Professional Documents
Culture Documents
Transportation
Parts 300 to 399
As of October 1, 2020
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U.S. GOVERNMENT OFFICIAL EDITION NOTICE
http://bookstore.gpo.gov
gpologo2.eps</GPH>
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Table of Contents
Page
Explanation ................................................................................................ v
Title 49:
Finding Aids:
iii
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Cite this Code: CFR
iv
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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
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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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vi
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The Federal Register Index is issued monthly in cumulative form. This index
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OLIVER A. POTTS,
Director,
Office of the Federal Register
October 1, 2020
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vii
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THIS TITLE
In the volume containing parts 100–177, see § 172.101 for the Hazardous Materials
Table. The Federal Motor Vehicle Safety Standards appear in part 571.
For this volume, Gabrielle E. Burns was Chief Editor. The Code of Federal
Regulations publication program is under the direction of John Hyrum Martinez,
assisted by Stephen J. Frattini.
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ix
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Title 49—Transportation
(This book contains parts 300 to 399)
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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: Nomenclature changes to chapter III appear at 59 FR 60323, Nov. 23, 1994,
60 FR 38742, July 28, 1995, and 69 FR 18803, Apr. 9, 2004.
Part Page
300–302 [Reserved]
303 Civil rights .............................................................. 7
325 Compliance with interstate motor carrier noise
emission standards ............................................... 7
SUBCHAPTER B—FEDERAL MOTOR CARRIER SAFETY REGULATIONS
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49 CFR Ch. III (10–1–20 Edition)
Part Page
375 Transportation of household goods in interstate
commerce; consumer protection regulations ....... 102
376 Lease and interchange of vehicles ........................... 144
377 Payment of transportation charges ........................ 151
378 Procedures governing the processing, investiga-
tion, and disposition of overcharge, duplicate
payment, or overcollection claims ....................... 155
379 Preservation of records ........................................... 158
380 Special training requirements ................................ 162
381 Waivers, exemptions, and pilot programs ............... 198
382 Controlled substances and alcohol use and testing 205
383 Commercial driver’s license standards; require-
ments and penalties ............................................. 232
384 State compliance with commercial driver’s license
program ................................................................ 278
385 Safety fitness procedures ........................................ 291
386 Rules of practice for FMCSA proceedings ............... 348
387 Minimum levels of financial responsibility for
motor carriers ...................................................... 383
388 [Reserved]
389 Rulemaking procedures—Federal motor carrier
safety regulations ................................................ 407
390 Federal motor carrier safety regulations; general .. 413
391 Qualifications of drivers and longer combination
vehicle (LCV) driver instructors .......................... 464
392 Driving of commercial motor vehicles .................... 505
393 Parts and accessories necessary for safe operation 515
394 [Reserved]
395 Hours of service of drivers ....................................... 605
396 Inspection, repair, and maintenance ....................... 670
397 Transportation of hazardous materials; driving and
parking rules ........................................................ 678
398 Transportation of migrant workers ........................ 696
399 Employee safety and health standards .................... 703
APPENDIX A TO SUBCHAPTER B [RESERVED]
APPENDIX B TO SUBCHAPTER B—SPECIAL AGENTS .................. 706
APPENDIXES C–E TO SUBCHAPTER B [RESERVED]
APPENDIX F TO SUBCHAPTER B—COMMERCIAL ZONES .............. 707
APPENDIX G TO SUBCHAPTER B—MINIMUM PERIODIC INSPEC-
TION STANDARDS ................................................................. 725
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SUBCHAPTER A—GENERAL REGULATIONS
FMCSA after the date of this part. 325.77 Computation of open site require-
ments—nonstandard sites.
325.79 Application of correction factors.
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§ 325.1 49 CFR Ch. III (10–1–20 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; and gers, liquid or slurry pumps, auxiliary
49 CFR 1.87.
air compressors, welders, and trash
SOURCE: 40 FR 42437, Sept. 12, 1975, unless compactors.
otherwise noted.
[40 FR 42437, Sept. 12, 1975, as amended at 78
EDITORIAL NOTE: Nomenclature changes to FR 58477, Sept. 24, 2013]
part 325 appear at 66 FR 49869, Oct. 1, 2001.
§ 325.3 [Reserved]
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
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§ 325.21 49 CFR Ch. III (10–1–20 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; 78 FR 58477, Sept. 24, 2013]
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 Motor Carrier Safety fied in section 3.2 of ANSI S1.4–1971.
