supply of blank driver’s records today;
of duty status graph-grids sufficient to (ii) The total hours on duty today;
record the driver’s duty status and (iii) Total miles driving today;
other related information for the dura- (iv) Total hours on duty for the 7
tion of the current trip. consecutive day period, including
(h) Submission of driver’s record of duty today;
status. (1) The driver shall submit, elec- (v) Total hours on duty for the prior
tronically or by mail, to the employing 8 consecutive day period, including the
motor carrier, each record of the driv- present day; and
er’s duty status within 13 days fol- (vi) The sequential changes in duty
lowing the completion of each record; status and the times the changes oc-
(2) The driver shall review and verify curred for each driver using the device.
that all entries are accurate prior to (6) The on-board recorder is capable
submission to the employing motor of recording separately each driver’s
carrier; and duty status when there is a multiple-
(3) The submission of the record of driver operation;
duty status certifies that all entries (7) The on-board recording device/sys-
made by the driver are true and cor- tem identifies sensor failures and edit-
rect. ed data when reproduced in printed
(i) Performance of recorders. Motor form. Devices installed and operational
carriers that use automatic on-board as of October 31, 1988, and authorized to
recording devices for recording their be used in lieu of the handwritten
drivers’ records of duty status in lieu record of duty status by the FMCSA
of the handwritten record shall ensure are exempted from this requirement.
that: (8) The on-board recording device is
(1) A certificate is obtained from the maintained and recalibrated in accord-
manufacturer certifying that the de- ance with the manufacturer’s specifica-
sign of the automatic on-board re- tions;
corder has been sufficiently tested to (9) The motor carrier’s drivers are
meet the requirements of this section adequately trained regarding the prop-
and under the conditions it will be er operation of the device; and
used; (10) The motor carrier must maintain
(2) The automatic on-board recording a second copy (back-up copy) of the
device permits duty status to be up- electronic hours-of-service files, by
dated only when the commercial motor month, in a different physical location
vehicle is at rest, except when reg- than where the original data is stored.
istering the time a commercial motor (j) Rescission of authority. (1) The
vehicle crosses a State boundary; FMCSA may, after notice and oppor-
(3) The automatic on-board recording tunity to reply, order any motor car-
device and associated support systems rier or driver to comply with the re-
are, to the maximum extent prac- quirements of § 395.8 of this part.
ticable, tamperproof and do not permit (2) The FMCSA may issue such an
altering of the information collected order if the FMCSA has determined
concerning the driver’s hours of serv- that—
ice; (i) The motor carrier has been issued
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(4) The automatic on-board recording a conditional or unsatisfactory safety


device warns the driver visually and/or rating by the FMCSA;

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Pt. 396 49 CFR Ch. III (10–1–07 Edition)

(ii) The motor carrier has required or cally inspected, repaired, and main-
permitted a driver to establish, or the tained, all motor vehicles subject to its
driver has established, a pattern of ex- control.
ceeding the hours of service limita- (1) Parts and accessories shall be in
tions of this part; safe and proper operating condition at
(iii) The motor carrier has required all times. These include those specified
or permitted a driver to fail, or the in part 393 of this subchapter and any
driver has failed, to accurately and additional parts and accessories which
completely record the driver’s hours of may affect safety of operation, includ-
service as required in this section; or ing but not limited to, frame and frame
(iv) The motor carrier or driver has assemblies, suspension systems, axles
tampered with or otherwise abused the and attaching parts, wheels and rims,
automatic on-board recording device and steering systems.
on any commercial motor vehicle. (2) Pushout windows, emergency
[53 FR 38670, Sept. 30, 1988, as amended at 60 doors, and emergency door marking
FR 38748, July 28, 1995; 68 FR 22516, Apr. 28, lights in buses shall be inspected at
2003; 70 FR 50073, Aug. 25, 2005] least every 90 days.
(b) Required records—For vehicles
PART 396—INSPECTION, REPAIR, controlled for 30 consecutive days or
AND MAINTENANCE more, except for a private motor car-
rier of passengers (nonbusiness), the
Sec. motor carriers shall maintain, or cause
396.1 Scope. to be maintained, the following record
396.3 Inspection, repair, and maintenance. for each vehicle:
396.5 Lubrication. (1) An identification of the vehicle
396.7 Unsafe operations forbidden. including company number, if so
396.9 Inspection of motor vehicles in oper- marked, make, serial number, year,
ation.
and tire size. In addition, if the motor
396.11 Driver vehicle inspection report(s).
396.13 Driver inspection. vehicle is not owned by the motor car-
396.15 Driveaway-towaway operations and rier, the record shall identify the name
inspections. of the person furnishing the vehicle;
396.17 Periodic inspection. (2) A means to indicate the nature
396.19 Inspector qualifications. and due date of the various inspection
396.21 Periodic inspection recordkeeping re- and maintenance operations to be per-
quirements.
396.23 Equivalent to periodic inspection.
formed;
396.25 Qualifications of brake inspectors. (3) A record of inspection, repairs,
and maintenance indicating their date
AUTHORITY: 49 U.S.C. 31133, 31136, and 31502; and nature; and
and 49 CFR 1.73.
(4) A record of tests conducted on
SOURCE: 44 FR 38526, July 2, 1979, unless pushout windows, emergency doors,
otherwise noted. and emergency door marking lights on
EDITORIAL NOTE: Nomenclature changes to buses.
part 396 appear at 66 FR 49874, Oct. 1, 2001. (c) Record retention. The records re-
quired by this section shall be retained
§ 396.1 Scope. where the vehicle is either housed or
General—Every motor carrier, its of- maintained for a period of 1 year and
ficers, drivers, agents, representatives, for 6 months after the motor vehicle
and employees directly concerned with leaves the motor carrier’s control.
the inspection or maintenance of
[44 FR 38526, July 2, 1979, as amended at 48
motor vehicles shall comply and be FR 55868, Dec. 16, 1983; 53 FR 18058, May 19,
conversant with the rules of this part. 1988; 59 FR 8753, Feb. 23, 1994; 59 FR 60324,
[44 FR 38526, July 2, 1979, as amended at 53 Nov. 23, 1994]
FR 18058, May 19, 1988]
§ 396.5 Lubrication.
§ 396.3 Inspection, repair, and mainte- Every motor carrier shall ensure that
nance. each motor vehicle subject to its con-
(a) General. Every motor carrier shall trol is—
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systematically inspect, repair, and (a) Properly lubricated; and


maintain, or cause to be systemati- (b) Free of oil and grease leaks.

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Federal Motor Carrier Safety Administration, DOT § 396.11

§ 396.7 Unsafe operations forbidden. motor vehicle prior to completion of


(a) General. A motor vehicle shall not all repairs required by the ‘‘out of serv-
be operated in such a condition as to ice notice’’.
likely cause an accident or a break- (d) Motor carrier disposition. (1) The
down of the vehicle. driver of any motor vehicle receiving
(b) Exemption. Any motor vehicle dis- an inspection report shall deliver it to
covered to be in an unsafe condition the motor carrier operating the vehicle
while being operated on the highway upon his/her arrival at the next ter-
may be continued in operation only to minal or facility. If the driver is not
the nearest place where repairs can scheduled to arrive at a terminal or fa-
safely be effected. Such operation shall cility of the motor carrier operating
be conducted only if it is less haz- the vehicle within 24 hours, the driver
ardous to the public than to permit the shall immediately mail the report to
vehicle to remain on the highway. the motor carrier.
(2) Motor carriers shall examine the
§ 396.9 Inspection of motor vehicles in report. Violations or defects noted
operation. thereon shall be corrected.
(a) Personnel authorized to perform in- (3) Within 15 days following the date
spections. Every special agent of the of the inspection, the motor carrier
FMCSA (as defined in appendix B to shall—
this subchapter) is authorized to enter (i) Certify that all violations noted
upon and perform inspections of motor have been corrected by completing the
carrier’s vehicles in operation. ‘‘Signature of Carrier Official, Title,
(b) Prescribed inspection report. The and Date Signed’’ portions of the form;
Driver Vehicle Examination Report and
shall be used to record results of motor (ii) Return the completed roadside
vehicle inspections conducted by au- inspection form to the issuing agency
thorized FMCSA personnel. at the address indicated on the form
(c) Motor vehicles declared ‘‘out of serv- and retain a copy at the motor car-
ice.’’ (1) Authorized personnel shall de- rier’s principal place of business or
clare and mark ‘‘out of service’’ any where the vehicle is housed for 12
motor vehicle which by reason of its months from the date of the inspec-
mechanical condition or loading would tion.
likely cause an accident or a break-
(49 U.S.C. 3102; 49 CFR 1.48(b))
down. An ‘‘Out of Service Vehicle’’
sticker shall be used to mark vehicles [44 FR 38526, July 2, 1979, as amended at 49
‘‘out of service.’’ FR 38290, Sept. 28, 1984; 57 FR 40964, Sept. 8,
(2) No motor carrier shall require or 1992; 68 FR 56208, Sept. 30, 2003]
permit any person to operate nor shall § 396.11 Driver vehicle inspection re-
any person operate any motor vehicle port(s).
declared and marked ‘‘out of service’’
until all repairs required by the ‘‘out of (a) Report required. Every motor car-
service notice’’ have been satisfac- rier shall require its drivers to report,
torily completed. The term ‘‘operate’’ and every driver shall prepare a report
as used in this section shall include in writing at the completion of each
towing the vehicle, except that vehi- day’s work on each vehicle operated
cles marked ‘‘out of service’’ may be and the report shall cover at least the
towed away by means of a vehicle following parts and accessories:
using a crane or hoist. A vehicle com- —Service brakes including trailer brake con-
bination consisting of an emergency nections
towing vehicle and an ‘‘out of service’’ —Parking (hand) brake
vehicle shall not be operated unless —Steering mechanism
such combination meets the perform- —Lighting devices and reflectors
—Tires
ance requirements of this subchapter
—Horn
except for those conditions noted on —Windshield wipers
the Driver Equipment Compliance —Rear vision mirrors
Check. —Coupling devices
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(3) No person shall remove the ‘‘Out —Wheels and rims


of Service Vehicle’’ sticker from any —Emergency equipment

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§ 396.13 49 CFR Ch. III (10–1–07 Edition)

(b) Report content. The report shall edge that the driver has reviewed it
identify the vehicle and list any defect and that there is a certification that
or deficiency discovered by or reported the required repairs have been per-
to the driver which would affect the formed. The signature requirement
safety of operation of the vehicle or re- does not apply to listed defects on a
sult in its mechanical breakdown. If no towed unit which is no longer part of
defect or deficiency is discovered by or the vehicle combination.
reported to the driver, the report shall [44 FR 76526, Dec. 27, 1979, as amended at 48
so indicate. In all instances, the driver FR 55868, Dec. 16, 1983; 63 FR 33280, June 18,
shall sign the report. On two-driver op- 1998]
erations, only one driver needs to sign
the driver vehicle inspection report, § 396.15 Driveaway-towaway oper-
provided both drivers agree as to the ations and inspections.
defects or deficiencies identified. If a (a) General. Effective December 7,
driver operates more than one vehicle 1989, every motor carrier, with respect
during the day, a report shall be pre- to motor vehicles engaged in
pared for each vehicle operated. driveaway-towaway operations, shall
(c) Corrective action. Prior to requir- comply with the requirements of this
ing or permitting a driver to operate a part. EXCEPTION: Maintenance records
vehicle, every motor carrier or its required by § 396.3, the vehicle inspec-
agent shall repair any defect or defi- tion report required by § 396.11, and the
ciency listed on the driver vehicle in- periodic inspection required by § 396.17
spection report which would be likely of this part shall not be required for
to affect the safety of operation of the any vehicle which is part of the ship-
vehicle. ment being delivered.
(1) Every motor carrier or its agent (b) Pre-trip inspection. Before the be-
shall certify on the original driver ve- ginning of any driveaway-towaway op-
hicle inspection report which lists any eration of motor vehicles in combina-
defect or deficiency that the defect or tion, the motor carrier shall make a
deficiency has been repaired or that re- careful inspection and test to ascertain
pair is unnecessary before the vehicle that:
is operated again. (1) The towbar or saddle-mount con-
(2) Every motor carrier shall main- nections are properly secured to the
tain the original driver vehicle inspec- towed and towing vehicle;
tion report, the certification of repairs, (2) They function adequately without
and the certification of the driver’s re- cramping or binding of any of the
view for three months from the date parts; and
the written report was prepared. (3) The towed motor vehicle follows
(d) Exceptions. The rules in this sec- substantially in the path of the towing
tion shall not apply to a private motor vehicle without whipping or swerving.
carrier of passengers (nonbusiness), a (c) Post-trip inspection. Motor carriers
driveaway-towaway operation, or any shall maintain practices to ensure that
motor carrier operating only one com- following completion of any trip in
mercial motor vehicle. driveaway-towaway operation of motor
vehicles in combination, and before
[44 FR 38526, July 2, 1979, as amended at 45
they are used again, the towbars and
FR 46425, July 10, 1980; 53 FR 18058, May 19,
1988; 59 FR 8753, Feb. 23, 1994; 63 FR 33279, saddle-mounts are disassembled and in-
June 18, 1998] spected for worn, bent, cracked, bro-
ken, or missing parts. Before reuse,
§ 396.13 Driver inspection. suitable repair or replacement shall be
Before driving a motor vehicle, the made of any defective parts and the de-
driver shall: vices shall be properly reassembled.
(a) Be satisfied that the motor vehi- [44 FR 38526, July 2, 1979, as amended at 53
cle is in safe operating condition; FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12,
(b) Review the last driver vehicle in- 1988]
spection report; and
(c) Sign the report, only if defects or § 396.17 Periodic inspection.
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deficiencies were noted by the driver (a) Every commercial motor vehicle
who prepared the report, to acknowl- shall be inspected as required by this

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Federal Motor Carrier Safety Administration, DOT § 396.19

section. The inspection shall include, equivalent jurisdiction or the FMCSA,


at a minimum, the parts and acces- meeting the minimum standards con-
sories set forth in appendix G of this tained in appendix G of this sub-
subchapter. chapter, will be considered to have met
the requirements of an annual inspec-
NOTE: The term commercial motor vehicle
includes each vehicle in a combination vehi- tion for a period of 12 months com-
cle. For example, for a tractor semitrailer, mencing from the last day of the
fulltrailer combination, the tractor, month in which the inspection was per-
semitrailer, and the fulltrailer (including the formed, except as provided in
converter dolly if so equipped) shall each be § 396.23(b)(1).
inspected. (g) It shall be the responsibility of
(b) Except as provided in § 396.23, a the motor carrier to ensure that all
motor carrier shall inspect or cause to parts and accessories not meeting the
be inspected all motor vehicles subject minimum standards set forth in appen-
to its control. dix G to this subchapter are repaired
(c) A motor carrier shall not use a promptly.
commercial motor vehicle unless each (h) Failure to perform properly the
component identified in appendix G has annual inspection set forth in this sec-
passed an inspection in accordance tion shall cause the motor carrier to be
with the terms of this section at least subject to the penalty provisions pro-
once during the preceding 12 months vided by 49 U.S.C. 521(b).
and documentation of such inspection [53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12,
is on the vehicle. The documentation 1988, as amended at 54 FR 50725, Dec. 8, 1989]
may be:
(1) The inspection report prepared in § 396.19 Inspector qualifications.
accordance with paragraph 396.21(a), or (a) It shall be the motor carrier’s re-
(2) Other forms of documentation, sponsibility to ensure that the indi-
based on the inspection report (e.g., vidual(s) performing an annual inspec-
sticker or decal), which contains the tion under § 396.17 (d) or (e) is qualified
following information: as follows:
(i) The date of inspection; (1) Understands the inspection cri-
(ii) Name and address of the motor teria set forth in 49 CFR part 393 and
carrier or other entity where the in- appendix G of this subchapter and can
spection report is maintained; identify defective components;
(iii) Information uniquely identifying (2) Is knowledgeable of and has mas-
the vehicle inspected if not clearly tered the methods, procedures, tools
marked on the motor vehicle; and and equipment used when performing
(iv) A certification that the vehicle an inspection; and
has passed an inspection in accordance (3) Is capable of performing an in-
with § 396.17. spection by reason of experience, train-
(d) A motor carrier may perform the ing, or both as follows:
required annual inspection for vehicles (i) Successfully completed a State or
under the carrier’s control which are Federal-sponsored training program or
not subject to an inspection under has a certificate from a State or Cana-
§ 396.23(b)(1). dian Province which qualifies the per-
(e) In lieu of the self inspection pro- son to perform commercial motor vehi-
vided for in paragraph (d) of this sec- cle safety inspections, or
tion, a motor carrier may choose to (ii) Have a combination of training
have a commercial garage, fleet leasing and/or experience totaling at least 1
company, truck stop, or other similar year. Such training and/or experience
commercial business perform the in- may consist of:
spection as its agent, provided that (A) Participation in a truck manufac-
business operates and maintains facili- turer-sponsored training program or
ties appropriate for commercial vehicle similar commercial training program
inspections and it employs qualified in- designed to train students in truck op-
spectors, as required by § 396.19. eration and maintenance;
(f) Vehicles passing roadside or peri- (B) Experience as a mechanic or in-
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odic inspections performed under the spector in a motor carrier maintenance


auspices of any State government or program;

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§ 396.21 49 CFR Ch. III (10–1–07 Edition)

(C) Experience as a mechanic or in- (3) Exception. Where the motor car-
spector in truck maintenance at a com- rier operating the commercial motor
mercial garage, fleet leasing company, vehicles did not perform the commer-
or similar facility; or cial motor vehicle’s last annual inspec-
(D) Experience as a commercial vehi- tion, the motor carrier shall be respon-
cle inspector for a State, Provincial or sible for obtaining the original or a
Federal Government. copy of the last annual inspection re-
(b) Evidence of that individual’s port upon demand of an authorized
qualifications under this section shall Federal, State, or local official.
be retained by the motor carrier for
[54 FR 50725, Dec. 8, 1989]
the period during which that individual
is performing annual motor vehicle § 396.23 Equivalent to periodic inspec-
inpspections for the motor carrier, and tion.
for one year thereafter. However,
motor carriers do not have to maintain (a) The motor carrier may meet the
documentation of inspector qualifica- requirements of § 396.17 through a State
tions for those inspections performed or other jurisdiction’s roadside inspec-
either as part of a State periodic in- tion program. The inspection must
spection program or at the roadside as have been performed during the pre-
part of a random roadside inspection ceding 12 months. In using the roadside
program. inspection, the motor carrier would
need to retain a copy of an annual in-
[53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12, spection report showing that the in-
1988] spection was performed in accordance
§ 396.21 Periodic inspection record- with the minimum periodic inspection
keeping requirements. standards set forth in appendix G to
this subchapter. When accepting such
(a) The qualified inspector per- an inspection report, the motor carrier
forming the inspection shall prepare a must ensure that the report complies
report which: with the requirements of § 396.21(a).
(1) Identifies the individual per- (b)(1) If a commercial motor vehicle
forming the inspection; is subject to a mandatory State inspec-
(2) Identifies the motor carrier oper-
tion program which is determined by
ating the vehicle;
the Administrator to be as effective as
(3) Identifies the date of the inspec-
§ 396.17, the motor carrier shall meet
tion;
the requirement of § 396.17 through that
(4) Identifies the vehicle inspected;
State’s inspection program. Commer-
(5) Identifies the vehicle components
cial motor vehicle inspections may be
inspected and describes the results of
conducted by State personnel, at State
the inspection, including the identi-
authorized commercial facilities, or by
fication of those components not meet-
the motor carrier under the auspices of
ing the minimum standards set forth in
a State authorized self-inspection pro-
appendix G to this subchapter; and
gram.
(6) Certifies the accuracy and com-
pleteness of the inspection as com- (2) Should the FMCSA determine
plying with all the requirements of this that a State inspection program, in
section. whole or in part, is not as effective as
(b)(1) The original or a copy of the in- § 396.17, the motor carrier must ensure
spection report shall be retained by the that the periodic inspection required
motor carrier or other entity who is re- by § 396.17 is performed on all commer-
sponsible for the inspection for a period cial motor vehicles under its control in
of fourteen months from the date of a manner specified in § 396.17.
the inspection report. The original or a [53 FR 49410, Dec. 7, 1988; 53 FR 49968, Dec. 12,
copy of the inspection report shall be 1988, as amended at 60 FR 38749, July 28, 1995]
retained where the vehicle is either
housed or maintained. § 396.25 Qualifications of brake inspec-
(2) The original or a copy of the in- tors.
spection report shall be available for (a) The motor carrier shall ensure
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inspection upon demand of an author- that all inspections, maintenance, re-


ized Federal, State or local official. pairs or service to the brakes of its

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Federal Motor Carrier Safety Administration, DOT Pt. 397

commercial motor vehicles, are per- the assigned brake service or inspec-
formed in compliance with the require- tion task in a motor carrier mainte-
ments of this section. nance program; or
(b) For purposes of this section, brake (C) Experience performing brake
inspector means any employee of a maintenance or inspection similar to
motor carrier who is responsible for en- the assigned brake service or inspec-
suring all brake inspections, mainte- tion task at a commercial garage, fleet
nance, service, or repairs to any com- leasing company, or similar facility.
mercial motor vehicle, subject to the (e) No motor carrier shall employ
motor carrier’s control, meet the appli- any person as a brake inspector unless
cable Federal standards. the evidence of the inspector’s quali-
(c) No motor carrier shall require or fications, required under this section is
permit any employee who does not maintained by the motor carrier at its
meet the minimum brake inspector principal place of business, or at the lo-
qualifications of § 396.25(d) to be respon- cation at which the brake inspector is
sible for the inspection, maintenance, employed. The evidence must be main-
service or repairs of any brakes on its tained for the period during which the
commercial motor vehicles. brake inspector is employed in that ca-
(d) The motor carrier shall ensure pacity and for one year thereafter.
that each brake inspector is qualified However, motor carriers do not have to
as follows: maintain evidence of qualifications to
(1) Understands the brake service or inspect air brake systems for such in-
inspection task to be accomplished and spections performed by persons who
can perform that task; and have passed the air brake knowledge
(2) Is knowledgeable of and has mas- and skills test for a Commercial Driv-
tered the methods, procedures, tools er’s License.
and equipment used when performing [56 FR 491, Jan. 7, 1991]
an assigned brake service or inspection
task; and
(3) Is capable of performing the as- PART 397—TRANSPORTATION OF
signed brake service or inspection by HAZARDOUS MATERIALS; DRIV-
reason of experience, training or both ING AND PARKING RULES
as follows:
(i) Has successfully completed an ap- Subpart A—General
prenticeship program sponsored by a Sec.
State, a Canadian Province, a Federal 397.1 Application of the rules in this part.
agency or a labor union, or a training 397.2 Compliance with Federal motor car-
program approved by a State, Provin- rier safety regulations.
cial or Federal agency, or has a certifi- 397.3 State and local laws, ordinances, and
cate from a State or Canadian Province regulations.
397.5 Attendance and surveillance of motor
which qualifies the person to perform
vehicles.
the assigned brake service or inspec- 397.7 Parking.
tion task (including passage of Com- 397.9 [Reserved]
mercial Driver’s License air brake 397.11 Fires.
tests in the case of a brake inspection); 397.13 Smoking.
or 397.15 Fueling.
(ii) Has brake-related training or ex- 397.17 Tires.
perience or a combination thereof to- 397.19 Instructions and documents.
taling at least one year. Such training Subpart B [Reserved]
or experience may consist of:
(A) Participation in a training pro- Subpart C—Routing of Non-Radioactive
gram sponsored by a brake or vehicle Hazardous Materials
manufacturer or similar commercial
training program designed to train stu- 397.61 Purpose and scope.
397.63 Applicability.
dents in brake maintenance or inspec-
397.65 Definitions.
tion similar to the assigned brake serv- 397.67 Motor carrier responsibility for rout-
ice or inspection tasks; or
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ing.
(B) Experience performing brake 397.69 Highway routing designations; pre-
maintenance or inspection similar to emption.