Administration, in accordance with the
terms prescribed thereon and in para- § 325.25 Calibration of measurement
graphs (d) (2) and (3) of this section. A systems.
driver, if himself/herself a motor car- (a)(1) The sound level measurement
rier, shall return Form MCS–141 to the system must be calibrated and appro-
Federal Motor Carrier Safety Adminis- priately adjusted at one or more fre-
tration, in accordance with the terms quencies in the range from 250 to 1,000
prescribed thereon and in paragraphs Hz at the beginning of each series of
(d) (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
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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]
11
EC01AP91.010</GPH>
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§ 325.35 49 CFR Ch. III (10–1–20 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-
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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/
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Federal Motor Carrier Safety Administration, DOT § 325.53
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§ 325.55 49 CFR Ch. III (10–1–20 Edition)
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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.
(c) The microphone of the sound level vehicle’s noise emissions are measured
measurement system shall be oriented under stationary test.
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-
tionary test. level readings that are within 2 dB(A)
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
subpart. If the motor vehicle is a com- (g) The average figure, corrected as
bination (articulated) vehicle, park the appropriate, contained in accordance
combination so that the longitudinal with paragraph (f) of this section, is
centerlines of the towing vehicle and the sound level generated by the motor
the towed vehicle or vehicles are in vehicle for the purpose of determining
substantial alinement. whether it conforms to the Standard
(b) Turn off all auxiliary equipment for Operation Under Stationary Test,
which is installed on the motor vehicle 40 CFR 202.21. (Table 1 in § 325.7 lists
and which is designed to operate under the range of maximum permissible
normal conditions only when the vehi- sound level readings for various test
cle is operating at a speed of 5 mph (8 conditions.)
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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§ 325.71 49 CFR Ch. III (10–1–20 Edition)
maximum allowable sound level readings maximum allowable sound level readings
taking into account both the distance cor- taking into account both the distance cor-
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rection factors contained in § 325.73 and the rection factors contained in § 325.73 and the
ground surface correction factors contained ground surface correction factors contained
in § 325.75. in § 325.75.
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Federal Motor Carrier Safety Administration, DOT § 325.91
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§ 325.93 49 CFR Ch. III (10–1–20 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
or (2) The motor vehicle generates a
(c) Is equipped with a cut-out, by- maximum sound level reading of 90
pass, or similar device, unless such de- dB(A) or less when measured at a
vice is designed as an exhaust gas driv- standard test site for highway oper-
en cargo unloading system. ations at a distance of 15.3 meters (50
[40 FR 42437, Sept. 12, 1975, as amended at 75 feet) and under the following condi-
FR 57193, Sept. 20, 2010] tions:
(i) The measurement must be made
§ 325.93 Tires. at a time and place and under condi-
(a) Except as provided in paragraph tions specified by the Administrator or
(b) of this section, a motor vehicle does his/her designee.
not conform to the visual tire inspec- (ii) The motor vehicle must be oper-
tion requirements, 40 CFR 202.23, of the ated on the same tires that were in-
Interstate Motor Carrier Noise Emis- stalled on it when the inspection speci-
sions Standards, if inspection of any fied in paragraph (a) of this section oc-
tire on which the vehicle is operating curred.
discloses that the tire has a tread pat- (iii) The motor vehicle must be oper-
tern composed primarily of cavities in ated on a highway having a posted
the tread (excluding sipes and local speed limit of more than 56.3 kph (35
chunking) which are not vented by mph).
grooves to the tire shoulder or circum- (iv) The sound level measurement
ferentially to each other around the must be made while the motor vehicle
tire. is operating at the posted speed limit.
(b) Paragraph (a) of this section does [40 FR 42437, Sept. 12, 1975, as amended at 60
not apply to a motor vehicle operated FR 38743, July 28, 1995; 66 FR 49869, Oct. 1,
on a tire having a tread pattern of the 2001]
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SUBCHAPTER B—FEDERAL MOTOR CARRIER SAFETY
REGULATIONS
risdiction?
350.307 How may a State obtain a new ex- ning October 1, 2020) financial assist-
emption for State laws or regulations for ance funds and beyond.
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§ 350.105 49 CFR Ch. III (10–1–20 Edition)
§ 350.105 What definitions are used in (i) Are identical to or have the same
this part? effect as the FMCSRs; or
Unless specifically defined in this (ii) Fall within the limited variances
section, terms used in this part are from the FMCSRs allowed under
subject to the definitions in 49 CFR § 350.305 or § 350.307; and
part 390. As used in this part: (3) As applicable to interstate and
Administrative takedown funds means intrastate commerce involving the
funds FMCSA deducts each fiscal year movement of hazardous materials, are
from the amounts made available for identical to the HMRs.
MCSAP and the High Priority Program FMCSA means the Federal Motor
for expenses incurred by FMCSA for Carrier Safety Administration of the
training State and local government United States Department of Transpor-
employees and for the administration tation.
of the programs. FMCSRs means:
Administrator means the adminis- (1) The Federal Motor Carrier Safety
trator of FMCSA. Regulations under parts 390, 391, 392,
Border State means a State that 393, 395, 396, and 397 of this subchapter;
shares a land border with Canada or and
Mexico. (2) Applicable standards and orders
Commercial motor vehicle (CMV) means issued under these provisions.
a motor vehicle that has any of the fol- HMRs means:
lowing characteristics: (1) The Federal Hazardous Materials
(1) A gross vehicle weight (GVW), Regulations under subparts F and G of
gross vehicle weight rating (GVWR), part 107, and parts 171, 172, 173, 177, 178,
gross combination weight (GCW), or and 180 of this title; and
gross combination weight rating (2) Applicable standards and orders
(GCWR) of 4,537 kilograms (10,001 issued under these provisions.
pounds) or more. High Priority Program funds means
(2) Regardless of weight, is designed total funds available for the High Pri-
or used to transport 16 or more pas- ority Program, less the administrative
sengers, including the driver. takedown funds.
(3) Regardless of weight, is used in Investigation means an examination
the transportation of hazardous mate- of motor carrier operations and
rials and is required to be placarded records, such as drivers’ hours of serv-
pursuant to 49 CFR part 172, subpart F. ice, maintenance and inspection, driver
Commercial vehicle safety plan (CVSP) qualification, commercial driver’s li-
means a State’s CMV safety objectives, cense requirements, financial responsi-
strategies, activities, and performance bility, crashes, hazardous materials,
measures that cover a 3-year period, in- and other safety and transportation
cluding the submission of the CVSP for records, to determine whether a motor
the first year and annual updates carrier meets safety standards, includ-
thereto for the second and third years. ing the safety fitness standard under
Compatible or compatibility means § 385.5 of this subchapter, or, for intra-
State laws, regulations, standards, and state motor carrier operations, the ap-
orders on CMV safety that: plicable State standard.
(1) As applicable to interstate com- Lead State Agency means the State
merce not involving the movement of CMV safety agency responsible for ad-
hazardous materials: ministering the CVSP throughout a
(i) Are identical to or have the same State.
effect as the FMCSRs; or Maintenance of effort (MOE) means
(ii) If in addition to or more strin- the level of a State’s financial expendi-
gent than the FMCSRs, have a safety tures, other than the required match,
benefit, do not unreasonably frustrate the Lead State Agency is required to
the Federal goal of uniformity, and do expend each fiscal year in accordance
not cause an unreasonable burden on with § 350.225.
interstate commerce when enforced; Motor carrier means a for-hire motor
(2) As applicable to intrastate com- carrier or private motor carrier. The
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merce not involving the movement of term includes a motor carrier’s agents,
hazardous materials: officers, and representatives, as well as
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Federal Motor Carrier Safety Administration, DOT § 350.203
employees responsible for hiring, su- sistent, uniform, and effective CMV
pervising, training, assigning, or dis- safety programs that include driver or
patching a driver or an employee con- vehicle inspections, traffic enforce-
cerned with the installation, inspec- ment, carrier investigations, new en-
tion, and maintenance of motor vehicle trant safety audits, border enforce-
equipment or accessories. ment, safety data improvements, and
Motor Carrier Safety Assistance Pro- Performance and Registration Informa-
gram (MCSAP) funds means total for- tion Systems Management (PRISM).
mula grant funds available for MCSAP,
(b) MCSAP purpose. The purpose of
less the administrative takedown
funds. MCSAP is to ensure FMCSA and
New entrant safety audit means the States, local government agencies,
safety audit of an interstate motor car- other political jurisdictions, Federally-
rier that is required as a condition of recognized Indian Tribes, and other or-
MCSAP eligibility under § 350.207(a)(26), ganizations and persons work in part-
and, at the State’s discretion, an intra- nership to establish programs to im-
state new entrant motor carrier under prove motor carrier, CMV, and driver
49 U.S.C. 31144(g) that is conducted in safety to support a safe and efficient
accordance with subpart D of part 385 transportation system by—
of this subchapter. (1) Making targeted investments to
North American Standard Inspection promote safe CMV transportation, in-
means the methodology used by State cluding transportation of passengers
CMV safety inspectors to conduct safe- and hazardous materials;
ty inspections of CMVs. This consists (2) Investing in activities likely to
of various levels of inspection of the generate maximum reductions in the
vehicle or driver or both. The inspec- number and severity of CMV crashes
tion criteria are developed by FMCSA
and in fatalities resulting from CMV
in conjunction with the Commercial
crashes;
Vehicle Safety Alliance (CVSA), which
is an association of States, Canadian (3) Adopting and enforcing effective
Provinces, and Mexico whose members and compatible (as defined in § 350.105
agree to adopt these standards for in- of this part) motor carrier, CMV, and
specting CMVs in their jurisdiction. driver safety laws, regulations, stand-
State means a State of the United ards, and orders; and
States, the District of Columbia, Amer- (4) Assessing and improving State-
ican Samoa, the Commonwealth of the wide performance of motor carrier,
Northern Mariana Islands, the Com- CMV, and driver safety by setting pro-
monwealth of Puerto Rico, Guam, and gram goals and meeting performance
the Virgin Islands, unless otherwise standards, measurements, and bench-
specified in this part. marks.