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§ 397.1 49 CFR Ch. III (10–1–07 Edition)
397.71 Federal standards. § 397.2 Compliance with Federal motor
397.73 Public information and reporting re- carrier safety regulations.
quirements.
397.75 Dispute resolution. A motor carrier or other person to
397.77 Judicial review of dispute decision. whom this part is applicable must com-
ply with the rules in parts 390 through
Subpart D—Routing of Class 7 397, inclusive, of this subchapter when
(Radioactive) Materials he/she is transporting hazardous mate-
397.101 Requirements for motor carriers and rials by a motor vehicle which must be
drivers. marked or placarded in accordance
397.103 Requirements for State routing des- with § 177.823 of this title.
ignations.
[37 FR 18080, Sept. 7, 1972]
Subpart E—Preemption Procedures
§ 397.3 State and local laws, ordi-
397.201 Purpose and scope of the procedures. nances, and regulations.
397.203 Standards for determining preemp- Every motor vehicle containing haz-
tion.
ardous materials must be driven and
397.205 Preemption application.
397.207 Preemption notice. parked in compliance with the laws, or-
397.209 Preemption processing. dinances, and regulations of the juris-
397.211 Preemption determination. diction in which it is being operated,
397.213 Waiver of preemption application. unless they are at variance with spe-
397.215 Waiver notice. cific regulations of the Department of
397.217 Waiver processing. Transportation which are applicable to
397.219 Waiver determination and order. the operation of that vehicle and which
397.221 Timeliness.
397.223 Petition for reconsideration. impose a more stringent obligation or
397.225 Judicial review. restraint.
AUTHORITY: 49 U.S.C. 322; 49 CFR 1.73. Sub- § 397.5 Attendance and surveillance of
part A also issued under 49 U.S.C. 5103, 31136, motor vehicles.
31502, and 49 CFR 1.53. Subparts C, D, and E
also issued under 49 U.S.C. 5112, 5125. (a) Except as provided in paragraph
(b) of this section, a motor vehicle
SOURCE: 36 FR 4876, Mar. 13, 1971, unless
otherwise noted.
which contains a Division 1.1, 1.2, or 1.3
(explosive) material must be attended
EDITORIAL NOTE: Nomenclature changes to at all times by its driver or a qualified
part 397 appear at 66 FR 49874, Oct. 1, 2001. representative of the motor carrier
that operates it.
Subpart A—General (b) The rules in paragraph (a) of this
section do not apply to a motor vehicle
§ 397.1 Application of the rules in this which contains Division 1.1, 1.2, or 1.3
part.
material if all the following conditions
(a) The rules in this part apply to exist—
each motor carrier engaged in the (1) The vehicle is located on the prop-
transportation of hazardous materials erty of a motor carrier, on the property
by a motor vehicle which must be of a shipper or consignee of the explo-
marked or placarded in accordance sives, in a safe haven, or, in the case of
with § 177.823 of this title and to— a vehicle containing 50 pounds or less
(1) Each officer or employee of the of a Division 1.1, 1.2, or 1.3 material, on
motor carrier who performs super- a construction or survey site; and
visory duties related to the transpor- (2) The lawful bailee of the explosives
tation of hazardous materials; and is aware of the nature of the explosives
(2) Each person who operates or who the vehicle contains and has been in-
is in charge of a motor vehicle con- structed in the procedures which must
taining hazardous materials. be followed in emergencies; and
(b) Each person designated in para- (3) The vehicle is within the bailee’s
graph (a) of this section must know unobstructed field of view or is located
and obey the rules in this part. in a safe haven.
[36 FR 4876, Mar. 13, 1971, as amended at 36 (c) A motor vehicle which contains
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FR 16067, Aug. 19, 1971; 53 FR 18058, May 19, hazardous materials other than Divi-
1988; 60 FR 38749, July 28, 1995] sion 1.1, 1.2, or 1.3, materials, and

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Federal Motor Carrier Safety Administration, DOT § 397.17

which is located on a public street or operation require the vehicle to be


highway, or the shoulder of a public parked and make it impracticable to
highway, must be attended by its driv- park the vehicle in any other place.
er. However, the vehicle need not be at- (b) A motor vehicle which contains
tended while its driver is performing hazardous materials other than Divi-
duties which are incident and nec- sion 1.1, 1.2, or 1.3 materials must not
essary to the driver’s duties as the op- be parked on or within five feet of the
erator of the vehicle. traveled portion of public street or
(d) For purposes of this section— highway except for brief periods when
(1) A motor vehicle is attended when the necessities of operation require the
the person in charge of the vehicle is vehicle to be parked and make it im-
on the vehicle, awake, and not in a practicable to park the vehicle in any
sleeper berth, or is within 100 feet of other place.
the vehicle and has it within his/her
unobstructed field of view. [59 FR 63925, Dec. 12, 1994]
(2) A qualified representative of a
motor carrier is a person who— § 397.9 [Reserved]
(i) Has been designated by the carrier
§ 397.11 Fires.
to attend the vehicle;
(ii) Is aware of the nature of the haz- (a) A motor vehicle containing haz-
ardous materials contained in the vehi- ardous materials must not be operated
cle he/she attends; near an open fire unless its driver has
(iii) Has been instructed in the proce- first taken precautions to ascertain
dures he/she must follow in emer- that the vehicle can safely pass the fire
gencies; and without stopping.
(iv) Is authorized to move the vehicle (b) A motor vehicle containing haz-
and has the means and ability to do so. ardous materials must not be parked
(3) A safe haven in an area specifi- within 300 feet of an open fire.
cally approved in writing by local,
State, or Federal governmental au- § 397.13 Smoking.
thorities for the parking of unattended No person may smoke or carry a
vehicles containing Division 1.1, 1.2, or lighted cigarette, cigar, or pipe on or
1.3 materials. within 25 feet of—
(e) The rules in this section do not (a) A motor vehicle which contains
relieve the driver from any obligation Class 1 materials, Class 5 materials, or
imposed by law relating to the placing flammable materials classified as Divi-
of warning devices when a motor vehi- sion 2.1, Class 3, Divisions 4.1 and 4.2; or
cle is stopped on a public street or (b) An empty tank motor vehicle
highway. which has been used to transport Class
[59 FR 63925, Dec. 12, 1994] 3, flammable materials, or Division 2.1
flammable gases, which when so used,
§ 397.7 Parking. was required to be marked or placarded
(a) A motor vehicle which contains in accordance with the rules in § 177.823
Division 1.1, 1.2, or 1.3 materials must of this title.
not be parked under any of the fol- [59 FR 63925, Dec. 12, 1994]
lowing circumstances—
(1) On or within 5 feet of the traveled § 397.15 Fueling.
portion of a public street or highway;
(2) On private property (including When a motor vehicle which contains
premises of fueling or eating facility) hazardous materials is being fueled—
without the knowledge and consent of (a) Its engine must not be operating;
the person who is in charge of the prop- and
erty and who is aware of the nature of (b) A person must be in control of the
the hazardous materials the vehicle fueling process at the point where the
contains; or fuel tank is filled.
(3) Within 300 feet of a bridge, tunnel,
dwelling, or place where people work, § 397.17 Tires.
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congregate, or assemble, except for (a) A driver must examine each tire
brief periods when the necessities of on a motor vehicle at the beginning of

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§ 397.19 49 CFR Ch. III (10–1–07 Edition)

each trip and each time the vehicle is (2) The documents specified in
parked. § 177.817 of this title; and
(b) If, as the result of an examination (3) The written route plan specified
pursuant to paragraph (a) of this sec- in § 397.67.
tion, or otherwise, a tire if found to be
[59 FR 63925, Dec. 12, 1994, as amended at 63
flat, leaking, or improperly inflated, FR 33280, June 18, 1998]
the driver must cause the tire to be re-
paired, replaced, or properly inflated
before the vehicle is driven. However, Subpart B [Reserved]
the vehicle may be driven to the near-
est safe place to perform the required Subpart C—Routing of Non-
repair, replacement, or inflation. Radioactive Hazardous Materials
(c) If, as the result of an examination
pursuant to paragraph (a) of this sec- SOURCE: 59 FR 51830, Oct. 12, 1994, unless
tion, or otherwise, a tire is found to be otherwise noted.
overheated, the driver shall imme-
diately cause the overheated tire to be § 397.61 Purpose and scope.
removed and placed at a safe distance This subpart contains routing re-
from the vehicle. The driver shall not quirements and procedures that States
operate the vehicle until the cause of and Indian tribes are required to follow
the overheating is corrected. if they establish, maintain, or enforce
(d) Compliance with the rules in this routing designations over which a non-
section does not relieve a driver from radioactive hazardous material
the duty to comply with the rules in (NRHM) in a quantity which requires
§§ 397.5 and 397.7. placarding may or may not be trans-
ported by a motor vehicle. It also pro-
§ 397.19 Instructions and documents. vides regulations for motor carriers
(a) A motor carrier that transports transporting placarded or marked
Division 1.1, 1.2, or 1.3 (explosive) mate- NRHM and procedures for dispute reso-
rials must furnish the driver of each lutions regarding NRHM routing des-
motor vehicle in which the explosives ignations.
are transported with the following doc-
uments: § 397.63 Applicability.
(1) A copy of the rules in this part; The provisions of this subpart apply
(2) [Reserved] to any State or Indian tribe that estab-
(3) A document containing instruc- lishes, maintains, or enforces any rout-
tions on procedures to be followed in ing designations over which NRHM
the event of accident or delay. The doc- may or may not be transported by
uments must include the names and motor vehicle. They also apply to any
telephone numbers of persons (includ- motor carrier that transports or causes
ing representatives of carriers or ship- to be transported placarded or marked
pers) to be contracted, the nature of NRHM in commerce.
the explosives being transported, and
the precautions to be taken in emer- § 397.65 Definitions.
gencies such as fires, accidents, or For purposes of this subpart, the fol-
leakages. lowing definitions apply:
(b) A driver who receives documents Administrator. The Federal Motor
in accordance with paragraph (a) of Carrier Safety Administrator, who is
this section must sign a receipt for the chief executive of the Federal
them. The motor carrier shall main- Motor Carrier Safety Administration,
tain the receipt for a period of one year an agency within the United States De-
from the date of signature. partment of Transportation, or his/her
(c) A driver of a motor vehicle which designate.
contains Division 1.1, 1.2, or 1.3 mate- Commerce. Any trade, traffic, or
rials must be in possession of, be famil- transportation in the United States
iar with, and be in compliance with which:
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(1) The documents specified in para- (1) Is between a place under the juris-
graph (a) of this section; diction of a State or Indian tribe and

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Federal Motor Carrier Safety Administration, DOT § 397.67

any place outside of such jurisdiction; Routing designations. Any regulation,


or limitation, restriction, curfew, time of
(2) Is solely within a place under the travel restriction, lane restriction,
jurisdiction of a State or Indian tribe routing ban, port-of-entry designation,
but which affects trade, traffic, or or route weight restriction, applicable
transportation described in subpara- to the highway transportation of
graph (a). NRHM over a specific highway route or
FMCSA. The Federal Motor Carrier portion of a route.
Safety Administration, an agency Secretary. The Secretary of Transpor-
within the Department of Transpor- tation.
tation. State. A State of the United States,
Hazardous material. A substance or the District of Columbia, the Common-
material, including a hazardous sub- wealth of Puerto Rico, the Common-
stance, which has been determined by wealth of the Northern Mariana Is-
the Secretary of Transportation to be lands, the Virgin Islands, American
capable of posing an unreasonable risk Samoa or Guam.
to health, safety, or property when § 397.67 Motor carrier responsibility
transported in commerce, and which for routing.
has been so designated.
(a) A motor carrier transporting
Indian tribe. Has the same meaning as
NRHM shall comply with NRHM rout-
contained in § 4 of the Indian Self-De-
ing designations of a State or Indian
termination and Education Act, 25
tribe pursuant to this subpart.
U.S.C. 450b.
(b) A motor carrier carrying haz-
Motor carrier. A for-hire motor carrier ardous materials required to be plac-
or a private motor carrier of property. arded or marked in accordance with 49
The term includes a motor carrier’s CFR 177.823 and not subject to a NRHM
agents, officers and representatives as routing designations pursuant to this
well as employees responsible for hir- subpart, shall operate the vehicle over
ing, supervising, training, assigning, or routes which do not go through or near
dispatching of drivers. heavily populated areas, places where
Motor vehicle. Any vehicle, machine, crowds are assembled, tunnels, narrow
tractor, trailer, or semitrailer pro- streets, or alleys, except where the
pelled or drawn by mechanical power motor carrier determines that:
and used upon the highways in the (1) There is no practicable alter-
transportation of passengers or prop- native;
erty, or any combination thereof. (2) A reasonable deviation is nec-
NRHM. A non-radioactive hazardous essary to reach terminals, points of
material transported by motor vehicle loading and unloading, facilities for
in types and quantities which require food, fuel, repairs, rest, or a safe haven;
placarding, pursuant to Table 1 or 2 of or
49 CFR 172.504. (3) A reasonable deviation is required
Political subdivision. A municipality, by emergency conditions, such as a de-
public agency or other instrumentality tour that has been established by a
of one or more States, or a public cor- highway authority, or a situation ex-
poration, board, or commission estab- ists where a law enforcement official
lished under the laws of one or more requires the driver to take an alter-
States. native route.
Radioactive material. Any material (c) Operating convenience is not a
having a specific activity greater than basis for determining whether it is
0.002 microcuries per gram (uCi/g), as practicable to operate a motor vehicle
defined in 49 CFR 173.403. in accordance with paragraph (b) of
Routing agency. The State highway this section.
agency or other State agency des- (d) Before a motor carrier requires or
ignated by the Governor of that State, permits a motor vehicle containing ex-
or an agency designated by an Indian plosives in Class 1, Divisions 1.1, 1.2,
tribe, to supervise, coordinate, and ap- 1.3, as defined in 49 CFR 173.50 and
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prove the NRHM routing designations 173.53 respectively, to be operated, the


for that State or Indian tribe. carrier or its agent shall prepare a

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§ 397.69 49 CFR Ch. III (10–1–07 Edition)

written route plan that complies with (b)(2)(ii) and (b)(3)(iv) of this section,
this section and shall furnish a copy to that any NRHM routing designation
the driver. However, the driver may enhances public safety in the areas
prepare the written plan as agent for subject to its jurisdiction and in other
the motor carrier when the trip begins areas which are directly affected by
at a location other than the carrier’s such highway routing designation. In
terminal. making such a finding, the State or In-
dian tribe shall consider:
§ 397.69 Highway routing designations; (i) The factors listed in paragraph
preemption. (b)(9) of this section; and
(a) Any State or Indian tribe that es- (ii) The DOT ‘‘Guidelines for Apply-
tablishes or modifies a highway rout- ing Criteria to Designate Routes for
ing designation over which NRHM may Transporting Hazardous Materials,’’
or may not be transported on or after DOT/RSPA/OHMT–89–02, July 1989 1 or
November 14, 1994, and maintains or en- its most current version; or an equiva-
forces such designation, shall comply lent routing analysis which adequately
with the highway routing standards set considers overall risk to the public.
forth in § 397.71 of this subpart. For pur- (2) Public participation. Prior to the
poses of this subpart, any highway establishment of any NRHM routing
routing designation affecting the high- designation, the State or Indian tribe
way transportation of NRHM, made by shall undertake the following actions
a political subdivision of a State is to ensure participation by the public in
considered as one made by that State, the routing process:
and all requirements of this subpart (i) The State or Indian tribe shall
apply. provide the public with notice of any
(b) Except as provided in §§ 397.75 and proposed NRHM routing designation
397.219, a NRHM route designation and a 30-day period in which to com-
made in violation of paragraph (a) of ment. At any time during this period
this section is preempted pursuant to or following review of the comments
section 105(b)(4) of the Hazardous Mate- received, the State or Indian tribe shall
rials Transportation Act (49 U.S.C. app. decide whether to hold a public hearing
1804(b)(4)). This provision shall become on the proposed NRHM route designa-
effective after November 14, 1996. tion. The public shall be given 30 days
(c) A highway routing designation es- prior notice of the public hearing
tablished by a State, political subdivi- which shall be conducted as described
sion, or Indian tribe before November in paragraph (b)(2)(ii) of this section.
14, 1994 is subject to preemption in ac- Notice for both the comment period
cordance with the preemption stand- and the public hearing, if one is held,
ards in paragraphs (a)(1) and (a)(2) of shall be given by publication in at least
§ 397.203 of this subpart. two newspapers of general circulation
(d) A State, political subdivision, or in the affected area or areas and shall
Indian tribe may petition for a waiver contain a complete description of the
of preemption in accordance with proposed routing designation, together
§ 397.213 of this part. with the date, time, and location of
any public hearings. Notice for both
§ 397.71 Federal standards. the comment period and any public
(a) A State or Indian tribe shall com- hearing may also be published in the
ply with the Federal standards under official register of the State.
paragraph (b) of this section when es- (ii) If it is determined that a public
tablishing, maintaining or enforcing hearing is necessary, the State or In-
specific NRHM routing designations dian tribe shall hold at least one public
over which NRHM may or may not be hearing on the record during which the
transported. public will be afforded the opportunity
(b) The Federal standards are as fol-
lows: 1 This document may be obtained from Fed-
(1) Enhancement of public safety. The eral Motor Carrier Safety Administration,
State or Indian tribe shall make a find- Office of Enforcement and Compliance (MC–
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ing, supported by the record to be de- EC), 1200 New Jersey Ave., SE., Washington,
veloped in accordance with paragraphs DC 20590–0001.

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Federal Motor Carrier Safety Administration, DOT § 397.71

to present their views and any informa- portation of NRHM between adjacent
tion or data related to the proposed areas. The term ‘‘through highway
NRHM routing designation. The State routing’’ as used in this paragraph
shall make available to the public, means that the routing designation
upon payment of prescribed costs, cop- must ensure continuity of movement
ies of the transcript of the hearing, so as to not impede or unnecessarily
which shall include all exhibits and delay the transportation of NRHM. The
documents presented during the hear- State or Indian tribe shall utilize the
ing or submitted for the record. procedures established in paragraphs
(3) Consultation with others. Prior to (b)(2) and (b)(3) of this section in meet-
the establishment of any NRHM rout- ing these requirements. In addition,
ing designation, the State or Indian the State or Indian tribe shall make a
tribe shall provide notice to, and con- finding, supported by a risk analysis
sult with, officials of affected political conducted in accordance with para-
subdivisions, States and Indian tribes, graph (b)(1) of this section, that the
and any other affected parties. Such routing designation enhances public
actions shall include the following: safety. If the risk analysis shows—
(i) At least 60 days prior to estab- (i) That the current routing presents
lishing a routing designation, the State at least 50 percent more risk to the
or Indian tribe shall provide notice, in public than the deviation under the
writing, of the proposed routing des- proposed routing designation, then the
ignation to officials responsible for proposed routing designation may go
highway routing in all other affected into effect.
States or Indian tribes. A copy of this (ii) That the current routing presents
notice may also be sent to all affected a greater risk but less than 50 percent
political subdivisions. This notice shall more risk to the public than the devi-
request approval, in writing, by those ation under the proposed routing re-
States or Indian tribes, of the proposed striction, then the proposed routing re-
routing designations. If no response is striction made by a State or Indian
received within 60 days from the day of tribe shall only go into effect if it does
receipt of the notification of the pro- not force a deviation of more than 25
posed routing designation, the routing miles or result in an increase of more
designation shall be considered ap- than 25 percent of that part of a trip af-
proved by the affected State or Indian fected by the deviation, whichever is
tribe. shorter, from the most direct route
(ii) The manner in which consulta- through a jurisdiction as compared to
tion under this paragraph is conducted the intended deviation.
is left to the discretion of the State or (iii) That the current route has the
Indian tribe. same or less risk to the public than the
(iii) The State or Indian tribe shall deviation resulting from the proposed
attempt to resolve any concern or dis- routing designation, then the routing
agreement expressed by any consulted designation shall not be allowed.
official related to the proposed routing (5) Agreement of other States; burden on
designation. commerce. Any NRHM routing designa-
(iv) The State or Indian tribe shall tion which affects another State or In-
keep a record of the names and ad- dian tribe shall be established, main-
dresses of the officials notified pursu- tained, or enforced only if:
ant to this section and of any consulta- (i) It does not unreasonably burden
tion or meeting conducted with these commerce, and
officials or their representatives. Such (ii) It is agreed to by the affected
record shall describe any concern or State or Indian tribe within 60 days of
disagreement expressed by the officials receipt of the notice sent pursuant to
and any action undertaken to resolve paragraph (b)(3)(i) of this section, or it
such disagreement or address any con- is approved by the Administrator pur-
cern. suant to § 397.75.
(4) Through routing. In establishing (6) Timeliness. The establishment of a
any NRHM routing designation, the NRHM routing designation by any
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State or Indian tribe shall ensure State or Indian tribe shall be com-
through highway routing for the trans- pleted within 18 months of the notice