Traffic enforcement means the stop- (c) State participation. MCSAP sets
ping of vehicles operating on highways conditions of participation for States
for moving violations of State, Tribal, and promotes the adoption and uniform
or local motor vehicle or traffic laws enforcement of compatible laws, regu-
by State, Tribal, or local officials. lations, standards, and orders on CMV
safety.
Subpart B—MCSAP Administration
§ 350.203 What are the national
§ 350.201 What is MCSAP? MCSAP elements?
(a) General. MCSAP is a Federal for- The national MCSAP elements are:
mula grant program that provides fi-
(a) Driver inspections;
nancial assistance to States to reduce
the number and severity of crashes, (b) Vehicle inspections;
and resulting injuries and fatalities, in- (c) Traffic enforcement;
volving CMVs and to promote the safe (d) Investigations;
transportation of passengers and haz- (e) New entrant safety audits;
ardous materials. The goal of MCSAP (f) CMV safety programs focusing on
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§ 350.205 49 CFR Ch. III (10–1–20 Edition)
(g) Beginning October 1, 2020, full that will emphasize and improve en-
participation in PRISM or an accept- forcement of State and local traffic
able alternative as determined by the laws and regulations on CMV safety;
Administrator; (8) Give satisfactory assurances that
(h) Accurate, complete, timely, and the State will devote adequate re-
corrected data; sources to the administration of the
(i) Public education and awareness; CVSP throughout the State, including
and the enforcement of compatible laws,
(j) Other elements that may be pre- regulations, standards, and orders on
scribed by the Administrator. CMV safety;
§ 350.205 What entities are eligible for (9) Provide that the MOE of the Lead
funding under MCSAP? State Agency will be maintained each
fiscal year in accordance with § 350.225;
Only States are eligible to receive
MCSAP grants directly from FMCSA. (10) Provide that all reports required
in the CVSP be available to FMCSA
§ 350.207 What conditions must a State upon request, meet the reporting re-
meet to qualify for MCSAP funds? quirements, and use the forms for rec-
(a) General. To qualify for MCSAP ordkeeping, inspections, and investiga-
funds, a State must: tions that FMCSA prescribes;
(1) Designate a Lead State Agency; (11) Implement performance-based
(2) Assume responsibility for improv- activities, including deployment and
ing motor carrier safety by adopting maintenance of technology, to enhance
and enforcing compatible (as defined in the efficiency and effectiveness of CMV
§ 350.105 of this part) laws, regulations, safety programs;
standards, and orders on CMV safety, (12) Establish and dedicate sufficient
except as may be determined by the resources to a program to ensure that
Administrator to be inapplicable to a accurate, complete, and timely motor
State enforcement program; carrier safety data are collected and
(3) Ensure that the State will cooper- reported, and to ensure the State’s par-
ate in the enforcement of financial re- ticipation in a national motor carrier
sponsibility requirements under part safety data correction system pre-
387 of this subchapter; scribed by FMCSA;
(4) Provide that the State will en- (13) Ensure that the Lead State
force the registration requirements Agency will coordinate the CVSP, data
under 49 U.S.C. 13902 and 31134 by pro- collection, and information systems
hibiting the operation of any vehicle with the State highway safety im-
discovered to be operated by a motor provement program under 23 U.S.C.