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§ 397.71 49 CFR Ch. III (10–1–07 Edition)

given in either paragraph (b)(2) or (b)(3) the potential risk to the populations
of this section, whichever occurs first. along a highway routing. Consideration
(7) Reasonable routes to terminals and shall be given to the amount of time
other facilities. In establishing or pro- during which an area will experience a
viding for reasonable access to and heavy population density.
from designated routes, the State or (ii) Type of highway. The characteris-
Indian tribe shall use the shortest tics of each alternative NRHM highway
practicable route considering the fac- routing designation shall be compared.
tors listed in paragraph (b)(9) of this Vehicle weight and size limits, under-
section. In establishing any NRHM pass and bridge clearances, roadway
routing designation, the State or In- geometrics, number of lanes, degree of
dian tribe shall provide reasonable ac- access control, and median and shoul-
cess for motor vehicles transporting der structures are examples of charac-
NRHM to reach: teristics which a State or Indian tribe
(i) Terminals, shall consider.
(ii) Points of loading, unloading, (iii) Types and quantities of NRHM. An
pickup and delivery, and examination shall be made of the type
(iii) Facilities for food, fuel, repairs, and quantity of NRHM normally trans-
rest, and safe havens. ported along highway routes which are
(8) Responsibility for local compliance. included in a proposed NRHM routing
The States shall be responsible for en- designation, and consideration shall be
suring that all of their political sub- given to the relative impact zone and
divisions comply with the provisions of risks of each type and quantity.
this subpart. The States shall be re- (iv) Emergency response capabilities. In
sponsible for resolving all disputes be- consultation with the proper fire, law
tween such political subdivisions with- enforcement, and highway safety agen-
in their jurisdictions. If a State or any cies, consideration shall be given to the
political subdivision thereof, or an In- emergency response capabilities which
dian tribe chooses to establish, main- may be needed as a result of a NRHM
tain, or enforce any NRHM routing des- routing designation. The analysis of
ignation, the Governor, or Indian tribe, the emergency response capabilities
shall designate a routing agency for shall be based upon the proximity of
the State or Indian tribe, respectively. the emergency response facilities and
The routing agency shall ensure that their capabilities to contain and sup-
all NRHM routing designations within press NRHM releases within the impact
its jurisdiction comply with the Fed- zones.
eral standards in this section. The (v) Results of consultation with affected
State or Indian tribe shall comply with persons. Consideration shall be given to
the public information and reporting the comments and concerns of all af-
requirements contained in § 397.73. fected persons and entities provided
(9) Factors to consider. In establishing during public hearings and consulta-
any NRHM routing designation, the tions conducted in accordance with
State or Indian tribe shall consider the this section.
following factors: (vi) Exposure and other risk factors.
(i) Population density. The population States and Indian tribes shall define
potentially exposed to a NRHM release the exposure and risk factors associ-
shall be estimated from the density of ated with any NRHM routing designa-
the residents, employees, motorists, tions. The distance to sensitive areas
and other persons in the area, using shall be considered. Sensitive areas in-
United States census tract maps or clude, but are not limited to, homes
other reasonable means for deter- and commercial buildings; special pop-
mining the population within a poten- ulations in hospitals, schools, handi-
tial impact zone along a designated capped facilities, prisons and stadiums;
highway route. The impact zone is the water sources such as streams and
potential range of effects in the event lakes; and natural areas such as parks,
of a release. Special populations such wetlands, and wildlife reserves.
as schools, hospitals, prisons, and sen- (vii) Terrain considerations. Topog-
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ior citizen homes shall, among other raphy along and adjacent to the pro-
things, be considered when determining posed NRHM routing designation that

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Federal Motor Carrier Safety Administration, DOT § 397.75

may affect the potential severity of an dian tribes to the public in the form of
accident, the dispersion of the NRHM maps, lists, road signs or some com-
upon release and the control and clean bination thereof. If road signs are used,
up of NRHM if released shall be consid- those signs and their placements must
ered. comply with the provisions of the Man-
(viii) Continuity of routes. Adjacent ual on Uniform Traffic Control De-
jurisdictions shall be consulted to en- vices, 2 published by the FMCSA, par-
sure routing continuity for NRHM ticularly the Hazardous Cargo signs
across common borders. Deviations identified as R14–2 and R14–3 shown in
from the most direct route shall be Section 2B–43 of that Manual.
minimized. (b) Reporting and publishing require-
(ix) Alternative routes. Consideration ments. Each State or Indian tribe,
shall be given to the alternative routes through its routing agency, shall pro-
to, or resulting from, any NRHM route vide information identifying all NRHM
designation. Alternative routes shall routing designations which exist with-
be examined, reviewed, or evaluated to in their jurisdictions on November 14,
the extent necessary to demonstrate 1994 to the Federal Motor Carrier Safe-
that the most probable alternative ty Administration, Office of Enforce-
routing resulting from a routing des- ment and Compliance (MC–EC), 1200
ignation is safer than the current rout- New Jersey Ave., SE., Washington, DC
ing. 20590–0001 by March 13, 1995. The State
(x) Effects on commerce. Any NRHM or Indian tribe shall include descrip-
routing designation made in accord- tions of these routing designations,
ance with this subpart shall not create along with the dates they were estab-
an unreasonable burden upon inter- lished. This information may also be
state or intrastate commerce. published in each State’s official reg-
(xi) Delays in transportation. No ister of State regulations. Information
NRHM routing designations may cre- on any subsequent changes or new
ate unnecessary delays in the transpor- NRHM routing designations shall be
tation of NRHM. furnished within 60 days after estab-
(xii) Climatic conditions. Weather con- lishment to the FMCSA. This informa-
ditions unique to a highway route such tion will be available from the FMCSA,
as snow, wind, ice, fog, or other cli- consolidated by the FMCSA, and pub-
matic conditions that could affect the lished annually in whole or as updates
safety of a route, the dispersion of the in the FEDERAL REGISTER. Each State
NRHM upon release, or increase the may also publish this information in
difficulty of controlling it and cleaning its official register of State regula-
it up shall be given appropriate consid- tions.
eration.
(Approved by the Office of Management and
(xiii) Congestion and accident history.
Budget under control number 2125–0554)
Traffic conditions unique to a highway
routing such as: traffic congestion; ac- [36 FR 4876, Mar. 13, 1971, as amended at 72
cident experience with motor vehicles, FR 55703, Oct. 1, 2007]
traffic considerations that could affect
§ 397.75 Dispute resolution.
the potential for an accident, exposure
of the public to any release, ability to (a) Petition. One or more States or In-
perform emergency response oper- dian tribes may petition the Adminis-
ations, or the temporary closing of a trator to resolve a dispute relating to
highway for cleaning up any release an agreement on a proposed NRHM
shall be given appropriate consider- routing designation. In resolving a dis-
ation. pute under these provisions, the Ad-
ministrator will provide the greatest
[36 FR 4876, Mar. 13, 1971, as amended at 72
FR 55703, Oct. 1, 2007]
2 This publication may be purchased from

§ 397.73 Public information and re- the Superintendent of Documents, U.S. Gov-
porting requirements. ernment Printing Office (GPO), Washington,
D.C. 20402 and has Stock No. 050–001–81001–8.
(a) Public information. Information on It is available for inspection and copying as
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NRHM routing designations must be prescribed in 49 CFR part 7, appendix D. See


made available by the States and In- 23 CFR part 655, subpart F.

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§ 397.75 49 CFR Ch. III (10–1–07 Edition)

level of safety possible without unrea- Indian tribe, accompanied by a state-


sonably burdening commerce, and en- ment that the State, political subdivi-
sure compliance with the Federal sion, or Indian tribe may submit com-
standards established at § 397.71 of this ments regarding the petition to the Ad-
subpart. ministrator within 45 days.
(b) Filing. Each petition for dispute (2) By serving notice on any other
resolution filed under this section State, political subdivision, or Indian
must: tribe determined by the Administrator
(1) Be submitted to the Adminis- to be possibly affected by the issues in
trator, Federal Motor Carrier Safety dispute or the resolution sought, or by
Administration, 1200 New Jersey Ave., publication in the FEDERAL REGISTER,
SE., Washington, DC 20590–0001. Atten- the Administrator may afford those
tion: Office of the Chief Counsel (MC– persons an opportunity to file written
CC). comments on the petition.
(2) Identify the State or Indian tribe (3) Any affected State, political sub-
filing the petition and any other State, division, or Indian tribe submitting
political subdivision, or Indian tribe written comments to the Adminis-
whose NRHM routing designation is trator with respect to a petition filed
the subject of the dispute. under this section shall send a copy of
(3) Contain a certification that the the comments to the petitioner and
petitioner has complied with the noti- certify to the Administrator as to hav-
fication requirements of paragraph (c) ing complied with this requirement.
of this section, and include a list of the The Administrator may notify other
names and addresses of each State, po- persons participating in the proceeding
litical subdivision, or Indian tribe offi- of the comments and provide an oppor-
cial who was notified of the filing of tunity for those other persons to re-
the petition. spond.
(4) Clearly set forth the dispute for (d) Court actions. After a petition for
which resolution is sought, including a dispute resolution is filed in accord-
complete description of any disputed ance with this section, no court action
NRHM routing designation and an ex- may be brought with respect to the
planation of how the disputed routing subject matter of such dispute until a
designation affects the petitioner or final decision has been issued by the
how it impedes through highway rout- Administrator or until the last day of
ing. If the routing designation being the one-year period beginning on the
disputed results in alternative routing, day the Administrator receives the pe-
then a comparative risk analysis for tition, whichever occurs first.
the designated route and the resulting (e) Hearings; alternative dispute resolu-
alternative routing shall be provided. tion. Upon receipt of a petition filed
(5) Describe any actions taken by the pursuant to paragraph (a) of this sec-
State or Indian tribe to resolve the dis- tion, the Administrator may schedule a
pute. hearing to attempt to resolve the dis-
(6) Explain the reasons why the peti- pute and, if a hearing is scheduled, will
tioner believes that the Administrator notify all parties to the dispute of the
should intervene in resolving the dis- date, time, and place of the hearing.
pute. During the hearing the parties may
(7) Describe any proposed actions offer any information pertinent to the
that the Administrator should take to resolution of the dispute. If an agree-
resolve the dispute and how these ac- ment is reached, it may be stipulated
tions would provide the greatest level by the parties, in writing, and, if the
of highway safety without unreason- Administrator agrees, made part of the
ably burdening commerce and would decision in paragraph (f) of this sec-
ensure compliance with the Federal tion. If no agreement is reached, the
standards established in this subpart. Administrator may take the matter
(c) Notice. (1) Any State or Indian under consideration and announce his
tribe that files a petition for dispute or her decision in accordance with
resolution under this subpart shall paragraph (f) of this section. Nothing
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mail a copy of the petition to any af- in this section shall be construed as
fected State, political subdivision, or prohibiting the parties from settling

484

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Federal Motor Carrier Safety Administration, DOT § 397.101

the dispute or seeking other methods transportation will occur to determine


of alternative dispute resolution prior the level of radiological risk; and
to the final decision by the Adminis- (3) Tell the driver which route to
trator. take and that the motor vehicle con-
(f) Decision. The Administrator will tains Class 7 (radioactive) materials.
issue a decision based on the petition, (b) Except as otherwise permitted in
the written comments submitted by this paragraph and in paragraph (f) of
the parties, the record of the hearing, this section, a carrier or any person op-
and any other information in the erating a motor vehicle containing a
record. The decision will include a highway route controlled quantity of
written statement setting forth the Class 7 (radioactive) materials, as de-
relevant facts and the legal basis for
fined in 49 CFR 173.403(l), shall operate
the decision.
the motor vehicle only over preferred
(g) Record. The Administrator will
routes.
serve a copy of the decision upon the
petitioner and any other party who (1) For purposes of this subpart, a
participated in the proceedings. A copy preferred route is an Interstate System
of each decision will be placed on file highway for which an alternative route
in the public docket. The Adminis- is not designated by a State routing
trator may publish the decision or no- agency; a State-designated route se-
tice of the decision in the FEDERAL lected by a State routing agency pursu-
REGISTER. ant to § 397.103; or both of the above.
(2) The motor carrier or the person
[36 FR 4876, Mar. 13, 1971, as amended at 72
operating a motor vehicle containing a
FR 55703, Oct. 1, 2007]
highway route controlled quantity of
§ 397.77 Judicial review of dispute de- Class 7 (radioactive) materials, as de-
cision. fined in 49 CFR 173.403(l) and (y), shall
Any State or Indian tribe adversely select routes to reduce time in transit
affected by the Administrator’s deci- over the preferred route segment of the
sion under § 397.75 of this subpart may trip. An Interstate System bypass or
seek review by the appropriate district Interstate System beltway around a
court of the United States under such city, when available, shall be used in
proceeding only by filing a petition place of a preferred route through a
with such court within 90 days after city, unless a State routing agency has
such decision becomes final. designated an alternative route.
(c) A motor vehicle may be operated
Subpart D—Routing of Class 7 over a route, other than a preferred
(Radioactive) Materials route, only under the following condi-
tions:
§ 397.101 Requirements for motor car- (1) The deviation from the preferred
riers and drivers. route is necessary to pick up or deliver
(a) Except as provided in paragraph a highway route controlled quantity of
(b) of this section or in circumstances Class 7 (radioactive) materials, to
when there is only one practicable make necessary rest, fuel or motor ve-
highway route available, considering hicle repair stops, or because emer-
operating necessity and safety, a car- gency conditions make continued use
rier or any person operating a motor of the preferred route unsafe or impos-
vehicle that contains a Class 7 (radio- sible;
active) material, as defined in 49 CFR (2) For pickup and delivery not over
172.403, for which placarding is required preferred routes, the route selected
under 49 CFR part 172 shall: must be the shortest-distance route
(1) Ensure that the motor vehicle is from the pickup location to the nearest
operated on routes that minimize radi- preferred route entry location, and the
ological risk; shortest-distance route to the delivery
(2) Consider available information on location from the nearest preferred
accident rates, transit time, population route exit location. Deviation from the
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density and activities, and the time of shortest-distance pickup or delivery


day and the day of week during which route is authorized if such deviation:

485

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§ 397.101 49 CFR Ch. III (10–1–07 Edition)

(i) Is based upon the criteria in para- (ii) The properties and hazards of the
graph (a) of this section to minimize Class 7 (radioactive) materials being
the radiological risk; and transported; and
(ii) Does not exceed the shortest-dis- (iii) Procedures to be followed in case
tance pickup or delivery route by more of an accident or other emergency.
than 25 miles and does not exceed 5 (2) The driver has in his or her imme-
times the length of the shortest-dis- diate possession a certificate of train-
tance pickup or delivery route. ing as evidence of training required by
(iii) Deviations from preferred this section, and a copy is placed in his
routes, or pickup or delivery routes or her qualification file (see § 391.51 of
this subchapter), showing:
other than preferred routes, which are
(i) The driver’s name and operator’s
necessary for rest, fuel, or motor vehi-
license number;
cle repair stops or because of emer-
(ii) The dates training was provided;
gency conditions, shall be made in ac-
(iii) The name and address of the per-
cordance with the criteria in paragraph son providing the training;
(a) of this section to minimize radio- (iv) That the driver has been trained
logical risk, unless due to emergency in the hazards and characteristics of
conditions, time does not permit use of highway route controlled quantity of
those criteria. Class 7 (radioactive) materials; and
(d) A carrier (or a designated agent) (v) A statement by the person pro-
who operates a motor vehicle which viding the training that information on
contains a package of highway route the certificate is accurate.
controlled quantity of Class 7 (radio- (3) The driver has in his or her imme-
active) materials, as defined in 49 CFR diate possession the route plan re-
173.403(l), shall prepared a written quired by paragraph (d) of this section
route plan and supply a copy before de- and operates the motor vehicle in ac-
parture to the motor vehicle driver and cordance with the route plan.
a copy to the shipper (before departure (f) A person may transport irradiated
for exclusive use shipments, as defined reactor fuel only in compliance with a
in 49 CFR 173.403(i), or within fifteen plan if required under 49 CFR 173.22(c)
working days following departure for that will ensure the physical security
all other shipments). Any variation be- of the material. Variation for security
tween the route plan and routes actu- purposes from the requirements of this
ally used, and the reason for it, shall be section is permitted so far as necessary
reported in an amendment to the route to meet the requirements imposed
plan delivered to the shipper as soon as under such a plan, or otherwise im-
practicable but within 30 days fol- posed by the U.S. Nuclear Regulatory
lowing the deviation. The route plan Commission in 10 CFR part 73.
shall contain: (g) Except for packages shipped in
(1) A statement of the origin and des- compliance with the physical security
tination points, a route selected in requirements of the U.S. Nuclear Regu-
compliance with this section, all latory Commission in 10 CFR part 73,
planned stops, and estimated departure each carrier who accepts for transpor-
tation a highway route controlled
and arrival times; and
quantity of Class 7 (radioactive) mate-
(2) Telephone numbers which will ac-
rial (see 49 CFR 173.401(l)), must, within
cess emergency assistance in each 90 days following the acceptance of the
State to be entered. package, file the following information
(e) No person may transport a pack- concerning the transportation of each
age of highway route controlled quan- such package with the Federal Motor
tity of Class 7 (radioactive) materials Carrier Safety Administration, Office
on a public highway unless: of Enforcement and Compliance (MC–
(1) The driver has received within the EC), 1200 New Jersey Ave., SE., Wash-
two preceding years, written training ington, DC 20590–0001:
on: (1) The route plan required under
(i) Requirements in 49 CFR parts 172, paragraph (d) of this section, including
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173, and 177 pertaining to the Class 7 all required amendments reflecting the
(radioactive) materials transported; routes actually used;

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Federal Motor Carrier Safety Administration, DOT § 397.201

(2) A statement identifying the Subpart E—Preemption


names and addresses of the shipper, Procedures
carrier and consignee; and
(3) A copy of the shipping paper or
SOURCE: 57 FR 44132, Sept. 24, 1992, unless
the description of the Class 7 (radio-
otherwise noted.
active) material in the shipment re-
quired by 49 CFR 172.202 and 172.203. § 397.201 Purpose and scope of the
[57 FR 44131, Sept. 24, 1992, as amended at 66 procedures.
FR 49874, Oct. 1, 2001; 72 FR 55703, Oct. 1, 2007] (a) This subpart prescribes proce-
dures by which:
§ 397.103 Requirements for State rout-
ing designations. (1) Any person, including a State, po-
litical subdivision thereof, or Indian
(a) The State routing agency, as de- tribe, directly affected by any highway
fined in § 397.201(c), shall select routes routing designation for hazardous ma-
to minimize radiological risk using terials may apply to the Administrator
‘‘Guidelines for Selecting Preferred for a determination as to whether that
Highway Routes for Highway Route highway routing designation is pre-
Controlled Quantity Shipments of Ra- empted under 49 U.S.C. 5125, or § 397.69
dioactive Materials,’’ or an equivalent or § 397.203 of this part; and
routing analysis which adequately con- (2) A State, political subdivision
siders overall risk to the public. Des- thereof, or Indian tribe may apply to
ignations must be preceded by sub- the Administrator for a waiver of pre-
stantive consultation with affected emption with respect to any highway
local jurisdictions and with any other routing designation that the State, po-
affected States to ensure consideration litical subdivision thereof, or Indian
of all impacts and continuity of des- tribe acknowledges to be preempted by
ignated routes. 49 U.S.C. 5125, or § 397.69 or § 397.203 of
(b) State routing agencies may des- this part, or that has been determined
ignate preferred routes as an alter- by a court of competent jurisdiction to
native to, or in addition to, one or be so preempted.
more Interstate System highways, in- (b) Unless otherwise ordered by the
cluding interstate system bypasses, or Administrator, an application for a
Interstate System beltways. preemption determination which in-
(c) A State-designated route is effec- cludes an application for a waiver of
tive when— preemption will be treated and proc-
(1) The State gives written notice by essed solely as an application for a pre-
certified mail, return receipt re- emption determination.
quested, to the Federal Motor Carrier (c) For purposes of this part:
Safety Administration, Office of En- Act means 49 U.S.C. 5101 et seq., for-
forcement and Compliance (MC–EC), merly known as the Hazardous Mate-
1200 New Jersey Ave., SE., Washington, rials Transportation Act.
DC 20590–0001. Attention: National Haz- Administrator means the Federal
ardous Materials Route Registry. Highway Administrator, who is the
(2) Receipt thereof is acknowledged chief executive of the Federal Motor
in writing by the FMCSA. Carrier Safety Administration, an
(d) A list of State-designated pre- agency of the United States Depart-
ferred routes and a copy of the ‘‘Guide- ment of Transportation, or his/her des-
lines for Selecting Preferred Highway ignate.
Routes for Highway Route Controlled Hazardous material means a substance
Quantity Shipments of Radioactive or material, including a hazardous sub-
Materials’’ are available upon request stance, which has been determined by
to Federal Motor Carrier Safety Ad- the Secretary of Transportation to be
ministration, Office of Enforcement capable of posing an unreasonable risk
and Compliance (MC–EC), 1200 New Jer- to health, safety, or property, when
sey Ave., SE., Washington, DC 20590– transported in commerce, and which
0001. has been so designated.
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[57 FR 44131, Sept. 24, 1992, as amended at 66 Indian tribe has the same meaning as
FR 49874, Oct. 1, 2001; 72 FR 55703, Oct. 1, 2007] contained in section 4 of the Indian

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§ 397.203 49 CFR Ch. III (10–1–07 Edition)

Self-Determination and Education Act, (1) Compliance with both the high-
25 U.S.C. 450b. way routing designation and any re-
Person means an individual, firm, co- quirement under the Act or of a regula-
partnership, corporation, company, as- tion issued under the Act is not pos-
sociation, joint-stock association, in- sible;
cluding any trustee, receiver, assignee, (2) The highway routing designation
or similar representative thereof, or as applied or enforced creates an obsta-
government, Indian tribe, or agency or cle to the accomplishment and execu-
instrumentality of any government or tion of the Act or the regulations
Indian tribe when it offers hazardous issued under the Act; or
materials for transportation in com- (3) The highway routing designation
merce or transports hazardous mate- is preempted pursuant to § 397.69(b) of
rials in furtherance of a commercial this part.
enterprise, but such term does not in- (b) [Reserved]
clude the United States Postal Service.
Political subdivision includes a mu- [57 FR 44132, Sept. 24, 1992, as amended at 59
nicipality; a public agency or other in- FR 51834, Oct. 12, 1994]
strumentality of one or more States, or
a public corporation, board, or commis- § 397.205 Preemption application.
sion established under the laws of one (a) Any person, including a State, po-
or more States. litical subdivision thereof, or Indian
Routing agency means the State high- tribe directly affected by any highway
way agency or other State agency des- routing designation of another State,
ignated by the Governor of a State, or political subdivision, or Indian tribe,
an agency designated by an Indian may apply to the Administrator for a
tribe, to supervise, coordinate, and ap- determination of whether that highway
prove the highway routing designa- routing designation is preempted by
tions for that State or Indian tribe. the Act or § 397.203 of this subpart. The
Any highway routing designation made Administrator shall publish notice of
by a political subdivision of a State the application in the FEDERAL REG-
shall be considered a designation made ISTER.
by that State. (b) Each application filed under this
Routing designation includes any reg- section for a determination must:
ulation, limitation, restriction, curfew, (1) Be submitted to the Adminis-
time of travel restriction, lane restric- trator, Federal Motor Carrier Safety
tion, routing ban, port-of-entry des- Administration, 1200 New Jersey Ave.,
ignation, or route weight restriction SE., Washington, DC 20590–0001. Atten-
applicable to the highway transpor- tion: Office of the Chief Counsel, En-
tation of hazardous materials over a forcement and Litigation Division
specific highway route or portion of a (MC–CCE);
route. (2) Set forth a detailed description of
State means a State of the United the highway routing designation of the
States, the District of Columbia, the State, political subdivision thereof, or
Commonwealth of Puerto Rico, the Indian tribe for which the determina-
Commonwealth of the Northern Mar- tion is sought;
iana Islands, the Virgin Islands, Amer- (3) If applicable, specify the provi-
ican Samoa, Guam, or any other terri- sions of the Act or the regulations
tory or possession of the United States issued under the Act under which the
designated by the Secretary. applicant seeks preemption of the
[57 FR 44132, Sept. 24, 1992, as amended at 59 highway routing designation of the
FR 51834, Oct. 12, 1994] State, political subdivision thereof, or
Indian tribe;
§ 397.203 Standards for determining (4) Explain why the applicant be-
preemption. lieves the highway routing designation
(a) Any highway routing designation of the State, political subdivision
established, maintained, or enforced by thereof, or Indian tribe should or
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a State, political subdivision thereof, should not be preempted under the


or Indian tribe is preempted if— standards of § 397.203; and

488

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Federal Motor Carrier Safety Administration, DOT § 397.211

(5) State how the applicant is af- this section shall send a copy of the
fected by the highway routing designa- comments to the applicant and certify
tion of the State, political subdivision to the Administrator that he or she has
thereof, or Indian tribe. complied with this requirement. The
(c) The filing of an application for a Administrator may notify other per-
determination under this section does sons participating in the proceeding of
not constitute grounds for noncompli- the comments and provide an oppor-
ance with any requirement of the Act tunity for those other persons to re-
or any regulation issued under the Act. spond.
(d) Once the Administrator has pub-
lished notice in the FEDERAL REGISTER § 397.209 Preemption processing.
of an application received under para- (a) The Administrator may initiate
graph (a) of this section, no applicant an investigation of any statement in
for such determination may seek relief
an application and utilize in his or her
with respect to the same or substan-
evaluation any relevant facts obtained
tially the same issue in any court until
by that investigation. The Adminis-
final action has been taken on the ap-
trator may solicit and accept submis-
plication or until 180 days after filing
sions from third persons relevant to an
of the application, whichever occurs
application and will provide the appli-
first. Nothing in this section shall be
cant an opportunity to respond to all
construed as prohibiting any person,
third person submissions. In evaluating
including a State, political subdivision
an application, the Administrator may
thereof, or Indian tribe, directly af-
fected by any highway routing designa- consider any other source of informa-
tion from seeking a determination of tion. The Administrator may convene a
preemption in any court of competent hearing or conference, if a hearing or
jurisdiction in lieu of applying to the conference will advance the evaluation
Administrator under paragraph (a) of of the application.
this section. (b) The Administrator may dismiss
the application without prejudice if:
[57 FR 44132, Sept. 24, 1992, as amended at 72 (1) he or she determines that there is
FR 55703, Oct. 1, 2007]
insufficient information upon which to
§ 397.207 Preemption notice. base a determination; or
(2) he or she requests additional in-
(a) If the applicant is other than a
formation from the applicant and it is
State, political subdivision thereof, or
not submitted.
Indian tribe, the applicant shall mail a
copy of the application to the State, § 397.211 Preemption determination.
political subdivision thereof, or Indian
tribe concerned, accompanied by a (a) Upon consideration of the applica-
statement that comments may be sub- tion and other relevant information re-
mitted regarding the application to the ceived, the Administrator issues a de-
Administrator within 45 days. The ap- termination.
plication filed with the Administrator (b) Notwithstanding that an applica-
must include a certification that the tion for a determination has not been
applicant has complied with this para- filed under § 397.205, the Administrator,
graph and must include the names and on his or her own initiative, may issue
addresses of each official to whom a a determination as to whether a par-
copy of the application was sent. ticular highway routing designation of
(b) The Administrator may afford in- a State, political subdivision thereof,
terested persons an opportunity to file or Indian tribe is preempted under the
written comments on the application Act or the regulations issued under the
by serving notice on any persons read- Act.
ily identifiable by the Administrator as (c) The determination includes a
persons who will be affected by the rul- written statement setting forth the
ing sought or by publication in the relevant facts and the legal basis for
FEDERAL REGISTER. the determination, and provides that
(c) Each person submitting written any person aggrieved thereby may file
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comments to the Administrator with a petition for reconsideration within 20


respect to an application filed under days in accordance with § 397.223.

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§ 397.213 49 CFR Ch. III (10–1–07 Edition)

(d) Unless the determination is issued (1) Be submitted to the Adminis-


pursuant to paragraph (b) of this sec- trator, Federal Motor Carrier Safety
tion, the Administrator serves a copy Administration, 1200 New Jersey Ave.,
of the determination upon the appli- SE., Washington, DC 20590–0001. Atten-
cant. In all preemption determinations, tion: Office of the Chief Counsel, En-
the Administrator serves a copy of the forcement and Litigation Division
determination upon any other person (MC–CCE);
who participated in the proceeding or (2) Set forth a detailed description of
who is readily identifiable by the Ad- the highway routing designation of the
ministrator as affected by the deter- State, political subdivision thereof, or
mination. A copy of each determina- Indian tribe for which the determina-
tion is placed on file in the public tion is being sought;
docket. The Administrator may pub- (3) Include a copy of any relevant
lish the determination or notice of the court order or determination issued
determination in the FEDERAL REG- pursuant to § 397.211;
ISTER. (4) Contain an express acknowledg-
(e) If no petition for reconsideration ment by the applicant that the high-
is filed within 20 days in accordance way routing designation of the State,
with § 397.223, a determination issued political subdivision thereof, our In-
under this section constitutes the final dian tribe is preempted under the Act
agency decision as to whether a par- or the regulations issued under the
ticular highway routing designation of Act, unless it has been so determined
a State, political subdivision thereof, by a court of competent jurisdiction or
or Indian tribe is preempted under the in a determination issued under this
Act or regulations issued thereunder. subpart;
The fact that a determination has not (5) Specify each provision of the Act
been issued under this section with re- or the regulations issued under the Act
spect to a particular highway routing that preempts the highway routing
designation of a State, political sub- designation of the State, political sub-
division thereof, or Indian tribe carries division thereof, or Indian tribe;
no implication as to whether the re- (6) State why the applicant believes
quirement is preempted under the Act that the highway routing designation
or regulations issued thereunder. of the State, political subdivision
thereof, or Indian tribe affords an equal
§ 397.213 Waiver of preemption appli- or greater level of protection to the
cation. public than is afforded by the require-
(a) Any State, political subdivision ments of the Act or the regulations
thereof, or Indian tribe may apply to issued under the Act;
the Administrator for a waiver of pre- (7) State why the applicant believes
emption with respect to any highway that the highway routing designation
routing designation that the State, po- of the State, political subdivision
litical subdivision thereof, or Indian thereof, or Indian tribe does not unrea-
tribe acknowledges to be preempted by sonably burden commerce; and
the Act, § 397.203 of this subpart, or a (8) Specify what steps the State, po-
court of competent jurisdiction. The litical subdivision thereof, or Indian
Administrator may waive preemption tribe is taking to administer and en-
with respect to such requirement upon force effectively the preempted re-
a determination that such require- quirement.
ment— [57 FR 44132, Sept. 24, 1992, as amended at 72
(1) Affords an equal or greater level FR 55704, Oct. 1, 2007]
of protection to the public than is af-
forded by the requirements of the Act § 397.215 Waiver notice.
or regulations issued under the Act, (a) The applicant State, political sub-
and division thereof, or Indian tribe shall
(2) Does not unreasonably burden mail a copy of the application and any
commerce. subsequent amendments or other docu-
(b) Each application filed under this ments relating to the application to
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section for a waiver of preemption de- each person whom the applicant rea-
termination must: sonably ascertains will be affected by

490

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Federal Motor Carrier Safety Administration, DOT § 397.219

the determination sought. The copy of facts obtained by that investigation.


the application must be accompanied The Administrator may solicit and ac-
by a statement that the person may cept submissions from third persons
submit comments regarding the appli- relevant to an application and will pro-
cation to the Administrator within 45 vide the applicant an opportunity to
days. The application filed with the respond to all third person submis-
Administrator must include a certifi- sions. In evaluating an application, the
cation with the application has com- Administrator may convene a hearing
plied with this paragraph and must in- or conference, if a hearing or con-
clude the names and addresses of each ference will advance the evaluation of
person to whom the application was the application.
sent. (b) The Administrator may dismiss
(b) Notwithstanding the provisions of the application without prejudice if:
paragraph (a) of this section, if the (1) he or she determines that there is
State, political subdivision thereof, or insufficient information upon which to
Indian tribe determines that compli- base a determination;
ance with paragraph (a) of this section (2) Upon his or her request, addi-
would be impracticable, the applicant tional information is not submitted by
shall: the applicant; or
(1) Comply with the requirements of (3) The applicant fails to provide the
paragraph (a) of this section with re- notice required by this subpart.
gard to those persons whom it is rea- (c) Except as provided in this sub-
sonable and practicable to notify; and part, the Administrator will only con-
(2) Include with the application filed sider an application for a waiver of pre-
with the Administrator a description of emption determination if:
the persons or class or classes of per- (1) The applicant expressly acknowl-
sons to whom notice was not sent. edges in its application that the high-
(c) The Administrator may require way routing designation of the State,
the applicant to provide notice in addi- political subdivision thereof, or Indian
tion to that required by paragraphs (a) tribe for which the determination is
and (b) of this section, or may deter- sought is preempted by the Act or the
mine that the notice required by para- regulations thereunder; or
graph (a) of this section is not imprac- (2) The highway routing designation
ticable, or that notice should be pub- of the State, political subdivision
lished in the FEDERAL REGISTER. thereof, or Indian tribe has been deter-
(d) The Administrator may serve no- mined by a court of competent juris-
tice on any other persons readily iden- diction or in a determination issued
tifiable by the Administrator as per- pursuant to § 397.211 to be preempted by
sons who will be affected by the deter- the Act or the regulations issued there-
mination sought and may afford those under.
persons an opportunity to file written (d) When the Administrator has re-
comments on the application. ceived all substantive information nec-
(e) Any person submitting written essary to process an application for a
comments to the Administrator with waiver of preemption determination,
respect to an application filed under notice of that fact will be served upon
this section shall send a copy of the the applicant. Additional notice to all
comments to the applicant. The person other persons who received notice of
shall certify to the Administrator that the proceeding may be served by pub-
he or she has complied with the re- lishing a notice in the FEDERAL REG-
quirements of this paragraph. The Ad- ISTER.
ministrator may notify other persons
participating in the proceeding of the § 397.219 Waiver determination and
comments and provide an opportunity order.
for those other persons to respond. (a) Upon consideration of the applica-
tion and other relevant information re-
§ 397.217 Waiver processing. ceived or obtained during the pro-
(a) The Administrator may initiate ceeding, the Administrator issues an
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an investigation of any statement in order setting forth his or her deter-


an application and utilize any relevant mination.

491

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§ 397.221 49 CFR Ch. III (10–1–07 Edition)

(b) The Administrator may issue a ticular requirement of a State, polit-


waiver of preemption order only if he ical subdivision thereof, or Indian tribe
or she finds that the requirement of is preempted under the Act or any reg-
the State, political subdivision thereof, ulations issued thereunder, or whether
or Indian tribe affords the public a preemption is waived.
level of safety at least equal to that af-
forded by the requirements of the Act § 397.221 Timeliness.
and the regulations issued under the If the Administrator fails to take ac-
Act and does not unreasonably burden tion on the application within 90 days
commerce. In determining whether the of serving the notice required by
requirement of the State, political sub- § 397.217(d), the applicant may treat the
division thereof, or Indian tribe unrea- application as having been denied in all
sonably burdens commerce, the Admin- respects.
istrator may consider the following
factors: § 397.223 Petition for reconsideration.
(1) The extent to which increased (a) Any person aggrieved by an order
costs and impairment of efficiency re- issued under § 397.211 or § 397.219 may
sult from the highway routing designa- file a petition for reconsideration with
tion of the State, political subdivision the Administrator. The petition must
thereof, or Indian tribe; be filed within 20 days of service of the
(2) Whether the highway routing des- determination or order issued under
ignation of the State, political subdivi- the above sections.
sion thereof, or Indian tribe has a ra- (b) The petition must contain a con-
tional basis; cise statement of the basis for seeking
(3) Whether the highway routing des- reconsideration, including any specific
ignation of the State, political subdivi- factual or legal errors, or material in-
sion thereof, or Indian tribe achieves formation not previously available.
its stated purpose; and (c) The petitioner shall mail a copy
(4) Whether there is need for uni- of the petition to each person who par-
formity with regard to the subject con- ticipated, either as an applicant or
cerned and if so, whether the highway routing, in the waiver of preemption
routing designation of the State, polit- proceeding, accompanied by a state-
ical subdivision thereof, or Indian tribe ment that the person may submit com-
competes or conflicts with those of ments concerning the petition to the
other States, political subdivisions Administrator within 20 days. The peti-
thereof, or Indian tribes. tion filed with the Administrator must
(c) The order includes a written contain a certification that the peti-
statement setting forth the relevant tioner has complied with this para-
facts and the legal basis for the deter- graph and include the names and ad-
mination, and provides that any person dresses of all persons to whom a copy
aggrieved by the order may file a peti- of the petition was sent.
tion for reconsideration in accordance (d) The Administrator’s decision
with § 397.223. under this section constitutes the final
(d) The Administrator serves a copy agency decision. If no petition for re-
of the order upon the applicant, any consideration is filed under this sec-
other person who participated in the tion, then the determination issued
proceeding and upon any other person under § 397.211 or § 397.219 becomes the
readily identifiable by the Adminis- final agency decision at the end of the
trator as one who may be affected by 20 day period.
the order. A copy of each order is
placed on file in the public docket. The § 397.225 Judicial review.
Administrator may publish the order A party to a proceeding under
or notice of the order in the FEDERAL § 397.205(a), § 397.213(a), or § 397.223(a)
REGISTER. may seek review by the appropriate
(e) If no petition for reconsideration district court of the United States of
is filed within 20 days in accordance the decision of the Administrator
with § 397.223, an order issued under under such proceeding only by filing a
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this section constitutes the final agen- petition with such court within 60 days
cy decision regarding whether a par- after the final agency decision.

492

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Federal Motor Carrier Safety Administration, DOT § 398.2

PART 398—TRANSPORTATION OF by the Administration, but does not in-


MIGRANT WORKERS clude a passenger automobile or sta-
tion wagon, any vehicle, locomotive, or
Sec. car operated exclusively on a rail or
398.1 Definitions. rails, or a trolley bus operated by elec-
398.2 Applicability. tric power derived from a fixed over-
398.3 Qualifications of drivers or operators. head wire, furnishing local passenger
398.4 Driving of motor vehicles. transportation in street-railway serv-
398.5 Parts and accessories necessary for
safe operation.
ice.
398.6 Hours of service of drivers; maximum (e) Bus. ‘‘Bus’’ means any motor ve-
driving time. hicle designed, constructed, and used
398.7 Inspection and maintenance of motor for the transportation of passengers:
vehicles. Except passenger automobiles or sta-
398.8 Administration inspection of motor tion wagons other than taxicabs.
vehicles in operation.
(f) Truck. ‘‘Truck’’ means any self-
AUTHORITY: 49 U.S.C. 13301, 13902, 31132, propelled motor vehicle except a truck
31133, 31136, 31502, and 31504; sec. 204, Pub. L. tractor, designed and constructed pri-
104–88, 109 Stat. 803, 941 (49 U.S.C. 701 note);
marily for the transportation of prop-
sec. 212, Pub. L. 106–159, 113 Stat. 1748, 1766;
and 49 CFR 1.73. erty.
(g) Truck tractor. ‘‘Truck tractor’’
SOURCE: 33 FR 19765, Dec. 25, 1968, unless
means a self-propelled motor vehicle
otherwise noted.
designed and used primarily for draw-
EDITORIAL NOTE: Nomenclature changes to ing other vehicles and not so con-
part 398 appear at 66 FR 49874, Oct. 1, 2001. structed as to carry a load other than
§ 398.1 Definitions. a part of the weight of the vehicle and
load so drawn.
(a) Migrant worker. ‘‘Migrant worker’’ (h) Semitrailer. ‘‘Semitrailer’’ means
means any individual proceeding to or any motor vehicle other than a ‘‘pole
returning from employment in agri- trailer’’, with or without motive power
culture as defined in section 3(f) of the designed to be drawn by another motor
Fair Labor Standards Act of 1938, as vehicle and so constructed that some
amended (29 U.S.C. 203(f)) or section part of its weight rests upon the towing
3121(g) of the Internal Revenue Code of vehicle.
1954 (26 U.S.C. 3121(g)).
(i) Driver or operator. ‘‘Driver or oper-
(b) Carrier of migrant workers by motor
ator’’ means any person who drives any
vehicle. ‘‘Carrier of migrant worker by
motor vehicle.
motor vehicle’’ means any person, in-
cluding any ‘‘contract carrier by motor (j) Highway. ‘‘Highway’’ means the
vehicle’’, but not including any ‘‘com- entire width between the boundary
mon carrier by motor vehicle’’, who or lines of every way publicly maintained
which transports in interstate or for- when any part thereof is open to the
eign commerce at any one time three use of the public for purposes of vehic-
or more migrant workers to or from ular traffic.
their employment by any motor vehi-
§ 398.2 Applicability.
cle other than a passenger automobile
or station wagon, except a migrant (a) General. The regulations pre-
worker transporting himself/herself or scribed in this part are applicable to
his/her immediate family. carriers of migrant workers by motor
(c) Motor carrier. ‘‘Motor carrier’’ vehicle, as defined in § 398.1(b), but only
means any carrier of migrant workers in the case of transportation of any mi-
by motor vehicle as defined in para- grant worker for a total distance of
graph (b) of this section. more than 75 miles (120.7 kilometers) in
(d) Motor vehicle. ‘‘Motor vehicle’’ interstate commerce, as defined in 49
means any vehicle, machine, tractor, CFR 390.5.
trailer, or semitrailer propelled or (b) Exception. (1) The regulations pre-
drawn by mechanical power and used scribed in this part are not applicable
upon the highways in the transpor- to carriers of migrant workers by
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tation of passengers or property, or motor vehicle, as defined in § 398.1(b),


any combination thereof, determined when:

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§ 398.3 49 CFR Ch. III (10–1–07 Edition)

(i) The motor vehicle is designed or (5) Hearing: Hearing shall not be less
used to transport between 9 and 15 pas- than 10/20 in the better ear, for con-
sengers (including the driver); versational tones, without a hearing
(ii) The motor carrier is directly aid.
compensated for the transportation (6) Liquor, narcotics and drugs: Shall
service; and not be addicted to the use of narcotics
(iii) The vehicle used to transport or habit forming drugs, or the exces-
mirgrant workers is operated beyond a sive use of alcoholic beverages or liq-
75 air-mile radius (86.3 statute miles or uors.
138.9 kilometers) from the driver’s nor- (7) Initial and periodic physical exam-
mal work-reporting location. ination of drivers: No person shall drive
(2) Carriers of migrant workers by nor shall any motor carrier require or
motor vehicle that operate vehicles, permit any person to drive any motor
designed or used to transport between 9 vehicle unless within the immediately
and 15 passengers (including the driver) preceding 36 month period such person
for direct compensation, in interstate shall have been physically examined
commerce, must comply with the ap- and shall have been certified in accord-
plicable requirements of 49 CFR parts ance with the provisions of paragraph
385, 390, 391, 392, 393, 395, and 396, when (b)(8) of this section by a licensed doc-
the motor vehicle is operated beyond a tor of medicine or osteopathy as meet-
75 air-mile radius (86.3 statute miles or ing the requirements of this sub-
138.9 kilometers) from the driver’s nor- section.
mal work-reporting location. (8) Certificate of physical examination:
[68 FR 47875, Aug. 12, 2003] Every motor carrier shall have in its
files at its principal place of business
§ 398.3 Qualifications of drivers or op- for every driver employed or used by it
erators. a legible certificate of a licensed doctor
(a) Compliance required. Every motor of medicine or osteopathy based on a
carrier, and its officers, agents, rep- physical examination as required by
resentatives and employees who drive paragraph (b)(7) of this section or a leg-
motor vehicles or are responsible for ible photographically reproduced copy
the hiring, supervision, training, as- thereof, and every driver shall have in
signment or dispatching of drivers his/her possession while driving, such a
shall comply and be conversant with certificate or a photographically repro-
the requirements of this part. duced copy thereof covering himself/
(b) Minimum physical requirements. No herself.
person shall drive, nor shall any motor (9) Doctor’s certificate: The doctor’s
carrier require or permit any person to certificate shall certify as follows:
drive, any motor vehicle unless such
person possesses the following min- DOCTOR’S CERTIFICATE
imum qualifications: (Driver of Migrant Workers)
(1) No loss of foot, leg, hand or arm,
This is to certify that I have this day ex-
(2) No mental, nervous, organic, or amined lllllll in accordance with
functional disease, likely to interfere § 398.3(b) of the Federal Motor Carrier Safety
with safe driving. Regulations of the Federal Motor Carrier
(3) No loss of fingers, impairment of Safety Administration and that I find him/
use of foot, leg, fingers, hand or arm, or her
other structural defect or limitation, Qualified under said rules b
likely to interfere with safe driving. Qualified only when wearing glasses b
(4) Eyesight: Visual acuity of at least I have kept on file in my office a com-
pleted examination.
20/40 (Snellen) in each eye either with-
out glasses or by correction with glass- ———————————————————————
es; form field of vision in the hori- (Date)
zontal meridian shall not be less than a (Place)
total of 140 degrees; ability to distin-
(Signature of examining doctor)
guish colors red, green and yellow; ———————————————————————
drivers requiring correction by glasses (Address of doctor)
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shall wear properly prescribed glasses Signature of driver lllllllllllll


at all times when driving. Address of driver llllllllllllll

494

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Federal Motor Carrier Safety Administration, DOT § 398.4