carrier without a registration issued 148(c);
under those sections or operated be- (14) Ensure participation in informa-
yond the scope of the motor carrier’s tion technology and data systems as
registration; required by FMCSA for jurisdictions
(5) Provide a right of entry (or other
receiving MCSAP funding;
method a State may use that is ade-
(15) Ensure that information is ex-
quate to obtain necessary information)
and inspection to carry out the CVSP; changed with other States in a timely
(6) Give satisfactory assurances in its manner;
CVSP that the Lead State Agency and (16) Grant maximum reciprocity for
any subrecipient of MCSAP funds have inspections conducted under the North
the legal authority, resources, and American Standard Inspection Pro-
qualified personnel (including individ- gram through the use of a nationally
uals certified in accordance with 49 accepted system that allows ready
CFR part 385, subpart C, to perform in- identification of previously inspected
spections, audits, and investigations) CMVs;
necessary to enforce compatible laws, (17) Provide that the State will con-
regulations, standards, and orders on duct comprehensive and highly visible
CMV safety; traffic enforcement and CMV safety in-
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Federal Motor Carrier Safety Administration, DOT § 350.207
(18) Ensure that driver or vehicle in- (24) Require all registrants of CMVs
spections will be conducted at loca- to demonstrate their knowledge of ap-
tions that are adequate to protect the plicable FMCSRs, HMRs, or compatible
safety of drivers and enforcement per- State laws, regulations, standards, and
sonnel; orders on CMV safety;
(19) Except in the case of an immi- (25) Ensure that the State transmits
nent or obvious safety hazard, ensure to inspectors the notice of each Federal
that an inspection of a vehicle trans- exemption granted under subpart C of
porting passengers for a motor carrier part 381 of this subchapter and §§ 390.23
of passengers is conducted at a bus sta- and 390.25 of this subchapter that re-
tion, terminal, border crossing, main- lieves a person or class of persons in
tenance facility, destination, or other whole or in part from compliance with
location where a motor carrier may
the FMCSRs or HMRs that has been
make a planned stop (excluding a
provided to the State by FMCSA and
weigh station);
identifies the person or class of persons
(20) Provide satisfactory assurances
granted the exemption and any terms
that the State will address activities in
support of the national program ele- and conditions that apply to the ex-
ments listed in § 350.203, including ac- emption;
tivities: (26) Subject to paragraphs (b) and
(i) Aimed at removing impaired CMV (c)(1) of this section, conduct new en-
drivers from the highways through ade- trant safety audits of interstate and, at
quate enforcement of regulations on the State’s discretion, intrastate new
the use of alcohol and controlled sub- entrant motor carriers in accordance
stances and by ensuring ready roadside with subpart D of part 385 of this sub-
access to alcohol detection and meas- chapter;
uring equipment; (27) Subject to paragraph (c)(2) of this
(ii) Aimed at providing training to section, beginning October 1, 2020, par-
MCSAP personnel to recognize drivers ticipate fully in PRISM by complying
impaired by alcohol or controlled sub- with the conditions for full participa-
stances; and tion, or receiving approval from the
(iii) Related to criminal interdiction, Administrator for an alternative ap-
including human trafficking, when con- proach for identifying and immo-
ducted with an appropriate CMV in- bilizing a motor carrier with serious
spection and appropriate strategies for safety deficiencies in a manner that
carrying out those interdiction activi- provides an equivalent level of safety;
ties, including interdiction activities (28) Ensure that the State will co-
that affect the transportation of con- operate in the enforcement of haz-
trolled substances (as defined in sec-
ardous materials safety permits issued
tion 102 of the Comprehensive Drug
under subpart E of part 385 of this sub-
Abuse Prevention and Control Act of
chapter by verifying possession of the
1970 (21 U.S.C. 802) and listed in 21 CFR
permit when required while conducting
part 1308) by any occupant of a CMV;
vehicle inspections and investigations,
(21) Ensure that detection of criminal
activities and size and weight activi- as applicable; and
ties described in § 350.227(b), if financed (29) For Border States, conduct a bor-
through MCSAP funds, will not dimin- der CMV safety program focusing on
ish the effectiveness of the develop- international commerce that includes
ment and implementation of the pro- enforcement and related projects, or
grams to improve motor carrier, CMV, forfeit all funds allocated for border-re-
and driver safety; lated activities.
(22) Ensure consistent, effective, and (b) New entrant safety audits—Use of
reasonable sanctions; third parties. If a State uses a third
(23) Provide that the State will in- party to conduct new entrant safety
clude in the training manuals for the audits under paragraph (a)(26) of this
licensing examinations to drive a CMV section, the State must verify the qual-
and non-CMV information on best prac- ity of the work and the State remains
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tices for driving safely in the vicinity solely responsible for the management
of CMVs and non-CMVs; and oversight of the audits.