(c) Minimum age and experience re- his/her ability or alertness is so im-
quirements. No person shall drive, nor paired through fatigue, illness, or any
shall any motor carrier require or per- other cause as to make it unsafe for
mit any person to drive, any motor ve- him/her to begin or continue to drive,
hicle unless such person possesses the except in case of grave emergency
following minimum qualifications: where the hazard to passengers would
(1) Age. Minimum age shall be 21 be increased by observance of this sec-
years. tion and then only to the nearest point
(2) Driving skill. Experience in driving at which the safety of passengers is as-
some type of motor vehicle (including sured.
private automobiles) for not less than (d) Alcoholic beverages. No driver shall
one year, including experience drive or be required or permitted to
throughout the four seasons. drive a motor vehicle, be in active con-
(3) Knowledge of regulations. Famili- trol of any such vehicle, or go on duty
arity with the rules and regulations or remain on duty, when under the in-
prescribed in this part pertaining to fluence of any alcoholic beverage or
the driving of motor vehicles.
liquor, regardless of its alcoholic con-
(4) Knowledge of English. Every driver
tent, nor shall any driver drink any
shall be able to read and speak the
such beverage or liquor while on duty.
English language sufficiently to under-
stand highway traffic signs and signals (e) Schedules to conform with speed lim-
and directions given in English and to its. No motor carrier shall permit nor
respond to official inquiries. require the operation of any motor ve-
(5) Driver’s permit. Possession of a hicle between points in such period of
valid permit qualifying the driver to time as would necessitate the vehicle
operate the type of vehicle driven by being operated at speeds greater than
him/her in the jurisdiction by which those prescribed by the jurisdictions in
the permit is issued. or through which the vehicle is being
operated.
[33 FR 19765, Dec. 25, 1968, as amended at 40
FR 44557, Sept. 29, 1975]
(f) Equipment and emergency devices.
No motor vehicle shall be driven unless
§ 398.4 Driving of motor vehicles. the driver thereof shall have satisfied
himself/herself that the following
(a) Compliance required. Every motor
parts, accessories, and emergency de-
carrier shall comply with the require-
vices are in good working order; nor
ments of this part, shall instruct its of-
ficers, agents, representatives and driv- shall any driver fail to use or make use
ers with respect thereto, and shall take of such parts, accessories, and devices
such measures as are necessary to in- when and as needed:
sure compliance therewith by such per- Service brakes, including trailer brake con-
sons. All officers, agents, representa- nections.
tives, drivers, and employees of motor Parking (hand) brake.
carriers directly concerned with the Steering mechanism.
management, maintenance, operation, Lighting devices and reflectors.
or driving of motor vehicles, shall com- Tires.
ply with and be conversant with the re- Horn.
quirements of this part. Windshield wiper or wipers.
(b) Driving rules to be obeyed. Every Rear-vision mirror or mirrors.
motor vehicle shall be driven in ac- Coupling devices.
cordance with the laws, ordinances, Fire extinguisher, at least one properly
and regulations of the jurisdiction in mounted.
which it is being operated, unless such Road warning devices, at least one red burn-
laws, ordinances and regulations are at ing fusee and at least three flares (oil burn-
ing pot torches), red electric lanterns, or
variance with specific regulations of red emergency reflectors.
this Administration which impose a
greater affirmative obligation or re- (g) Safe loading—(1) Distribution and
straint. securing of load. No motor vehicle shall
(c) Driving while ill or fatigued. No be driven nor shall any motor carrier
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driver shall drive or be required or per- permit or require any motor vehicle to
mitted to drive a motor vehicle while be driven if it is so loaded, or if the

495

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§ 398.4 49 CFR Ch. III (10–1–07 Edition)

load thereon is so improperly distrib- (j) Limitation on distance of travel in


uted or so inadequately secured, as to trucks. Any truck when used for the
prevent its safe operation. transportation of migrant workers, if
(2) Doors, tarpaulins, tailgates and such workers are being transported in
other equipment. No motor vehicle shall excess of 600 miles, shall be stopped for
be driven unless the tailgate, tailboard, a period of not less than eight consecu-
tarpaulins, doors, all equipment and tive hours either before or upon com-
rigging used in the operation of said pletion of 600 miles travel, and either
vehicle, and all means of fastening the before or upon completion of any sub-
load, are securely in place. sequent 600 miles travel to provide rest
(3) Interference with driver. No motor for drivers and passengers.
vehicle shall be driven when any object (k) Lighting devices and reflectors. No
obscures his/her view ahead, or to the motor vehicle shall be driven when any
right or left sides, or to the rear, or of the required lamps or reflectors are
interferes with the free movement of obscured by the tailboard, by any and
his/her arms or legs, or prevents his/her all lighting devices required by subpart
free and ready access to the accessories B of part 393 of this subchapter shall be
required for emergencies, or prevents lighted during darkness or at any other
the free and ready exit of any person time when there is not sufficient light
from the cab or driver’s compartment. to render vehicles and persons visible
(4) Property on motor vehicles. No vehi- upon the highway at a distance of 500
cle transporting persons and property feet.
shall be driven unless such property is (l) Ignition of fuel; prevention. No driv-
stowed in a manner which will assure: er or any employee of a motor carrier
(i) Unrestricted freedom of motion to shall:
the driver for proper operation of the
(1) Fuel a motor vehicle with the en-
vehicle;
gine running, except when it is nec-
(ii) Unobstructed passage to all exits
essary to run the engine to fuel the ve-
by any person; and
hicle;
(iii) Adequate protection to pas-
(2) Smoke or expose any open flame
sengers and others from injury as a re-
in the vicinity of a vehicle being
sult of the displacement or falling of
fueled;
such articles.
(5) Maximum passengers on motor vehi- (3) Fuel a motor vehicle unless the
cles. No motor vehicle shall be driven if nozzle of the fuel hose is continuously
the total number of passengers exceeds in contact with the intake pipe of the
the seating capacity which will be per- fuel tank;
mitted on seats prescribed in § 398.5(f) (4) Permit any other person to en-
when that section is effective. All pas- gage in such activities as would be
sengers carried on such vehicle shall likely to result in fire or explosion.
remain seated while the motor vehicle (m) Reserve fuel. No supply of fuel for
is in motion. the propulsion of any motor vehicle or
(h) Rest and meal stops. Every carrier for the operation of any accessory
shall provide for reasonable rest stops thereof shall be carried on the motor
at least once between meal stops. Meal vehicle except in a properly mounted
stops shall be made at intervals not to fuel tank or tanks.
exceed six hours and shall be for a pe- (n) Driving by unauthorized person.
riod of not less than 30 minutes dura- Except in case of emergency, no driver
tion. shall permit a motor vehicle to which
(i) Kinds of motor vehicles in which he/she is assigned to be driven by any
workers may be transported. Workers person not authorized to drive such ve-
may be transported in or on only the hicle by the motor carrier in control
following types of motor vehicles: A thereof.
bus, a truck with no trailer attached, (o) Protection of passengers from
or a semitrailer attached to a truck- weather. No motor vehicle shall be driv-
tractor provided that no other trailer en while transporting passengers un-
is attached to the semitrailer. Closed less the passengers therein are pro-
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vans without windows or means to as- tected from inclement weather condi-
sure ventilation shall not be used. tions such as rain, snow, or sleet, by

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Federal Motor Carrier Safety Administration, DOT § 398.5

use of the top or protective devices re- (c) Brakes. Every motor vehicle shall
quired by § 398.5(f). be equipped with brakes as required by
(p) Unattended vehicles; precautions. subpart C of part 393 of this subchapter,
No motor vehicle shall be left unat- except § 393.44 of this subchapter, and
tended by the driver until the parking shall satisfy the braking performance
brake has been securely set, the wheels requirements contained therein.
chocked, and all reasonable pre- (d) Coupling devices; fifth wheel mount-
cautions have been taken to prevent ing and locking. The lower half of every
the movement of such vehicle. fifth wheel mounted on any truck-trac-
(q) Railroad grade crossings; stopping tor or dolly shall be securely affixed to
required; sign on rear of vehicle. Every the frame thereof by U-bolts of ade-
motor vehicle shall, upon approaching quate size, securely tightened, or by
any railroad grade crossing, make a other means providing at least equiva-
full stop not more than 50 feet, nor less lent security. Such U-bolts shall not be
than 15 feet from the nearest rail of of welded construction. The installa-
such railroad grade crossing, and shall tion shall be such as not to cause
not proceed until due caution has been cracking, warping, or deformation of
taken to ascertain that the course is the frame. Adequate meansshall be pro-
clear; except that a full stop need not vided positively to prevent the shifting
be made at: of the lower half of a fifth wheel on the
(1) A street car crossing within a frame to which it is attached. The
business or residence district of a mu- upper half of every fifth wheel shall be
nicipality; fastened to the motor vehicle with at
(2) A railroad grade crossing where a least the security required for the se-
police officer or a traffic-control signal curing of the lower half to a truck-
(not a railroad flashing signal) directs tractor or dolly. Locking means shall
traffic to proceed; be provided in every fifth wheel mecha-
(3) An abandoned or exempted grade nism including adapters when used, so
crossing which is clearly marked as that the upper and lower halves may
such by or with the consent of the not be separated without the operation
proper state authority, when such of a positive manual release. A release
marking can be read from the driver’s mechanism operated by the driver from
position. the cab shall be deemed to meet this
All such motor vehicles shall display a requirement. On fifth wheels designed
sign on the rear reading, ‘‘This Vehicle and constructed as to be readily sepa-
Stops at Railroad Crossings.’’ rable, the fifth wheel locking devices
[33 FR 19765, Dec. 25, 1968, as amended at 40
shall apply automatically on coupling
FR 44557, Sept. 29, 1975] for any motor vehicle the date of man-
ufacture of which is subsequent to De-
§ 398.5 Parts and accessories nec- cember 31, 1952.
essary for safe operation. (e) Tires. Every motor vehicle shall
(a) Compliance. Every motor carrier be equipped with tires of adequate ca-
and its officers, agents, drivers, rep- pacity to support its gross weight. No
resentatives and employees directly motor vehicle shall be operated on
concerned with the installation and tires which have been worn so smooth
maintenance of equipment and acces- as to expose any tread fabric or which
sories shall comply and be conversant have any other defect likely to cause
with the requirements and specifica- failure. No vehicle shall be operated
tions of this part, and no motor carrier while transporting passengers while
shall operate any motor vehicle, or using any tire which does not have
cause or permit it to be operated, un- tread configurations on that part of
less it is equipped in accordance with the tire which is in contact with the
said requirements and specifications. road surface. No vehicle transporting
(b) Lighting devices. Every motor ve- passengers shall be operated with re-
hicle shall be equipped with the light- grooved, re-capped, or re-treaded tires
ing devices and reflectors required by on front wheels.
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subpart B of part 393 of this sub- (f) Passenger compartment. Every


chapter. motor vehicle transporting passengers,

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§ 398.5 49 CFR Ch. III (10–1–07 Edition)

other than a bus, shall have a pas- wide. The top and the clear opening
senger compartment meeting the fol- shall be at least 60 inches high, or as
lowing requirements: high as the side wall of the passenger
(1) Floors. A substantially smooth space if less than 60 inches. The bottom
floor, without protruding obstructions shall be at the floor of the passenger
more than two inches high, except as space.
are necessary for securing seats or (7) Gates and doors. Gates or doors
other devices to the floor, and without shall be provided to close the means of
cracks or holes. ingress and egress and each such gate
(2) Sides. Side walls and ends above or door shall be equipped with at least
the floor at least 60 inches high, by at- one latch or other fastening device of
tachment of sideboards to the perma- such construction as to keep the gate
nent body construction if necessary. or door securely closed during the
Stake body construction shall be con- course of transportation; and readily
strued to comply with this requirement operative without the use of tools.
only if all six-inch or larger spaces be- (8) Ladders or steps. Ladders or steps
tween stakes are suitably closed to pre- for the purpose of ingress or egress
vent passengers from falling off the ve- shall be used when necessary. The max-
hicle. imum verticle spacing of footholds
(3) Nails, screws, splinters. The floor shall not exceed 12 inches, except that
and the interior of the sides and ends of the lowest step may be not more than
the passenger-carrying space shall be 18 inches above the ground when the
free of inwardly protruding nails, vehicle is empty.
screws, splinters, or other projecting (9) Hand holds. Hand holds or devices
objects likely to be injurious to pas- for similar purpose shall be provided to
sengers or their apparel. permit ingress and egress without haz-
(4) Seats. On and after November 1, ard to passengers.
1957, a seat shall be provided for each (10) Emergency exit. Vehicles with per-
worker transported. The seats shall be: manently affixed roofs shall be
Securely attached to the vehicle dur- equipped with at least one emergency
ing the course of transportation; not exit having a gate or door, latch and
less than 16 inches nor more than 19 hand hold as prescribed in paragraphs
inches above the floor; at least 13 (f) (7) and (9) of this section and located
inches deep; equipped with backrests on a side or rear not equipped with the
extending to a height of at least 36 exit prescribed in paragraph (f)(6) of
inches above the floor, with at least 24 this section.
inches of space between the backrests (11) Communication with driver. Means
or between the edges of the opposite shall be provided to enable the pas-
seats when face to face; designed to sengers to communicate with the driv-
provide at least 18 inches of seat for er. Such means may include telephone,
each passenger; without cracks more speaker tubes, buzzers, pull cords, or
than two inches wide, and the exposed other mechanical or electrical means.
surfaces, if made of wood, planed or (g) Protection from cold. Every motor
sanded smooth and free of splinters. vehicle shall be provided with a safe
(5) Protection from weather. Whenever means of protecting passengers from
necessary to protect the passengers cold or undue exposure, but in no event
from inclement weather conditions, be shall heaters of the following types be
equipped with a top at least 80 inches used:
high above the floor and facilities for (1) Exhaust heaters. Any type of ex-
closing the sides and ends of the pas- haust heater in which the engine ex-
senger-carrying compartment. Tarpau- haust gases are conducted into or
lins or other such removable devices through any space occupied by persons
for protection from the weather shall or any heater which conducts engine
be secured in place. compartment air into any such space.
(6) Exit. Adequate means of ingress (2) Unenclosed flame heaters. Any type
and egress to and from the passenger of heater employing a flame which is
space shall be provided on the rear or not fully enclosed.
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at the right side. Such means of ingress (3) Heaters permitting fuel leakage. Any
and egress shall be at least 18 inches type of heater from the burner of which

498

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Federal Motor Carrier Safety Administration, DOT § 398.8

there could be spillage or leakage of inspection by authorized Administra-


fuel upon the tilting or overturning of tion employees.
the vehicle in which it is mounted. (c) Motor vehicles declared ‘‘out of serv-
(4) Heaters permitting air contamina- ice’’. (1) Authorized Administration em-
tion. Any heater taking air, heated or ployees shall declare and mark ‘‘out of
to be heated, from the engine compart- service’’ any motor vehicle which by
ment or from direct contact with any reason of its mechanical condition or
portion of the exhaust system; or any loading is so imminently hazardous to
heater taking air in ducts from the operate as to be likely to cause an acci-
outside atmosphere to be conveyed dent or a breakdown. Form MCS 64,
through the engine compartment, un- ‘‘Out of Service Vehicle’’ sticker shall
less said ducts are so constructed and be used to mark vehicles ‘‘out of serv-
installed as to prevent contamination ice.’’
of the air so conveyed by exhaust or (2) No motor carrier shall require or
engine compartment gases. permit any person to operate nor shall
(5) Any heater not securely fastened any person operate any motor vehicle
to the vehicle. declared and marked, ‘‘out of service’’
until all repairs required by the ‘‘out of
§ 398.6 Hours of service of drivers; service notice’’ on Form MCS 63 have
maximum driving time. been satisfactorily completed. The
term operate as used in this section
No person shall drive nor shall any
shall include towing the vehicle; pro-
motor carrier permit or require a driv-
vided, however, that vehicles marked
er employed or used by it to drive or
‘‘out of service’’ may be towed away by
operate for more than 10 hours in the means of a vehicle using a crane or
aggregate (excluding rest stops and hoist; and provided further, that the
stops for meals) in any period of 24 con- vehicle combination consisting of the
secutive hours, unless such driver be emergency towing vehicle and the ‘‘out
afforded eight consecutive hours rest of service’’ vehicle meets the perform-
immediately following the 10 hours ag- ance requirements of § 393.52.
gregate driving. The term ‘‘24 consecu- (3) No person shall remove the ‘‘Out
tive hours’’ as used in this part means of Service Vehicle’’ sticker from any
any such period starting at the time motor vehicle prior to completion of
the driver reports for duty. all repairs required by the ‘‘out of serv-
§ 398.7 Inspection and maintenance of ice notice’’ on Form MCS 63.
motor vehicles. (4) The person or persons completing
the repairs required by the ‘‘out of
Every motor carrier shall systemati- service notice’’ shall sign the ‘‘Certifi-
cally inspect and maintain or cause to cation of Repairman’’ in accordance
be systematically maintained, all with the terms prescribed on Form
motor vehicles and their accessories MCS 63, entering the name of his/her
subject to its control, to insure that shop or garage and the date and time
such motor vehicles and accessories are the required repairs were completed. If
in safe and proper operating condition. the driver completes the required re-
pairs, he/she shall sign and complete
§ 398.8 Administration inspection of the ‘‘Certification of Repairman.’’
motor vehicles in operation.
(d) Motor carrier’s disposition of Form
(a) Administration personnel authorized MCS 63. (1) Motor carriers shall care-
to perform inspections. All persons des- fully examine Forms MCS 63. Any and
ignated as Special Agents of the Fed- all violations or mechanical defects
eral Motor Carrier Safety Administra- noted thereon shall be corrected. To
tion, as detailed in appendix B of chap- the extent drivers are shown not to be
ter III of this title, are authorized to in compliance with the Federal Motor
enter upon and perform inspections of Carrier Safety Regulations, appro-
motor carrier’s vehicles in operation. priate corrective action shall be taken
(b) Prescribed inspection report. Form by the motor carrier.
MCS 63, Driver-Equipment Compliance (2) Motor carriers shall complete the
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Check, shall be used to record findings ‘‘Motor Carrier Certification of Action


from motor vehicles selected for final Taken’’ on Form MCS 63 in accordance

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Pt. 399 49 CFR Ch. III (10–1–07 Edition)

with the terms prescribed thereon. § 399.205 Definitions.


Motor carriers shall return Forms MCS
Cab-over-engine (COE) A truck or
63 to the address indicated upon Form
truck-tractor having all, or the front
MCS 63 within fifteen (15) days fol- portion, of the engine under the cab.
lowing the date of the vehicle inspec-
COE—High profile A COE having the
tion. door sill step above the height of the
[33 FR 19765, Dec. 25, 1968, as amended at 40 front tires.
FR 44557, Sept. 29, 1975] Deck plate A horizontal surface de-
signed to provide a person with stable
PART 399—EMPLOYEE SAFETY AND footing for the performance of work
HEALTH STANDARDS such as the connection and disconnec-
tion of air and electrical lines, gaining
access to permanently-mounted equip-
Subparts A–K [Reserved]
ment or machinery or for similar
Subpart L—Step, Handhold, and Deck Re- needs.
quirements for Commercial Motor Ve- Door sill step Any step normally pro-
hicles tected from the elements by the cab
door when closed.
Sec. Effective peripheral grip Any shaped
399.201 Purpose and scope. surface, free of sharp edges, in which a
399.203 Applicability. full grasp can be made to secure a
399.205 Definitions. handhold by a person.
399.207 Truck and truck-tractor access re- Fingertip grasp A handhold surface
quirements.
which provides a person contact re-
399.209 Test procedures.
stricted to finger segments 1 and/or 2
399.211 Maintenance.
only; or which limits wrap-around clo-
AUTHORITY: 49 U.S.C. 31502; and 49 CFR 1.73. sure of finger segment 1 with the palm
SOURCE: 44 FR 43732, July 26, 1979, unless of the hand to 90 degrees as shown in
otherwise noted. Illustration I.
EDITORIAL NOTE: Nomenclature changes to
part 399 appear at 66 FR 49874, Oct. 1, 2001.

Subparts A–K [Reserved]

Subpart L—Step, Handhold, and


Deck Requirements for Com-
mercial Motor Vehicles
§ 399.201 Purpose and scope.
This subpart prescribes step, hand-
hold, and deck requirements on com-
mercial motor vehicles. These require-
ments are intended to enhance the
safety of motor carrier employees.

§ 399.203 Applicability.
This subpart applies to all trucks and
truck-tractors, having a high profile
cab-over-engine (COE) configuration,
Full grasp A handhold surface which
for entrance, egress and back of cab ac-
provides a person contact with finger
cess, manufactured on and after Sep- segments 2 and 3 and which provides
tember 1, 1982. space for finger segment 1 to wrap
[44 FR 43732, July 26, 1979, as amended at 46 around toward the palm of the hand be-
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FR 56799, Nov. 19, 1981] yond the 90-degree surface restriction


shown in Illustration I. The handhold

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Federal Motor Carrier Safety Administration, DOT § 399.207

need not require contact between fin- NARA, call 202–741–6030, or go to: http://
gers and thumb. For example, the hand www.archives.gov/federallregister/
position shown in Illustration II quali- codeloflfederallregulations/
fies as full grasp. ibrllocations.html. This incorporation
by reference was approved by the Di-
rector of the Federal Register on July
17, 1979. These materials are incor-
porated as they exist on the date of the
approval and a notice of any change in
these materials will be published in the
FEDERAL REGISTER.
Slip resistant material Any material
designed to minimize the accumulation
of grease, ice, mud or other debris and
afford protection from accidental slip-
ping.