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§ 350.209 49 CFR Ch. III (10–1–20 Edition)
(c) Territories. (1) The new entrant (ii) A program summary of the effec-
safety audit requirement under para- tiveness of prior activities in reducing
graph (a)(26) does not apply to Amer- CMV crashes, injuries, and fatalities
ican Samoa, the Commonwealth of the and in improving driver and motor car-
Northern Mariana Islands, the Com- rier safety performance.
monwealth of Puerto Rico, Guam, and (2) The program summary must iden-
the Virgin Islands. tify and address safety or performance
(2) The required PRISM participation problems in the State.
date under paragraph (a)(27) of this sec- (3) The program summary must use
tion does not apply to American 12-month data periods that are con-
Samoa, the Commonwealth of the sistent from year to year. This may be
Northern Mariana Islands, the Com- a calendar year, fiscal year, or any 12-
monwealth of Puerto Rico, Guam, and month period for which the State’s
the Virgin Islands. data is current.
(4) The program summary must show
§ 350.209 How and when does a State trends supported by safety and pro-
apply for MCSAP funds using a gram performance data collected over
CVSP? several years.
(a) MCSAP application submission for- (b) National MCSAP elements. (1) For
mat. (1) The CVSP is a 3-year plan. the first year of the CVSP, the Lead
(2) The first year of the CVSP varies State Agency must include a brief nar-
by State, depending on when the State rative describing how the State CVSP
implemented the CVSP. addresses the national program ele-
(3) For the first year of the CVSP, ments listed in § 350.203.
the Lead State Agency must submit a (2) The CVSP must address each na-
CVSP projecting programs and projects tional program element even if there
covering 3 years and a budget for the are no planned activities in a program
first fiscal year for which the CVSP is area.
submitted, as explained in § 350.211. (c) Resource allocation. For the first
(4) For the second and third years of year of the CVSP, the Lead State
the CVSP, the Lead State Agency must Agency must explain the rationale for
submit an annual update and budget the State’s resource allocation deci-
for that fiscal year and any other need- sions.
ed adjustments or changes to the (d) Specific activities. For the first
CVSP, as explained in § 350.213. year of the CVSP, the Lead State
(b) MCSAP application submission Agency must have a narrative section
deadline. (1) The Lead State Agency that includes a description of how the
must submit the first year of the CVSP supports:
CVSP, or the annual updates, to (1) Activities aimed at removing im-
FMCSA by the date prescribed in the paired CMV drivers from the highways
MCSAP application announcement for through adequate enforcement of re-
the fiscal year. strictions on the use of alcohol and
(2) The Administrator may extend for controlled substances and by ensuring
a period not exceeding 30 days the ready roadside access to alcohol detec-
deadline prescribed in the MCSAP ap- tion and measuring equipment;
plication announcement for document (2) Activities aimed at providing an
submission for good cause. appropriate level of training to MCSAP
personnel to recognize drivers impaired
§ 350.211 What must a State include by alcohol or controlled substances;
for the first year of the CVSP? (3) Criminal interdiction activities
(a) General. (1) For the first year of and appropriate strategies for carrying
the CVSP, the Lead State Agency must out those interdiction activities, in-
submit a CVSP that complies with the cluding human trafficking, and inter-
MCSAP application announcement diction activities affecting the trans-
and, at a minimum, provides a per- portation of controlled substances by
formance-based program with a general any occupant of a CMV; and
overview section that includes: (4) Activities to enforce registration
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Federal Motor Carrier Safety Administration, DOT § 350.213
requirements under § 392.9a and part 387 § 350.213 What must a State include
of this subchapter. for the second and third years of
(e) Performance objectives. For the the CVSP?
first year of the CVSP, the Lead State (a) General. For the second and third
Agency must include performance ob- years of the CVSP, a Lead State Agen-
jectives, strategies, and activities stat- cy must submit an annual update that
ed in quantifiable terms, that are to be complies with the MCSAP application
achieved through the CVSP. announcement and, at a minimum,
(f) Monitoring. For the first year of must include program goals, certifi-
the CVSP, the Lead State Agency must cations, and other information revised
include a description of the State’s since the prior year’s submission, and
method for ongoing monitoring of the the items listed in paragraphs (b) to (g)
progress of the CVSP. of this section.
(g) Budget. For the first year of the (b) Budget. For the second and third
CVSP, the Lead State Agency must in- years of the CVSP, the Lead State
clude a budget for that year that de- Agency must include a budget that
scribes the expenditures for allocable supports the applicable fiscal year of
costs, such as personnel and related the CVSP and describes the expendi-
costs, equipment purchases, printing, tures for allocable costs, such as per-
information systems costs, and other sonnel and related costs, equipment
eligible costs consistent with § 350.229. purchases, printing, information sys-
(h) List of MCSAP contacts. For the tems costs, and other eligible costs
first year of the CVSP, the Lead State consistent with § 350.229.