§ 399.207 Truck and truck-tractor ac-


cess requirements.
(a) General rule. Any person entering
or exiting the cab or accessing the rear
portion of a high profile COE truck or
truck-tractor shall be afforded suffi-
cient steps and handholds, and/or deck
plates to allow the user to have at
least 3 limbs in contact with the truck
Ground The flat horizontal surface on or truck-tractor at any time. This rule
which the tires of a motor vehicle rest. applies to intermediate positions as
Handhold That which qualifies as well as transition between inter-
providing full grasp if a person is able mediate positions. To allow for changes
to find a hand position on the handhold in climbing sequence, the step design
which allows more than fingertip shall include, as a minimum, one inter-
grasp. mediate step of sufficient size to ac-
Handprint The surface area contacted commodate two feet. Exception. If air
by the hand when grasping a handhold. and electrical connections necessary to
The size of this area is the width of the couple or uncouple a truck-tractor
hand across the metacarpal and half from a trailer are accessible from the
the circumference of the handhold. The ground, no step, handholds or deck
hand breadth of the typical person is plates are required to permit access to
88.9 millimeters (3.5 inches). the rear of the cab.
Person Any individual within the 5th (b) Performance requirements. All high
percentile female adult through the profile COE trucks or truck-tractors
95th percentile male adult of anthropo- shall be equipped on each side of the
metric measures as described by the vehicle where a seat is located, with a
1962 Health Examination Survey, sufficient number of steps and
‘‘Weight, Height and Selected Body Di- handholds to conform with the require-
mensions of Adults, United States 1960– ments of paragraph (a) of this section
1962’’ which is incorporated by ref- and shall meet the performance re-
erence. It is Public Health Service pub- quirements:
lication No. 1000–Series 11–No. 8 and is (1) Vertical height. All measurements
for sale from the U.S. Department of of vertical height shall be made from
Commerce, National Technical Infor- ground level with the vehicle at un-
mation Service, 5285 Port Royal Road, laden weight.
Springfield, Virginia 22161. When order- (2) Distance between steps. The dis-
ing use NTIS Accession No. PB 267174. tance between steps, up to and includ-
It is also available for inspection at the ing the door sill step, shall provide any
National Archives and Records Admin- person a stable resting position which
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istration (NARA). For information on can be sustained without body motion


the availability of this material at and by exerting no more arm force

501
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§ 399.207 49 CFR Ch. III (10–1–07 Edition)

than 35 percent of the person’s body (3) Construction. Each step or deck
weight per grasp during all stages of plate shall be of a slip resistant design
entry and exit. This criterion applies which minimizes the accumulation of
to intermediate positions as well as foreign material. Wherever practicable,
transition between intermediate posi- a self-cleaning material should be used.
tions above ground level. (4) Foot accommodation. Step depth or
(i) When the ground provides the per- clearance and step width necessary to
son foot support during entry or is the accommodate a climbing person are de-
final step in the sequence during exit,
fined by using a minimum 127 milli-
and the step is 508 millimeters (20
inches) or more above ground, the sta- meter (5 inch) diameter disc as shown
ble resting position shall be achievable in Illustration III.
by the person using both hands to (i) Single foot accommodation. The disc
grasp the handhold(s) and requiring no shall fit on a tread rung, or in a step
more arm force than 35 percent of body recess, with no exterior overhang.
weight per grasp. (ii) Two-foot accommodation. Two
(ii) The vertical height of the first discs shall fit on a tread rung, or in a
step shall be no more than 609 millime- step recess, with no exterior overhang.
ters (24 inches) from ground level.

NOTE: The 127 millimeter (5 inch) disc is the distance between its mounting
only intended to test for a minimum depth points.
and width requirement. The step need not re- (8) Handhold size and shape. Each
tain the disc at rest. handhold shall be free of sharp edges
(5) Step strength. Each step must (minimum 1 millimeter [0.04 inch] ra-
withstand a vertical static load of at dius) and have an effective peripheral
least 204 kilograms (450 pounds) uni- grip length that permits full grasp by
formly distributed over any 127 milli- any person.
meter (5 inch) increment of step width. (9) Handhold strength. Each handhold
shall withstand a horizontal static load
(6) Handhold location. A handhold
of at least 114 kilograms (250 pounds)
must be located within the reach of
uniformly distributed over the area of
any person entering or exiting the ve-
a hand print and applied away from the
hicle. mounting surface.
(7) Exterior mounting specifications for (10) Deck plates. Deck plates shall be
handholds. Each handhold, affixed to on the rear of a truck-tractor as nec-
the exterior of the vehicle, shall have essary to couple or uncouple air and/or
at least 38 millimeters (1.5 inches) electrical connections.
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clearance between the handhold and (11) Deck plate strength. Each deck
the surface to which it is mounted for plate shall be capable of withstanding

502
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Federal Motor Carrier Safety Administration, DOT Ch. III, Subch. B, App. F

the vertical static load of at least 205 fied by credentials issued by the FMCSA au-
kilograms (450 pounds) uniformly dis- thorizing them to enforce 42 U.S.C. 4917 and
tributed over a 127 millimeter (5 inch) to exercise relevant authority of the Sec-
retary of Transportation under 49 U.S.C. 113,
diameter disc.
chapters 5, 51, 57, 131–149, 311, 313, and 315 and
other statutes, as delegated to FMCSA by 49
§ 399.209 Test procedures.
CFR 1.73, and under regulations issued on the
(a) The force exerted on a handhold authority of those statutes. Special agents
will be measured using a handheld are authorized to inspect and copy records
spring scale or force transducer which and to inspect and examine land, buildings,
can be attached to the vehicle and is and equipment in the manner and to the ex-
tent provided by law.
free to rotate into alignment with a
4. Facsimile of the Administration Credential:
person’s hand position.
(b) Hand grasp will be evaluated by UNITED STATES OF AMERICA
observing the handgrip of any indi-
vidual who conforms with the defini- DEPARTMENT OF TRANSPORTATION FEDERAL
tion of ‘‘person’’ appearing in § 399.205 MOTOR CARRIER SAFETY ADMINISTRATION
of this subpart. This is to certify that llllll whose
photograph and signature appear hereon is
§ 399.211 Maintenance. duly accredited as llllll with author-
ity to enter upon, to inspect, and examine
All steps, handholds, and/or deck
lands, buildings, and equipment, and to in-
plates required by this subpart shall be spect and copy records and papers of carriers
adequately maintained to serve their and other persons, in performance of his/her
intended function. duties under the Department of Transpor-
tation Act, related acts, and regulations of
APPENDIX A TO SUBCHAPTER B OF the Department.
CHAPTER III [RESERVED] By direction of the Secretary

APPENDIX B TO SUBCHAPTER B OF (Certifying Authority) (Bearer)


CHAPTER III—SPECIAL AGENTS
(49 U.S.C. 504, 5121, 14122, 31502 and 31503; and
CAUTIONARY NOTE: This appendix relates 49 CFR 1.73)
only to Federal authority to enforce the reg-
ulations in this subchapter. In its present [35 FR 1016, Jan. 24, 1970 as amended at 36 FR
form, it has no application for the States and 16067, Aug. 19, 1971; 43 FR 20011, May 10, 1978;
is not to be included in any adoption of these 44 FR 46425, July 10, 1980; 49 FR 38290, Sept.
regulations by State authorities as a condi- 28, 1984; 60 FR 38749, July 28, 1995; 61 FR 1843,
tion of eligibility for grants under part 350 of Jan. 24, 1996]
this chapter.
APPENDIXES C–E TO SUBCHAPTER B OF
1. Authority. Persons appointed as special
CHAPTER III [RESERVED]
agents of the Federal Motor Carrier Safety
Administration (‘‘Administration’’), are au-
thorized to enter upon, to inspect, and to ex-
APPENDIX F TO SUBCHAPTER B OF
amine any and all lands, buildings, and CHAPTER III—COMMERCIAL ZONES
equipment of motor carriers and other per- ‘‘NOTE: The text of these definitions is
sons subject to the Interstate Commerce identical to the text of 49 CFR Part 1048, re-
Act, the Department of Transportation Act, vised as of October 1, 1975, which is no longer
and other related Acts, and to inspect and in print.’’
copy any and all accounts, books, records,
memoranda, correspondence, and other docu- COMMERCIAL ZONES
ments of such carriers and other persons.
2. Compliance. Motor carriers and other Sec.
persons subject to these Acts shall submit 1 New York, N.Y.
their accounts, books, records, memoranda, 2 Chicago, Ill.
correspondence, and other documents for in- 3 St. Louis, Mo.-East St. Louis, Ill.
spection and copying, and they shall submit 4 Washington, D.C.
their lands, buildings, and equipment for ex- 5 Los Angeles, Calif., and contiguous and ad-
amination and inspection, to any special jacent municipalities.
agent of the Administration upon demand 6 Philadelphia, Pa.
and display of an Administration credential 7 Cincinnati, Ohio
identifying him/her as a special agent. 8 Kansas City, Mo.-Kansas City, Kans.
3. Definition of Special Agent. Special agents 9 Boston, Mass.
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are Federal Motor Carrier Safety Adminis- 10 Davenport, Iowa; Rock Island and Moline,
tration (FMCSA) employees who are identi- Ill.

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Ch. III, Subch. B, App. F 49 CFR Ch. III (10–1–07 Edition)
11 Commercial zones of municipalities in water carrier, and which is performed wholly
New Jersey within 5 miles of New York, between points named in subparagraph (1) of
N.Y. this paragraph, on the one hand, and, on the
12 Commercial zones of municipalities in other, those points in Newark and Elizabeth,
Westchester and Nassau Counties, N.Y. N.J., identified as follows: All points in that
13 Tucson, Ariz. area within the corporate limits of the cities
14 Albuquerque, N. Mex. of Newark and Elizabeth, N.J., west of New-
18 Ravenswood, W. Va.
ark Bay and bounded on the south by the
19 Lake Charles, La.
main line of the Central Railroad of New Jer-
20 Syracuse, N.Y.
21 Baltimore, Md. sey, on the west by the Newark & Elizabeth
22 Cleveland, Ohio. Branch of the Central Railroad Company of
23 Detroit, Mich. New Jersey, and on the north by the prop-
24 Seattle, Wash. erty line of the Penn Central Transportation
25 Albany, N.Y. Company.
26 Minneapolis-St. Paul, Minn. (3) Transportation which is performed in
27 New Orleans, La. respect of a shipment by rail carrier, and
28 Pittsburgh, Pa. which is performed wholly between points
29 Portland, Oreg. named in subparagraph (1) of this paragraph,
30 Vancouver, Wash. on the one hand, and, on the other,
31 Charleston, S.C.
(a) Those portions of Kearny, N.J., within
32 Charleston, W. Va.
33 Memphis, Tenn. an area bounded on the north by the main
34 Houston, Tex. line of the Jersey City Branch of the Penn
35 Pueblo, Colo. Central Transportation Co., on the south and
36 Warren, Ohio east by Fish House Road and Pennsylvania
37 Louisville, Ky. Avenue, and on the west by the property line
38 Sioux City, Iowa. of the Penn Central Transportation Co.
39 Beaumont, Tex. Truck-Train Terminal.
40 Metropolitan Government of Nashville (b)(i) That portion of Newark, N.J., within
and Davidson County, Tenn. an area bounded on the north by South
41 Consolidated City of Indianapolis, Ind. Street and Delancey Street, on the east by
42 Lexington-Fayette Urban County, Ky. Doremus Avenue, on the south by the freight
43 Definitions. right-of-way of the Penn Central Transpor-
44 Commercial zones determined generally,
tation Co. (Waverly Yard, Newark, N.J., to
with exceptions.
45 Controlling distances and population Greenville Piers, Jersey City, N.J., line), and
data. on the west by the Penn Central Transpor-
tation Co.’s Hunter Street produce yard, and
Section 1 New York, N.Y. (ii) that portion of Newark, N.J., within an
(a) The application of § 372.241 Commercial area bounded on the north by Poinier Street,
Zones determined generally, with excep- on the east by Broad Steet, on the south by
tions, is hereby extended to New York, N.Y. the passenger right-of-way of the Penn Cen-
(b) The exemption provided by section tral Transportation Co.’s main line and on
203(b)(8) of the Interstate Commerce Act, of the west by Frelinghuysen Avenue.
transportation by motor vehicle, in inter- (c) That portion of Port Reading, N.J.,
state or foreign commerce, performed wholly within an area bounded on the east by the
within the zone the limits of which are de- Arthur Kill, on the south by the right-of-way
fined in paragraph (a) of this section, is here- of the Reading Co., on the west by Cliff
by removed as to all such transportation ex- Road, and on the north by Woodbridge-
cept: Carteret Road, and
(1) Transportation which is performed (d) That portion of Elizabeth, N.J., within
wholly within the following territory: The an area bounded by a line extending from
area within the corporate limits of the cities Newark Bay westward along Trumbull
of New York, Yonkers, Mount Vernon, North Street to its intersection with Division
Pelham, Pelham, Pelham Manor, Great Neck
Street; thence northward along Trumbull
Estates, Floral Park, and Valley Stream,
Street to its intersection with East North
N.Y., and Englewood, N.J.; the area within
the borough limits of Alpine, Tenafly, Engle- Avenue; thence eastward along East North
wood Cliffs, Leonia, Fort Lee, Edgewater, Avenue to its intersection with the New Jer-
Cliffside Park, Fairview, Palisades Park, and sey Turnpike, thence along the New Jersey
Ridgefield, Bergen County, N.J.; and that Turnpike to the Elizabeth Channel; thence
part of Hudson County, N.J., east of Newark easterly along the Elizabeth Channel to New-
Bay and the Hackensack River; ark Bay; thence along the western shore of
(2) Transportation which is performed in Newark Bay to the point of beginning.
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respect of a shipment which has had a prior,


or will have a subsequent movement by

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Federal Motor Carrier Safety Administration, DOT Ch. III, Subch. B, App. F
Sec. 2 Chicago, Ill. of the Interstate Commerce Act (49 U.S.C.
303(b)(8)), includes and is comprised of all
The zone adjacent to and commercially a
points as follows: (1) All points within the
part of Chicago, Ill., within which transpor-
corporate limits of St. Louis, Mo.; (2) all
tation by motor vehicle, in interstate or for-
points in St. Louis County, Mo., within a
eign commerce, not under a common con-
line drawn 0.5 mile south, west, and north of
trol, management, or arrangement for a con-
the following line:—Beginning at the Jeffer-
tinuous carriage or shipment to or from a
son Barracks Bridge across the Mississippi
point beyond the zone is partially exempt
River and extending westerly along Missouri
from regulation under section 203(b)(8) of the
Highway 77 to its junction with U.S. High-
Interstate Commerce Act (49 U.S.C.
way 61 Bypass, thence along U.S. Highway 61
303(b)(8)), includes and is comprised of all
Bypass to its junction with U.S. Highway 66,
points as follows:
thence westerly along U.S. Highway 66 to its
The area within the corporate limits of
junction with Bowles Avenue, thence north-
Chicago, Evanston, Oak Park, Cicero, Ber-
erly along Bowles Avenue, actual or pro-
wyn, River Forest, Willow Springs,
jected, to the Meramec River, thence eas-
Bridgeview, Hickory Hills, Worth,
terly along the south bank of the Meramec
Homewood, and Lansing, Ill.; the area within
River to a point directly south of the west-
the township limits of Niles, Maine, Leyden,
ern boundary of Kirkwood, thence across the
Norwood Park, Proviso, Lyons, Riverside,
Meramec River to and along the western
Stickeny, Worth, Calumet, Bremen, and
boundary of Kirkwood to Marshall Road,
Thornton Townships, Cook County, Ill.; the
thence westerly along Marshall Road to its
area comprised of that part of Lemont Town-
junction with Treecourt Avenue, thence
ship, Cook County, and that part of Downers
northerly along Treecourt Avenue to its
Grove Township, Du Page County, Ill.,
junction with Big Bend Road, thence eas-
bounded by a line beginning at the intersec-
terly along Big Bend Road to the western
tion of Archer Avenue and the southern cor-
boundry of Kirkwood, thence northerly along
porate limits of WillowSprings, Ill., and ex-
the western boundary of Kirkwood to its
tending in a southwesterly direction along
junction with Dougherty Ferry Road, thence
Archer Avenue to its junction with Chicago
westerly along Dougherty Ferry Road to its
Joliet Road (Sag Lemont Highway), thence
junction with Interstate Highway 244, thence
in a westerly direction over Chicago Joliet
northerly along InterstateHighway 244 to its
Road to its junction with Walker Road, junction with Manchester Road, thence eas-
thence directly north along an imaginary terly along Manchester Road to its junction
line to the southern shoreline of the Chicago with the northwest corner of Kirkwood,
Sanitary and Ship Canal, thence in a north- thence along the western and northern
easterly direction along said shoreline to the boundaries of Kirkwood to the western
corporate limits of Willow Springs, including boundary of Huntleigh, Mo., thence along
points on the indicated portions of the high- the western and northern boundaries of
ways specified; the area within Burr Ridge, Huntleigh to its junction with Lindbergh
Du Page County, bounded by a line begin- Boulevard, thence northerly along Lindbergh
ning at the intersection of County Line Road Boulevard to its junction with Lackland Av-
and Frontage Road, thence southwesterly enue, thence in a westerly direction along
along Frontage Road to its intersection with Lackland Avenue to its junction with the
Garfield Street, thence northerly along Gar- right-of-way of the proposed Circumferential
field Street to its junction with 74th Street, Expressway (Interstate Highway 244), thence
thence westerly along an imaginary line to in a northerly direction along said right-of-
the junction of 74th Street and Grant Street, way to its junction with the right-of-way of
thence southerly along Grant Street to its the Chicago, Rock Island and Pacific Rail-
junction with 75th Street, thence westerly road, thence in an easterly direction along
along 75th Street to its junction with Brush said right-of-way to its junction with
Hill Road, thence southerly along Brush Hill Dorsett Road, thence in an easterly direction
Road to its junction with Frontage Road, along Dorsett Road to its junction with
thence northeasterly along Frontage Road to Lindbergh Boulevard, thence in a northerly
its junction with County Line Road; and the direction along Lindbergh Boulevard to its
area within the corporate limits of Ham- junction with St. Charles Rock Road, thence
mond, Whiting, East Chicago, and Gary, Ind. westerly along St. Charles Rock Road to its
function with the Missouri River, thence
Sec. 3 St. Louis, Mo.-East St. Louis, Ill.
northerly along the east shore of the Mis-
(a) The zone adjacent to and commercially souri River to its junction with the Norfolk
a part of St. Louis, Mo.-East St. Louis, Ill, and Western Railway Co. right-of-way,
within which transportation by motor vehi- thence easterly along the southern boundary
cle in interstate or foreign commerce, not of the Norfolk and Western Railway Co.
under a common control, management or ar- right-of-way to Lindbergh Boulevard, thence
rangement for a continuous carriage to or in an easterly direction along Lindbergh
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from a point beyond the zone is partially ex- Boulevard to the western boundary of St.
empt from regulation under section 203(b)(8) Ferdinand (Florissant), Mo., thence along

505

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Ch. III, Subch. B, App. F 49 CFR Ch. III (10–1–07 Edition)
the western, northern, and eastern bound- trol, management, or arrangement for a con-
aries of St. Ferdinand to junction Insterstate tinuous carriage to or from a point beyond
Highway 270, and thence along Interstate the zone is partially exempt from regulation
Highway 270 to the corporate limits of St. under section 203(b)(8) of the Interstate Com-
Louis (near Chain of Rocks Bridge); and (3) merce Act (49 U.S.A. 303(b)(8)) includes and it
all points within the corporate limits of East is comprised of all as follows:
St. Louis, Belleville, Granite City, Madison, Beginning at the intersection of Mac-
Venice, Brooklyn, National City, Fairmont Arthur Boulevard and Falls Road (Maryland
City, Washington Park, and Sauget, Ill.; that Highway 189) and extending northeasterly
part of the village of Cahokia, Ill., bounded along Falls Road to its junction with Scott
by Illinois Highway 3 on the east, First Ave- Drive, thence west on Scott Drive to its
nue and Red House (Cargill) Road on the junction with Viers Drive, thence west on
south and southwest, the east line of the Viers Drive to its junction with Glen Mill
right-of-way of the Alton and Southern Rail- Road, thence northeast on Glen Mill Road to
road on the west, and the corporate limits of its junction with Maryland Highway 28,
Sauget, Ill., on the northwest and north; thence west on Maryland Highway 28 to its
that part of Centerville, Ill., bounded by a junction with Shady Grove Road, thence
line beginning at the junction of 26th Street northeast on Shady Grove Road approxi-
and the corporate limit of East St. Louis, mately 2.7 miles to Crabbs Branch, thence
Ill., and extending northeasterly along 26th southeasterly along the course of Crabbs
Street to its junction with BondAvenue, Branch to Rock Creek, thence southerly
thence southeasterly along Bond Avenue to along the course of Rock Creek to Viers Mill
its junction with Owen Street, thence south- Road (Maryland Highway 586), thence south-
westerly along Owen Street to its junction easterly along Viers Mill Road approxi-
with Church Road, thence southeasterly mately 0.3 mile to its junction with Aspen
along Church Road to its junction with Illi- Hill Road, thence northeasterly along Aspen
nois Avenue, thence southwesterly along Illi- Hill Road to its junction with Brookeville
nois Avenue to the southwesterly side of the Road (Maryland Highway 97), thence south-
right-of-way of the Illinois Central Railroad easterly along Brookeville Road to its junc-
Co., thence along the southwesterly side of tion with Maryland Highway 183, thence
the right-of-way of the Illinois Central Rail- northeasterly along Maryland Highway 183
road Co. to the corporate limits of East St. to Colesville, Md., thence southeasterly
Louis, Ill, thence along the corporate limits along Beltsville Road to its junction with
of East St. Louis, Ill., to the point of begin- Powder Mill Road (Maryland Highway 212),
ning; and that area bounded by a line com- thence easterly over Powder Mill Road to its
junction with Montgomery Road, thence
mencing at the intersection of the right-of-
northeasterly along Montgomery Road, ap-
way of the Alton and Southern Railroad and
proximately 0.2 mile, to its junction with an
the Madison, Ill., corporate limits near 19th
unnumbered highway extending northeast-
Street, and extending east and south along
erly to the north of Ammendale Normal In-
said right-of-way to its intersection with the
stitute, thence along such unnumbered high-
right-of-way of Illinois Terminal Railroad
way for a distance of about 2.2 miles to its
Co., thence southwesterly along the Illinois
junction somewhat north of Virginia Manor,
Terminal Railroad Co. right-of-way to its
Md., with an unnumbered highway extending
intersection with Illinois Highway 203,
easterly through Muirkirk, Md., thence
thence northwesterly along said highway to along such unnumbered highway through
its intersection with the Madison, Ill., cor- Muirkirk to its junction, approximately 1.8
porate boundary near McCambridge Avenue, miles east of the Baltimore and Ohio Rail-
thence northerly along the Madison, Ill., cor- road, with an unnumbered highway, thence
porate boundary to the point of beginning. southwesterly along such unnumbered high-
(b) The exemption provided by section way for a distance of about 0.5 mile to its
203(b)(8) of the Interstate Commerce Act in junction with an unnumbered highway,
respect of transportation by motor vehicle, thence southeasterly along such unnumbered
in interstate or foreign commerce, between highway through Springfield and Hillmeade,
Belleville, Ill., on the one hand, and, on the Md., to its junction with Defense Highway
other, any other point in the commercial (U.S. Highway 50), thence southwesterly
zone, the limits of which are defined in para- along Defense Highway approximately 0.8
graph (a) of this section, is hereby removed, mile to its junction with Enterprise Road
and the said transportation is hereby sub- (Maryland Highway 556), thence southerly
jected to all applicable provisions of the over Enterprise Road to its junction with
Interstate Commerce Act. Central Avenue (Maryland Highway 214),
thence westerly over Central Avenue about
Sec. 4 Washington, DC.
0.5 mile to its crossing of Western Branch,
The zone adjacent to and commercially a thence southerly down the course of Western
part of Washington, DC, within which trans- Branch to Maryland Highway 202, thence
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portation by motor vehicle, in interstate or westerly approximately 0.3 mile along Mary-
foreign commerce, not under a common con- land Highway 202 to its junction with White