Agency must include a list of MCSAP (c) Resource allocation. For the second
contacts. and third years of the CVSP, the Lead
State Agency must explain the ration-
(i) Certification. (1) For the first year
ale for the State’s resource allocation
of the CVSP, the Lead State Agency
decisions.
must certify that it has:
(d) List of MCSAP contacts. For the
(i) Met all the MCSAP conditions in
second and third years of the CVSP,
§ 350.207; and
the Lead State Agency must include a
(ii) Completed the annual review re- list of MCSAP contacts.
quired by § 350.303 and determined that (e) Certification. (1) For the second
State laws, regulations, standards, and and third years of the CVSP, the Lead
orders on CMV safety are compatible State Agency must certify that it has:
(as defined in § 350.105 of this part). (i) Met all the MCSAP conditions in
(2) If a State law, regulation, stand- § 350.207; and
ard, or order on CMV safety is no (ii) Completed the annual review re-
longer compatible, the certifying offi- quired by § 350.303 and determined that
cial must explain the State’s plan to State laws, regulations, standards, and
address the discrepancy. orders on CMV safety are compatible
(3) A certification under this para- (as defined in § 350.105 of this part).
graph must reflect that the certifying (2) If a State law, regulation, stand-
official has authority to make the cer- ard, or order on CMV safety is no
tification on behalf of the State. longer compatible, the certifying offi-
(j) New or amended laws. For the first cial must explain the State’s plan to
year of the CVSP, the Lead State address the discrepancy.
Agency must submit to FMCSA a copy (3) A certification under this para-
of any new or amended law, regulation, graph must reflect that the certifying
standard, or order on CMV safety that official has authority to make the cer-
was enacted by the State since the tification on behalf of the State.
prior year’s submission. (f) New or amended laws. For the sec-
(k) Further submissions. For the first ond and third years of the CVSP, the
year of the CVSP, the Lead State Lead State Agency must submit to
Agency must also submit other infor- FMCSA a copy of any new or amended
mation required, as described in the law, regulation, standard, or order on
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MCSAP application announcement for CMV safety that the State enacted
that fiscal year. since the prior year’s submission.
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§ 350.215 49 CFR Ch. III (10–1–20 Edition)
(g) Further submissions. For the sec- the Lead State Agency a written expla-
ond and third years of the CVSP, the nation of the reasons for withholding
Lead State Agency must submit other approval and allow the Lead State
information required, as described in Agency to modify and resubmit the an-
the MCSAP application announcement nual update for approval.
for that fiscal year. (3) The Lead State Agency will have
30 days from the date of the notice
§ 350.215 What response does a State
receive to its CVSP? under paragraph (b)(2) of this section
to modify and resubmit the annual up-
(a) First year of the CVSP. (1) FMCSA date.
will notify the Lead State Agency
(4) Failure to resubmit the modified
within 30 days after FMCSA begins its
review of the State’s first year of the annual update may delay funding or
CVSP, including the budget, whether jeopardize MCSAP eligibility.
FMCSA: (5) Final disapproval of a resubmitted
(i) Approves the CVSP; or annual update will result in disquali-
(ii) Withholds approval because the fication for MCSAP funding for that
CVSP: fiscal year.
(A) Does not meet the requirements (c) Judicial review. Any State ag-
of this part; or grieved by an adverse decision under
(B) Is not adequate to ensure effec- this section may seek judicial review
tive enforcement of compatible (as de- under 5 U.S.C. chapter 7.
fined in § 350.105 of this part) laws, reg-
ulations, standards, and orders on CMV § 350.217 How are MCSAP funds allo-
safety. cated?
(2) If FMCSA withholds approval of (a) General. Subject to the avail-
the CVSP, FMCSA will give the Lead ability of funding, FMCSA must allo-
State Agency a written explanation of cate MCSAP funds to grantees with ap-
the reasons for withholding approval proved CVSPs in accordance with this
and allow the Lead State Agency to
section.
modify and resubmit the CVSP for ap-
proval. (b) Territories—excluding the Common-
(3) The Lead State Agency will have wealth of Puerto Rico. (1) Not more than
30 days from the date of the notice 0.49 percent of the MCSAP funds may
under paragraph (a)(2) of this section be allocated in accordance with this
to modify and resubmit the CVSP. paragraph among the Territories of
(4) Failure to resubmit the modified American Samoa, the Commonwealth
CVSP may delay funding or jeopardize of the Northern Mariana Islands,
MCSAP eligibility. Guam, and the Virgin Islands.