506

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Federal Motor Carrier Safety Administration, DOT Ch. III, Subch. B, App. F
House Road, thence southwesterly along Angeles, Calif., or wholly within any
White House Road to its junction with Mary- municipalitiy contiguous or adjacent to Los
land Highway 221, thence southeasterly Angeles, Calif., or wholly a part of Los Ange-
along Maryland Highway 221 to its junction les, as defined in paragraph (b) of this sec-
with Maryland Highway 4, thence westerly tion, or wholly within the zone adjacent to
along Maryland Highway 4 to the boundary and commercially a part of the San Pedro,
of Andrews Air Force Base, thence south and Wilmington, and Terminal Island Districts of
west along said boundary to Brandywine Los Angeles and Long Beach, as defined in
Road (Maryland Highway 5), thence north- paragraph (c) of this section, or wholly with-
westerly along Maryland Highway 5 to its in the zone of any independent municipality
junction with Maryland Highway 337, thence contiguous or adjacent to Los Angeles, as de-
southwesterly along Maryland Highway 337 termined under § 372.241, or otherwise, be-
to its junction with Maryland Highway 224, tween any point in Los Angeles County,
thence southerly along Maryland Highway Calif., north of the line described below, on
224 to a point opposite the mouth of Broad the one hand, and, on the other, any point in
Creek, thence due west across the Potomac Los Angeles County, Calif., south thereof is
River to the west bank thereof, thence hereby removed and the said transportation
southerly along the west bank of the Poto- is hereby subjected to all the applicable pro-
mac River to Gunston Cove, thence up the visions of the Interstate Commerce Act:
course of Gunston Cove to Pohick Creek, Beginning at the Pacific Ocean, and ex-
thence up the course of Pohick Creek to Vir- tending easterly along the northern and
ginia Highway 611, thence southwesterly eastern corporate limits of Manhattan Beach
along Virginia Highway 611 to the Fairfax- to the northern corporate limits of Redondo
Prince William County line, thence along Beach, thence along the northern and east-
said county line to Virginia Highway 123, ern corporate limits of Redondo Beach to the
thence northerly along Virginia Highway 123 intersection of Inglewood Avenue and Re-
to its junction with Virginia Highway 636, dondo Beach Boulevard, thence along Re-
thence northeasterly along Virginia High- dondo Beach Boulevard to the corporate lim-
way 636 to its junction with Virginia High- its of Torrance, thence along the north-
way 638, thence northwesterly along Virginia western and eastern corporate limits of Tor-
Highway 638 to its junction with Virginia rance to 182d Street, thence along 182d
Highway 620, thence westerly along Virginia Street, Walnut, and Main Streets to Alondra
Highway 620 to its junction with Virginia Boulevard, thence along Alondra Boulevard
Highway 655, thence northeasterly along Vir- to its intersection with Dwight Avenue,
ginia Highway 655 to its junction with U.S. thence southerly along Dwight Avenue and
an imaginary straight line extending south-
Highway 211, thence westerly along U.S.
ward to Greenleaf Boulevard, thence east-
Highway 211 to its junction with Virginia
ward along Greenleaf Boulevard to the
Highway 608, thence northerly along Vir-
northwestern corner of the corporate limits
ginia Highway 608 to its junction with U.S.
of Long Beach, thence along the northern
Highway 50, thence westerly along U.S.
and eastern corporate limits of Long Beach
Highway 50 to the Fairfax-Loudoun County
to Artesia Boulevard, thence east on Artesia
line, thence northeasterly along said county
Boulevard to the Los Angeles-Orange County
line to its intersection with Dulles Inter-
line.
national Airport, thence along the southern, (b) For the purpose of administration and
western, and northern boundaries of said air- enforcement of Part II of the Interstate
port to the Fairfax-Loudoun County line (at Commerce Act, the zone adjacent to and
or near Dulles Airport Access Road), thence commercially a part of Los Angeles and con-
northeasterly along said county line to its tiguous municipalities (except the San
junction with Virginia Highway 7, thence Pedro, Wilmington, and Terminal Island dis-
southeasterly along Virginia Highway 7 to tricts of Los Angeles and Long Beach, Calif.),
its junction with Virginia Highway 193, in which transportation by motor vehicle in
thence along Virginia Highway 193 to its interstate or foreign commerce, not under a
junction with Scott Run Creek, thence common control, management, or arrange-
northerly down the course of Scott Run ment for a continuous carriage or shipment
Creek to the Potomac River, thence due to or from a point beyond the zone, will be
north across the river to MacArthur Boule- partially exempt from regulation under sec-
vard to its junction with Maryland Highway tion 203(b)(8) of the act, is hereby defined to
189, the point of beginning. includethe area of a line extending in a gen-
Sec. 5 Los Angeles, Calif., and contiguous and erally northwesterly and northerly direction
adjacent municipalities. from the intersection of Inglewood Avenue
and Redondo Beach Boulevard along the
(a) The exemption provided by section eastern and northern corporate limits of Re-
203(b)(8) of Part II of the Interstate Com- dondo Beach, Calif., to the eastern corporate
merce Act to the extent it affects transpor- limits of Manhattan Beach, Calif., thence
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tation by motor vehicle, in interstate or for- along the eastern and northern corporate
eign commerce, performed wholly within Los limits of Manhattan Beach to the Pacific

507

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Ch. III, Subch. B, App. F 49 CFR Ch. III (10–1–07 Edition)
Ocean, thence along the shoreline of the Pa- a portion of the eastern, and along the south-
cific Ocean to the western corporate limits ern and western, corporate limits of Tor-
of Los Angeles at a point east of Topanga rance to the northwestern corner of Tor-
Canyon, and thence along the western cor- rance, south of a line extending in a
porate limits of Los Angeles to a point near generallyeasterly direction from the north-
Santa Susana Pass; south of a line extending western corner of Torrance along the north-
in a generally easterly direction from a point western and a portion of the eastern cor-
near Santa Susana Pass along the northern porate limits of Torrance to 182d Street,
corporate limits of Los Angeles to the east- thence along 182d, Walnut, Main, and
ern corporate limits of Burbank, Calif., Alondra Boulevard to its intersection with
thence along the eastern corporate limits of Dwight Avenue, thence southerly along
Burbank to the northern corporate limits of Dwight Avenue and an imaginary straight
Glendale, Calif., and thence along the north- line extending southward from Dwight Ave-
ern corporate limits of Glendale and Pasa- nue to Greenleaf Boulevard and thence along
dena, Calif., to the northeastern corner of Greenleaf Boulevard and the northern cor-
Pasadena; west of a line extending in a gen- porate limits of Long Beach to the north-
erally southerly and southwesterly direction eastern corner of Long Beach; west of the
from the northeastern corner of Pasadena eastern corporate limits of Long Beach; and
along the eastern and a portion of the south- north of the southern corporate limits of
ern corporate limits of Pasadena to the east- Long Beach and Los Angeles.
ern corporate limits of SanMarino, Calif.,
thence along the eastern corporate limits of Sec. 6 Philadelphia, Pa.
San Marino and the eastern and a portion of
the southern corporate limits of Alhambra, The zone adjacent to and commercially a
Calif., to the western corporate limits of part of Philadelphia, Pa., within which
Monterey Park, Calif., and the western cor- transportation by motor vehicle, in inter-
porate limits of Montebello, Calif., thence state or foreign commerce, not under a com-
along the western corporate limits of mon control, management, or arrangement
Montebello, Calif., to the Rio Hondo, and the for a continuous carriage or shipment to or
Los Angeles River to the northern corporate from a point beyond such zone, is partially
limits of Long Beach; and north of a line ex- exempt from regulation under section
tending in a generally westerly direction 203(b)(8) of the Interstate Commerce Act (49
from the Los Angeles River along the north- U.S.C. 303(b)(8)) includes and is comprised of
ern corporate limits of Long Beach and all points as follows:
thence along Greenleaf Boulevard to its (a) The area within Pennsylvania included
intersection with an imaginary straight line within the corporate limits of Philadelphia
extending southward from Dwight Avenue, and Bensalem and Lower Southampton
thence north on the imaginary straight line Townships in Bucks County; Conshohocken
extending southward from Dwight Avenue, and West Conshohocken, Pa., and Lower
and thence northerly along Dwight Avenue Moreland, Abington, Cheltenham, Spring-
to Alondra Boulevard, thence west along field, Whitemarsh, and Lower Merion Town-
Alondra Boulevard, Main, Walnut, and 182d ships in Montgomery County; an area in
Streets to the eastern corporate limits of Upper Dublin Township, Montgomery Coun-
Torrance, thence along a portion of the east- ty, bounded by a line beginning at the inter-
ern and the northwestern corporate limits of section of Pennsylvania Avenue and Fort
Torrance to Redondo Beach Boulevard, and Washington Avenue and extending northeast
thence along Redondo Beach Boulevard to along Fort Washington Avenue to its junc-
Inglewood Avenue. tion with Susquehanna Road, thence south-
(c) For the purpose of administration and east along Susquehanna Road to its
enforcement of Part II of the Interstate junctionwith the right-of-way of the Penn-
Commerce Act, the zone adjacent to and sylvania Railroad Company, thence south-
commercially a part of the San Pedro, Wil- west along the right-of-way of the Pennsyl-
mington, and Terminal Island districts of vania Railroad Company to Pennsylvania
Los Angeles and Long Beach in which trans- Avenue, thence northwest along Pennsyl-
portation by motor vehicle in interstate or vania Avenue to its junction with Fort
foreign commerce, not under a common con- Washington Avenue, the point of beginning;
trol, management, or arrangement for a con- Haverford Township in Delaware County;
tinuous carriage or shipment to or from a and an area in Delaware County south and
point beyond the zone, will be partially ex- east of a line extending southward from the
empt from regulation under section 203(b)(8) intersection of the western and northern
of the act, is hereby defined to include the boundaries of Upper Darby Township along
area east of a line extending in a generally Darby Creek to Bishop Avenue, thence south
northerly and northwesterly direction from along Bishop Avenue to Baltimore Pike,
the Pacific Ocean along the western cor- thence west along Baltimore Pike to Penn-
porate limits of Los Angeles to 258th Street, sylvania Highway 320, thence south along
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thence along 258th Street to the eastern cor- Pennsylvania Highway 320 to the corporate
porate limits of Torrance, and thence along limits of Chester, thence along the northern

508

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Federal Motor Carrier Safety Administration, DOT Ch. III, Subch. B, App. F
corporate limit of Chester in a westerly di- an easterly direction to the Symmes-Syca-
rection to the eastern boundary of Upper more Township line, thence in a southerly
Chichester Township, thence south to the direction along the Symmes-Sycamore
southern boundary of said township along Township line to its intersection with the
the eastern boundary thereof, and thence Columbia Township line, thence in a west-
west along the southern boundary of said erly direction along Sycamore-Columbia
township to the Delaware State line, and Township line to Madeira Township, thence
thence south along the Delaware State line in a clockwise direction around the boundary
to the Delaware River, and of Madeira Township to the Sycamore-Co-
(b) The area in New Jersey included in the lumbia Township line, thence in a westerly
corporate limits of Camden, Gloucester City, direction along said township line to
Woodlynne, Merchantville, and Palmyra Silverton Township, thence in a southerly
Boroughs, and the area included in Penn- direction along said corporate limits to junc-
sauken Township in Camden County. tion with Redbank Road, thence in a south-
erly direction over Redbank Road to the Cin-
Sec. 7 Cincinnati, Ohio.
cinnati Corporate limits.
The zone adjacent to and commercially a That part of Kenton County, Ky., lying on
part of Cincinnati, Ohio, within which trans- and north of a line commencing at the inter-
portation by motor vehicle, in interstate or section of the Kenton-Boone County line and
foreign commerce, not under a common con- Dixie Highway (U.S. Highways 25 and 42), and
trol, management, or arrangement for a con- extending over said highway to the corporate
tinuing carriage to or from a point beyond limits of Covington, Ky., including commu-
the zone is partially exempt from regulation nities on the described line.
under section 203(b)(8) of the Interstate Com- That part of Campbell County, Ky., lying
merce Act (49 U.S.C. 203(b)(8)), includes and on and north of a line commencing at the
is comprised of all points as follows: southern corporate limits of Newport, Ky.,
Addyston, Ohio. Mariemont, Ohio. and extending along Licking Pike (Kentucky
Cheviot, Ohio. North Bend, Ohio. Highway 9) to junction with Johns Hill Road,
Cincinnati, Ohio. Norwood, Ohio. thence along Johns Hill Road to junction
Cleves, Ohio. St. Bernard, Ohio. with Alexandria Pike (U.S. Highway 27),
Elmwood Place, Covington, Ky. thence northward along Alexandria Pike to
Ohio. Newport, Ky.
junction with River Road (Kentucky High-
Fairfax, Ohio. Cold Spring, Ky.
way 445), thence over the latter to the Ohio
That part of Ohio bounded by a line com-
River, including communities on the de-
mencing at the intersection of the Colerain-
scribed line.
Springfield Township line and corporate lim-
That part of Boone County, Ky., bounded
its of Cincinnati, Ohio, and extending along
by a line beginning at the Boone-Kenton
said township line in a northerly direction to
its intersection with the Butler-Hamilton County line west of Erlanger, Ky., and ex-
County line, thence in an easterly direction tending in a northwesterly direction along
along said county line to its intersection Donaldson Highway to its intersection with
with Ohio Highway 4, thence in a northerly Zig-Zag Road, thence along Zig-Zag Road to
direction along Ohio Highway 4 to its inter- its intersection with Kentucky Highway 18,
section with Seward Road, thence in a north- thence along Kentucky Highway 18 to its
erly direction along said road to its intersec- intersection with Kentucky Highway 237,
tion with Port Union Road, thence east thence along Kentucky Highway 237 to its
along Port Union Road to the Fairfield intersection with Kentucky Highway 20, and
Township-Union Township line, thence thence easterly along Kentucky Highway 20
northward along said township line to its to the Boone-Kenton County line.
intersection with the right-of-way of the That part of Boone and Kenton Counties,
Pennsylvania Railroad Co., thence south- Ky., bounded by a line commencing at the
easterly along the right-of-way of the Penn- intersection of the Boone-Kenton County
sylvania RailroadCo. to its intersection with line and U.S. Highway 42, and extending in a
Princeton-Glendale Road (Ohio Highway 747), southwesterly direction along U.S. Highway
thence southward along said road to its 42 to its junction with Gunpowder Road,
intersection with Mulhauser Road, thence in thence southerly along Gunpowder Road to
an easterly direction along said road to the its junction with Sunnybrook Road, thence
terminus thereof west of the tracks of the easterly along Sunnybrook Road to its junc-
Pennsylvania Railroad Co., thence continue tion with Interstate Highway 75, thence in a
in an easterly direction in a straight line to straight line in a northeasterly direction to
Allen Road, thence along the latter to the Richardson Road, thence in an easterly di-
junction thereof with Cincinnati-Dayton rection over Richardson Road to its junction
Road, thence in a southerly direction along with Kentucky State Route 1303, thence in a
Cincinnati-Dayton Road, to the Butler, Ham- northerly direction over Kentucky State
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ilton County line, thence along said county Route 1303 to the southern boundary of Edge-
line to the Warren-Hamilton County line in wood, Kenton County, Ky.

509

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Ch. III, Subch. B, App. F 49 CFR Ch. III (10–1–07 Edition)
Sec. 8 Kansas City, Mo.-Kansas City, Kans. 119th Street, thence east along 119th Street
to the corporate limits of Olathe, Kans.,
The zone adjacent to and commercially a
thence south and east along the Olathe cor-
part of Kansas City, Mo.-Kansas City, Kans.,
porate limits to Schlagel Road, thence south
within which transportation by motor vehi-
along Schlagel Road to Olathe Morse Road,
cle, in interstate or foreign commerce, not
thence west along Olathe Morse Road to the
under a common control, management, or
northeast corner of Johnson County
arrangement for a continuing carriage to or
Airportr, thence south, west, and north
from a point beyond the zone is partially ex-
along the boundaries of said airport to
empt from regulation under section 203(b)(8)
Pflumm Road, thence north along Pflumm
of the Interstate Commerce Act (49 U.S.C.
Road to its junction with Olathe Martin City
303(b)(8)), includes and is comprised of all
Road, thence west along Olathe Martin City
points as follows: Road to its junction with Murden Road,
Beginning on the north side of the Mis-
thence south along Murden Road to its junc-
souri River at the western boundary line of tion with Olathe Morse Road (the corporate
Parkville, Mo., thence along the western and boundary of Olathe, Kans.), thence west and
northern boundaries of Parkville to the Kan- north along said corporate boundary to its
sas City, Mo., corporate limits, thence along intersection with U.S. Highway 56, thence
the western, northern, and eastern corporate southwest along U.S. Highway 56 to its junc-
limits of Kansas City, Mo., to its junction tion with 159th Street.
with U.S. Bypass 71 (near Liberty, Mo.), Thence west along 159th Street to its junc-
thence along U.S. Bypass 71 to Liberty, tion with the Johnson County Industrial Air-
thence along the northern and eastern port, thence south, west, north and east
boundaries of Liberty to its junction with along the boundaries of said airport to the
U.S. Bypass 71 south of Liberty, thence south point of beginning, on 159th Street, thence,
along U.S. Bypass71 to its junction with the east along 159th Street to its junction with
Independence, Mo., corporate limits, thence U.S. Highway 56, thence northeast along U.S.
along the eastern Independence, Mo., cor- Highway 56 to its junction with Parker Road,
porate limits to its junction with Interstate thence north along Parker Road to the
Highway 70, thence along Interstate High- northern boundary of Olathe, thence east
way 70 to its junction with the Blue Springs, and north along the northern corporate lim-
Mo., corporate limits, thence along the west- its of Olathe to Pickering Road, thence
ern, northern, and eastern corporate limits north along PickeringRoad to 107th Street
of Blue Springs, Mo., to its junction with (the corporate boundary of Lenexa, Kans.),
U.S. Highway 40, thence east along U.S. thence along the western and northern
Highway 40 to its junction with Brizen-Dine boundaries of Lenexa to Pflumm Road,
Road, thence south along the southerly ex- thence north along Pflumm Road to its junc-
tension of Brizen-Dine Road to its junction tion with Kansas Highway 10, thence along
with Missouri Highway AA, thence along Kansas Highway 10 to its junction with Kan-
Missouri Highway AA to its junction with sas Highway 7, thence along an imaginary
the Blue Springs, Mo., corporate limits, line due west across the Kansas River to the
thence along the southern and western cor- Wyandotte County-Leavenworth County line
porate limits of Blue Springs, Mo., to its (142d Street) at Loring, Kans., thence west-
junction with U.S. Highway 40, thence west erly along County Route No. 82, a distance of
along U.S. Highway 40 to its junction with three-fourths of a mile to the entrance of the
the Lee’s Summit, Mo., corporate limits. facilities at Mid-Continent Underground
Thence along the eastern Lee’s Summit Storage, Loring, thence from Loring in a
corporate limits to the Jackson-Cass County northerly direction along Loring Lane and
line, thence west along Jackson-Cass County Lindwood Avenue to the southern boundary
line to the eastern corporate limits of of Bonner Springs, Kans.
Belton, Mo., thence along the eastern, south- Thence along the southern, western, and
ern, and western corporate limits of Belton northern boundaries of Bonner Springs to its
to the western boundary of Richards-Gebaur intersection with Kansas Highway 7, thence
Air Force Base, thence along the western southeast along Kansas Highway 7 to its
boundary of said Air Force Base to Missouri junction with Kansas Highway 32, thence
Highway 150, thence west along Missouri east on Kansas Highway 32 to the corporate
Highway 150 to the Kansas-Missouri State boundary of Kansas City, Kans., thence
line, thence north along the Kansas-Missouri north, west, and east along the corporate
State line, to 110th Street, thence west along boundaries of Kansas City, Kans., to its junc-
110th Street to its junction with U.S. tion with Cernech Road and Pomeroy Drive,
Highway69, thence north along U.S. Highway thence northwesterly along Pomeroy Drive
69 to its junction with 103d Street, thence to its junction with 79th Street, thence along
west along 103d Street to its junction with 79th Street to its junction with Walcotte
Quivera Road (the corporate boundary of Drive at Pomeroy, Kans., thence due west 1.3
Lenexa, Kans.), thence along the eastern and miles to its junction with an unnamed road,
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southern boundaries of Lenexa to Black Bob thence north along such unnamed road to
Road, thence south along Black Bob Road to the entrance of Powell Port facility, thence

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Federal Motor Carrier Safety Administration, DOT Ch. III, Subch. B, App. F
due north to the southern bank of the Mis- thence along the northern and western
souri River, thence east along the southern boundaries of said airport to the south-
bank of Missouri River to a point directly western corner thereof, and thence south in
across from the western boundary of Park- a straight line to the northern boundary of
ville, Mo., thence across the Missouri River Davenport Township.
to the point of beginning. (c)(1) That part of Iowa lying west of the
municipal limits of Davenport south of Iowa
Sec. 9 Boston, Mass.
Highway 22, north of the Mississippi River
For the purpose of administration and en- and east of the present western boundary of
forcement of Part II of the Interstate Com- the Dewey Portland Cement Co., at Linwood,
merce Act, the zone adjacent to and commer- including points on such boundaries, and (2)
cially a part of Boston, Mass., and contig- that part of Iowa east of the municipal lim-
uous municipalities in which transportation its of Bettendorf, south of U.S. Highway 67,
by motor vehicle in interstate or foreign west of a private road running between U.S.
commerce, not under a common control, Highway 67 and Riverside Power Plant of the
management, or arrangement for a contin- Iowa-Illinois Gas & Electric Co., and north of
uous carriage or shipment to or from a point the Mississippi River, including points on
beyond the zone, will be partially exempt such boundaries.
under section 203(b)(8) of the act from regula- (d) The municipalities of Carbon Cliff,
tion, is hereby defined to include the fol- Silvis, East Moline, Moline, Rock Island, and
lowing: Milan, Ill., and that part of Illinois lying
Boston, Mass. Cambridge, Mass. south or east of such municipalities, within
Winthrop, Mass. Watertown, Mass. a line as follows: Beginning at a point where
Chelsea, Mass. Brookline, Mass. Illinois Highway 84 crosses the southern mu-
Revere, Mass. Newton, Mass. nicipal limits of Carbon Cliff and extending
Everett, Mass. Needham, Mass. southerly along such highway to its junction
Malden, Mass. Dedham, Mass. with Colona Road, thence westerly along
Medford, Mass. Milton, Mass. Colona Road to Bowlesburg Road, thence
Somerville, Mass. Quincy, Mass. southerly on Bowlesburg Road to the south-
Sec. 10 Davenport, Iowa; Rock Island and ern boundary of Hampton Township, thence
Moline, Ill. along the southern boundaries of Hampton
and South Moline Townships to U.S. High-
For the purpose of administration and en- way 150, thence southerly along U.S. High-
forcement of Part II of the Interstate Com- way 150 to the southern boundary of the Mo-
merce Act, the zones adjacent to and com- line Airport, thence along the southern and
mercially a part of Davenport, Iowa, Rock western boundaries of the Moline Airport to
Island and Moline, Ill., in which transpor- Illinois Highway 92, and thence along Illinois
tation by motor vehicle, in interstate or for- Highway 92 to the corporate limits of Milan.
eign commerce, not under a common con- (e) All points in Illinois within one-half
trol, management, or arrangement for a con- mile on each side of Rock Island County
tinuous carriage or shipment to or from a State Aid Route No. 9 extending southwest-
point beyond such municipalities or zones, erly from the corporate limits of Milan for a
will be partially exempt from regulation distance of 1 mile, including points on such
under section 203(b)(8) of the act (49 U.S.C. highway.
303(b)(8) are hereby determined to be coex-
tensive and to include and to be comprised of Sec. 11 Commercial zones of municipalities in
the following: New Jersey within 5 miles of New York, N.Y.
(a) All points within the corporate limits
of the city of Davenport and the city of (a) The application of § 372.241 is hereby ex-
Bettendorf, and in Davenport Township, tended to each municipality in New Jersey,
Iowa. any part of which is within 5 miles of the
(b) All points north of Davenport Township corporate limits of New York, N.Y.
within that portion of Sheridan Township, (b) The exemption provided by section
Iowa, bounded by a line as follows: Beginning 203(b)(8) of the Interstate Commerce Act, of
at the points where U.S. Highway 61 crosses transportation by motor vehicle, in inter-
the Davenport-Sheridan Township line and state or foreign commerce, performed wholly
extending northward along U.S. Highway 61 within any commercial zone, the limits of
to the right-of-way of the Chicago, Mil- which are defined in paragraph (a) of this
waukee, St. Paul & Pacific Railroad Co., section, is hereby removed as to all such
thence northwesterly along said right-of-way transportation except (1) transportation
to its junction with the first east-west un- which is performed wholly between any two
numbered highway, thence westerly approxi- points in New Jersey, or (2) transportation
mately 0.25 mile to its junction with a north- which is performed wholly between points in
south unnumbered highway, thence south- New Jersey named in § 372.201, on the one
cprice-sewell on PROD1PC63 with CFR

erly along such unnumbered highway to the hand, and, on the other, points in New York
northeast corner of Mount Joy Airport, named in § 372.201.

511

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Ch. III, Subch. B, App. F 49 CFR Ch. III (10–1–07 Edition)
Sec. 12 Commercial zones of municipalities in mon control, management, or arrangement
Westchester and Nassau Counties, N.Y. for a continuous carriage or shipment to or
from a point beyond the zone, is partially ex-
(a) The application of § 372.241 is hereby ex-
empt, under section 203(b)(8) of the Inter-
tended to each municipality in Westchester
state Commerce Act (49 U.S.C. 303(b)(8)),
or Nassau Counties, N.Y.
from regulation, includes, and is comprised
(b) The exemption provided by section
of, all points as follows:
203(b)(8) of the Interstate Commerce Act, of
(a) The municipality of Albuquerque, N.
transportation by motor vehicle, in inter-
Mex., itself.
state or foreign commerce, performed wholly
(b) All points within a line drawn 5 miles
within any commercial zone, the limits of
beyond the corporate limits of Albuquerque,
which are defined in paragraph (a) of this
N. Mex.
section, is hereby removed as to all such
(c) All points in that area north of the line
transportation except (1) transportation
described in paragraph (b) of this section,
which is performed wholly between points in
bounded by a line as follows: Beginning at
New York neither of which is New York City,
the intersection of the line described in para-
NY, or (2) transportation which is performed
graph (b) of this section and New Mexico
wholly between points in Westchester or
Highway 528, extending in a northeasterly di-
Nassau County named in § 372.201, on the one
rection along New Mexico Highway 528 to its
hand, and, on the other, New York City,
intersection with New Mexico Highway 44,
N.Y., or points in New Jersey named in
thence easterly along New Mexico Highway
§ 372.201.
44 to its intersection with New Mexico High-
Sec. 13 Tucson, Ariz. way 422, thence southerly along New Mexico
Highway 422 to its intersection with the line
That zone adjacent to and commercially a described in paragraph (b) of this section.
part of Tucson, Ariz., within which transpor- (d) All of any municipality any part of
tation by motor vehicle, in interstate or for- which is within the limits of the combined
eign commerce, not under a common con- areas defined in paragraphs (b) and (c) of this
trol, management, or arrangement for a con- section;
tinuous carriage or shipment to or from a (e) All of any municipality wholly sur-
point beyond the zone, is partially exempt, rounded, or so surrounded except for a water
under section 203(b)(8) of the Interstate Com- boundary, by the city of Albuquerque, N.
merce Act (49 U.S.C. 303(b)(8)) from regula- Mex., or by any municipality included under
tion, includes, and is comprised of, all points the terms of paragraph (b) of this section.
as follows:
(a) The municipality of Tucson, Ariz., Sec. 18 Ravenswood, W. Va.
itself.
That zone adjacent to and commercially a
(b) All points within a line drawn 5 miles
part of Ravenswood, W. Va., within which
beyond the corporate limits of Tucson, Ariz.
transportation by motor vehicle, in inter-
(c) All points in that area south of the line
state or foreign commerce, not under com-
described in paragraph (b) of this section,
mon control, management, or arrangement
bounded by a line as follows: Beginning at
for a continuous carriage or shipment to or
the point where the line described in para- from a point beyond the zone, is partially ex-
graph (b) of this section, intersects Wilmot empt, under section 203(b)(8) of the Inter-
Road, thence south along Wilmot Road to state Commerce Act (49 U.S.C. 303(b)(8)),
junction Nogales Old Vail Connection, from regulation, includes, and is comprised
thence west along Nogales Old Vail Connec- of, all points as follows:
tion, actual or extended, to the Santa Cruz (a) The municipality of Ravenswood, W.
River, thence north along the east bank of Va., itself.
the Santa Cruz River to its joinder with the (b) All points within a line drawn 3 miles
line described in paragraph (b) of this sec- beyond the corporate limits of Ravenswood,
tion. W. Va., and
(d) All of any municipality any part of (c) All points in West Virginia in that area
which is within the limits of the combined south and southwest of those described in
areas defined in paragraphs (b) and (c) of this paragraph (b) of this section, bounded by a
section. line as follows: Beginning at the point where
(e) All of any municipality wholly sur- the Ohio River meets the line described in
rounded, or so surrounded except for a water paragraph (b) of this section southwest of
boundary, by the city of Tucson or by any Ravenswood, thence southerly along the east
municipality included under the terms of bank of the Ohio River to the point where
paragraph (d) of this section. the mouth of the Lick Run River empties
into the Ohio River; thence in a northeast-
Sec. 14 Albuquerque, N. Mex.
erly direction along the northern bank of the
The zone adjacent to and commercially a Lick Run River to the point where it crosses
part of Albuquerque, N. Mex., within which West Virginia Highway 2 south of Ripley
cprice-sewell on PROD1PC63 with CFR

transportation by motor vehicle, in inter- Landing, W. Va.; thence in a northerly direc-


state or foreign commerce, not under a com- tion along West Virginia Highway 2 to its

512

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Federal Motor Carrier Safety Administration, DOT Ch. III, Subch. B, App. F
intersection with the line described in para- municipality any part of which lies within 5
graph (b) of this section west of Pleasant miles of such corporate limits;
View, W. Va. (c) Those points in the town of Geddes, On-
ondaga County, N.Y., which are not within 5
Sec. 19 Lake Charles, La. miles of the corporate limits of Syracuse,
That zone adjacent to and commercially a N.Y.;
part of Lake Charles, La., within which (d) Those points in the towns of Van Buren
transportation by motor vehicle, in inter- and Lysander, Onondaga County, N.Y., not
state or foreign commerce, not under com- within 5 miles of the corporate limits of Syr-
mon control, management, or arrangement acuse, N.Y., and within an area bounded by a
for a continuous carriage or shipment to or line beginning at the intersection of Van
from a point beyond the zone, is partially ex- Buren Road with the line described in (b)
empt, under section 203(b)(8) of the Inter- above, thence northwesterly along Van
state Commerce Act (49 U.S.C. 303(b)(8)), Buren Road to its intersection with the
from regulation, includes, and is comprised cleared right-of-way of Niagara Mohawk
of, all points as follows: Power Company, thence northwesterly and
(a) The municipality of Lake Charles La., north along said right-of-way to its intersec-
itself; tion between Church Road and Emerick
(b) All points within a line drawn 4 miles Road, with the cleared right-of-way of New
beyond the corporate limits of Lake Charles, York State Power Authority, thence eas-
La.; terly along said clearedright-of-way to its
(c) All points in that area south and west intersection with the Seneca River, thence
of the line described in paragraph (b) of this south along the Seneca River to its intersec-
section, bounded by a line, as follows: begin- tion, near Gaskin Road, with the cleared
ning at the point where the line described in right-of-way of Niagara Mohawk Power Com-
paragraph (b) of this section intersects Lou- pany, thence southwesterly along said
isiana Highway 385; thence south along Lou- cleared right-of-way to its intersection with
isiana Highway 385 to its intersection with the eastern limits of the Village of
the Calcasieu-Cameron Parish line; thence Baldwinsville, thence south along such Vil-
west along the Calcasieu-Cameron Parish lage limits to their intersection with a line
line to its intersection with Louisiana High- of railroad presently operated by the Erie-
way 27; thence northerly along Louisiana Lackawanna Railroad Company, thence
Highway 27 to a point thereon 2 miles south southeasterly along said line of railroad to
of U.S. Highway 90; thence east along a line its intersection with the Van-Buren
parallel to U.S. Highway 90 to Louisiana Lysander Town line, thence southeasterly
Highway 108; thence north along Louisiana along the Van-Buren Lysander Town line to
Highway 108 to junction U.S. Highway 90;
its intersection with the Van-Buren Geddes
thence east along U.S. Highway 90 to the
Town line, thence southeasterly along the
intersection thereof with the line described
Van-Buren Geddes Town line to the line de-
in paragraph (b) of this section;
scribed in (b) above.
(d) All of the municipality any part of
which is within the limits of the combined Sec. 21 Baltimore, Md.
areas in paragraphs (b) and (c) of this sec-
tion; and The zone adjacent to and commercially a
(e) All of any municipality wholly sur- part of Baltimore, Md., within which trans-
rounded, or so surrounded except for a water portation by motor vehicle, in interstate or
boundary, by the City of Lake Charles or by foreign commerce, not under a common con-
any municipality included under the terms trol, management, or arrangement for a con-
of paragraph (d) of this section. tinuous carriage to or from a point beyond
the zone is partially exempt from regulation
Sec. 20 Syracuse, N.Y. under section 203(b)(8) of the Interstate Com-
The zone adjacent to and commercially a merce Act (49 U.S.C. 303(b)(8)) includes and it
part of Syracuse, N.Y., within which trans- is comprised of all as follows:
portation by motor vehicle, in interstate or (a) The municipality of Baltimore itself;
foreign commerce, not under a common con- (b) All points within a line drawn 5 miles
trol, management, or arrangement for a con- beyond the boundaries of Baltimore;
tinuing carriage to or from a point beyond (c) All points in that area east of the line
the zone is partially exempt from regulation described in paragraph (b) of this section
under section 203(b)(8) of the Interstate Com- bounded by a line as follows: Beginning at
merce Act (49 U.S.C. 303(b)(8)), includes and the point where the line described in para-
is comprised of all points as follows: graph (b) of this section crosses Dark Head
(a) The municipality of Syracuse, NY., Creek and extending in a southeasterly di-
itself; rection along the center of Dark Head Creek
(b) All other municipalities and unincor- and beyond to a point off Wilson Point,
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porated areas within 5 miles of the corporate thence in a northeasterly direction to and
limits of Syracuse, N.Y., and all of any other along the center of Frog Mortar Creek to

513

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Ch. III, Subch. B, App. F 49 CFR Ch. III (10–1–07 Edition)
Stevens Road, thence northerly along Ste- 45) and continuing to a point 1,500 feet east
vens Road to Eastern Avenue, thence eas- of Maryland Highway 45, thence southerly
terly along Eastern Avenue to Bengies Road, along a line 1,500 feet east of the parallel to
thence northwesterly along Bengies Road, to Maryland Highway 45 to its junction with
the right-of-way of the Penn Central Trans- the line described in paragraph (b) of this
portation Co., thence westerly along such section;
right-of-way to the junction thereof with the (g) All points in that area west of the line
line described in paragraph (b) of this sec- described in paragraph (b) of this section
tion; bounded by a line as follows: Beginning at
(d) All points in that area south of the line the point where the line described in para-
described in paragraph (b) of this section, graph (b) of this section intersects U.S. High-
bounded on the west by the right-of-way of way 40 west of Baltimore, Md., and extending
the line of the Penn Central Transportation in a westerly direction along U.S. Highway
Co., extending between Stony Run and Sev- 40 to its intersection with St. John’s Lane,
ern, Md., and on the south by that part of thence southerly along St. John’s Lane to its
Maryland Highway 176, extending easterly intersection with Maryland Highway 144,
from the said railroad to its junction with thence easterly along Maryland Highway 144
the line described in paragraph (b) of this to its intersection with the line in paragraph
section; (b) of this section;
(e) All points in that area southwest of the (h) All of any municipality any part of
line described in paragraph (b) of this sec- which is within the limits of the combined
tion, bounded by a line as follows: Beginning areas defined in paragraphs (b), (c), (d), (e),
at the point where the line described in para- (f), and (g) of this section;
graph (b) of this section crosses the Balti- (i) All of any municipality wholly sur-
more-Washington Expressway and extending rounded, or surrounded except for a water
in a southwesterly direction along the Balti- boundary, by the city of Baltimore or by any
more-Washington Expressway to its intersec- municipality included under the terms of (h)
tion with Maryland Highway 176, thence above.
westerly along Maryland Highway 176 to its
intersection with the Howard-Anne Arundel Sec. 22 Cleveland, Ohio
County line, thence southwesterly along said The zone adjacent to and commercially a
county line to its intersection with Mary- part of Cleveland, Ohio, within which trans-
land Highway 32, thence northwesterly along portation by motor vehicle, in interstate or
Maryland Highway 32 to its intersection
foreign commerce, not under a common con-
with the Little Patuxent River, thence
trol, management, or arrangement for a con-
northerly along the Little Patuxent River to
tinuous carriage to or from a point beyond
the intersection of its north fork and its east
the zone is partially exempt from regulation
fork located approximately 1 mile north of
under section 203(b)(8) of the Interstate Com-
the intersection of Maryland Highway 32 and
merce Act (49 U.S.C. 303(b)(8)) includes and it
Berger Road, thenceeasterly along the east
is comprised of all as follows:
fork of the Little Patuxent River to its
(a) All points in Cuyahoga County, Ohio,
intersection with Broken Land Parkway,
and
thence southerly along Broken Land Park-
(b) All points in Wickliffe, Willoughby
way to its intersection with Snowden River
Hills, Waite Hill, Willoughby, Willowick,
Parkway, thence easterly along Snowden
Eastlake, Lakeline, Timberlake, and Mentor,
River Parkway, to its intersection with relo-
Lake County, Ohio.
cated Maryland Highway 175, thence south-
easterly along relocated Maryland Highway Sec. 23 Detroit, Mich.
175, to its intersection with Lark Brown
Road, thence northeasterly along Lark For the purpose of administration and en-
Brown Road to its intersection with Mary- forcement of Part II of the Interstate Com-
land Highway 175, thence southerly along merce Act, the zone adjacent to and commer-
Maryland Highway 175 to its intersection cially a part of Detroit, Mich., in which
with Interstate Highway 95, thence north- transportation by motor vehicle in inter-
easterly along Interstate Highway 95 to its state or foreign commerce, not under a com-
intersection with the line described in para- mon control, management, or arrangement
graph (b) of this section; for a continuous carriage or shipment to or
(f) All points in that area north of the line from a point beyond the zone, will be par-
described in paragraph (b) of this section tially exempt under section 203(b)(8) of the
bounded by a line as follows: Beginning at act (49 U.S.C. 303(b)(8)) from regulation, is
the junction of the line described in para- hereby determined to include, and to be com-
graph (b) of this section and the Baltimore- prised of, all that area within a line as fol-
Harrisburg Expressway (Interstate Highway lows:
83), thence northerly along Interstate High- Beginning at a point on Lake St. Clair op-
way 83 to its junction with Shawan Road, posite the intersection of Fifteen Mile Road
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thence easterly along Shawan Road to its and Michigan Highway 29 and extending
junction with York Road (Maryland Highway south and southwest along the shore of Lake

514

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Federal Motor Carrier Safety Administration, DOT Ch. III, Subch. B, App. F
St. Clair, to the Detroit River, thence along Wash., and U.S. Highway 99, thence north
such River (east of Belle Isle) and Trenton along U.S. Highway 99 to its junction with
Channel to a point opposite Sibley Road, Washington Highway 525, thence along Wash-
thence west to and along Sibley Road to ington Highway 525 to its junction with West
Waltz Road, thence north along Waltz Road Casino Road, thence east along West Casino
to Wick Road, thence west along Wick Road Road to the western boundary of the Everett
to Cogswell Road, thence north along facilities of the Boeing Co. at or near 4th Av-
Cogswell Road to Van Born Road, thence enue West, thence along the western, north-
east along Van Born Road to Newburgh ern and eastern boundaries of the facilities
Road, thence north along Newburgh Road to of the Boeing Co. to West Casino Road,
its junction with Halsted Road, thence north thence east along West Casino Road to its
along Halsted Road to West Maple Road, junction with U.S. Highway 99, thence south
thence east along West Maple Road to Tele- along U.S. Highway 99 to 112th Street,
graph Road, thence north along Telegraph thence easterly along 112th Street to its
Road to Sixteen Mile Road, thence east junction with Interstate Highway 5, thence
along Sixteen Mile Road to Utica Road, southerly along Interstate Highway 5 to its
thence southeasterly along Utica Road to intersection with the present zone limits, in-
Fifteen Mile Road (also called East Maple cluding all points on the named routes.
Road), thence along Fifteen Mile Road and (e) All of any municipality any part of
across Michigan Highway 29 to Lake St. which is within the limits set forth in (b)
Clair, the point of beginning. above.
Sec. 24 Seattle, Wash. (f) All of any municipality wholly sur-
rounded, or so surrounded except for a water
The zone adjacent to and commercially a boundary, by the city of Seattle or by any
part of Seattle, Wash., within which trans- municipality included under the terms of (b)
portation by motor vehicle, in interstate or above.
foreign commerce, not under common con-
trol, management, or arrangement for con- Sec. 25 Albany, N.Y.
tinuous carriage or shipments to or from a For the purpose of administration and en-
point beyond such zone, is partially exempt
forcement of Part II of the Interstate Com-
from regulation under section 203(b)(8) of the
merce Act, the zone adjacent to and commer-
Interstate Commerce Act (49 U.S.C. 303(b)(8))
cially a part of Albany, N.Y., in which trans-
includes and is comprised of all points as fol-
portation by motor vehicle in interstate or
lows:
foreign commerce, not under a common con-
(a) The municipality of Seattle itself.
trol, management, or arrangement for a con-
(b) All points within a line drawn 5 miles
tinuous carriage or shipment to or from a
beyond the municipal limits of Seattle, ex-
cept points on Bainbridge Island, Vashon Is- point beyond the zone, will be partially ex-
land, and Blake Island. empt under section 203(b)(8) of the act (49
(c) All points more than 5 miles beyond the U.S.C. 303(b)(8)) from regulations, is hereby
municipal limits of Seattle (1) within a line determined to include, and to be comprised
as follows: Beginning at that point south of of, the following:
Seattle where the eastern shore of Puget (a) The municipality of Albany itself,
Sound intersects the line described in para- (b) All points within a line drawn 5 miles
graph (b) of this section, thence southerly beyond the municipal limits of Albany,
along the eastern shore of Puget Sound to (c) All points in that area more than 5
Southwest 192d Street, thence easterly along miles beyond the municipal limits of Albany
Southwest 192d Street to thepoint where it bounded by a line as follows: Beginning at
again intersects the line described in para- that point on Swatling Road (in the Town of
graph (b) of this section; and (2) within a line Colonie) where it crosses the line described
as follows: Beginning at the junction of the in (b) above and extending northerly along
southern corporate limits of Kent, Wash., such road to the municipal limits of Cohoes,
and Washington Highway 181, and extending thence along the western and northern
south along Washington Highway 181 to the boundary of Cohoes to the Mohawk River,
northern corporate limits of Auburn, Wash., thence along such river to the northern
thence along the western, southern, and boundary of the Town of Waterford, thence
eastern corporate limits of Auburn to the along the northern and eastern boundaries of
junction of the northern corporate limits of the Town of Waterford to the northern
Auburn and Washington Highway 167, thence boundary of the City of Troy (all of which
northerly along Washington Highway 167 to city is included under the next following pro-
its junction with the southern corporate lim- vision),
its of Kent, Wash., including all points on (d) All of any municipality any part of
the highways named. which is within the limits of the combined
(d) All points more than 5 miles beyond the areas defined in (b) and (c) above, and
(e) All of any municipality wholly sur-
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municipal limits of Seattle within a line as


follows: Beginning at the junction of the rounded, or so surrounded except for a water
northern corporate limits of Lynwood, boundary, by the municipality of Albany or

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Ch. III, Subch. B, App. F 49 CFR Ch. III (10–1–07 Edition)
by any other municipality included under corner of the village of Newport, thence
the terms of (d) above. south and west along the eastern and south-
ern boundaries of the village of Newport to
Sec. 26 Minneapolis-St. Paul, Minn. U.S. Highway 61, thence southeasterly along
The zone adjacent to and commercially a U.S. Highway 61, to the eastern boundary of
part of Minneapolis-St. Paul, Minn, within the village of St. Paul Park, thence along
which transportation by motor vehicle, in the eastern, southern, and western bound-
interstate or foreign commerce, not under a aries of the village of St. Paul Park to a
common control, management, or arrange- point on the Mississippi River opposite the

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