(5) Final disapproval of a resubmitted (2) Half of the MCSAP funds available
CVSP will result in disqualification for under paragraph (b)(1) of this section
MCSAP funding for that fiscal year. will be divided equally among the Ter-
(b) Annual update for the second or ritories.
third year of the CVSP. (1) FMCSA will (3) The remaining MCSAP funds
notify the Lead State Agency within 30 available under paragraph (b)(1) of this
days after FMCSA begins its review of section will be allocated among the
the State’s annual update, including Territories in a manner proportional to
the budget, whether FMCSA: the Territories’ populations, as re-
(i) Approves the annual update; or flected in the decennial census issued
(ii) Withholds approval because the by the U.S. Census Bureau.
annual update:
(4) The amounts calculated under
(A) Does not meet the requirements
of this part; or paragraphs (b)(2) and (b)(3) of this sec-
(B) Is not adequate to ensure effec- tion will be totaled for each Territory.
tive enforcement of compatible laws, (5) The amounts calculated under
regulations, standards, and orders on paragraph (b)(4) of this section will be
CMV safety. adjusted proportionally, based on popu-
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Federal Motor Carrier Safety Administration, DOT § 350.217
(c) Border States. (1) Not more than 11 made under paragraph (d) of this sec-
percent of the MCSAP funds may be al- tion.
located in accordance with this para- (d) States—including the Common-
graph among Border States that main- wealth of Puerto Rico. (1)(i) At least
tain a border enforcement program. 88.51 percent of the MCSAP funds must
(2) The shares for each Border State be allocated in accordance with this
will be calculated based on the number paragraph (d)(1)(i) among the eligible
of CMV crossings at each United States States, including the Commonwealth of
port of entry, as determined by the Bu- Puerto Rico, but excluding American
reau of Transportation Statistics, with Samoa, the Commonwealth of the
each Border State receiving: Northern Mariana Islands, Guam, and
(i) 1 share per 25,000 annual CMV the Virgin Islands.
crossings at each United States port of (ii) The amounts made available
entry on the Mexican border, with a under paragraphs (b) and (c) of this sec-
minimum of 8 shares for each port of tion that are not allocated under those
entry; or paragraphs must be added to the total
(ii) 1 share per 200,000 annual CMV amount to be allocated in accordance
crossings at each United States port of with this paragraph.
entry on the Canadian border, with a (iii) In the case of reallocation of
minimum of 0.25 share for each port of funds under paragraph (c) of this sec-
entry with more than 1,000 annual CMV tion by a Border State that no longer
crossings. maintains a border enforcement pro-
(3) The shares of all Border States gram, no portion of the reallocated
calculated under paragraph (c)(2) of funds will be allocated to that Border
this section will be totaled. State.
(4) Each individual Border State’s (2) The amount available under para-
shares calculated under paragraph graph (d)(1) of this section will be cal-
(c)(2) of this section will be divided by culated based on each State’s percent-
the total shares calculated in para- age of the national total for each of the
graph (c)(3) of this section. following equally-weighted factors:
(5) The percentages calculated in
(i) National Highway System Road
paragraph (c)(4) of this section will be
Length Miles, as reported by the Fed-
adjusted proportionally to ensure that
eral Highway Administration (FHWA);
each Border State receives at least
(ii) All Vehicle Miles Traveled, as re-
0.075 percent but no more than 55 per-
ported by the FHWA;
cent of the total border allocation
available under paragraph (c)(1) of this (iii) Population (annual census esti-
section. mates), as issued by the U.S. Census
(6) Each Border State’s percentage Bureau;
calculated in paragraph (c)(5) of this (iv) Special Fuel Consumption, as re-
section will be multiplied by the total ported by the FHWA; and
border allocation available under this (v) Carrier Registrations, as deter-
paragraph to determine the dollar mined by FMCSA, based on the phys-
amount of the Border State’s alloca- ical State of the carrier, and calculated
tion. as the sum of interstate carriers and
(7) To maintain eligibility for an al- intrastate hazardous materials car-
location under this paragraph, a Border riers.
State must maintain a border enforce- (3) Each State’s percentages cal-
ment program, but may expend more culated in paragraph (d)(2) of this sec-
or less than the amounts allocated tion will be averaged.
under this paragraph for border activi- (4) The percentage calculated in
ties. Failure to maintain a border en- paragraph (d)(3) of this section will be
forcement program will result in for- adjusted proportionally to ensure that
feiture of all funds allocated under this each State receives at least 0.44 per-
paragraph, but will not affect the Bor- cent but no more than 4.944 percent of
der State’s allocation under paragraph the MCSAP funds available under para-
(d) of this section. graph (d)(1) of this section.
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(8) Allocations made under this para- (5) Each State’s percentage will be
graph are in addition to allocations multiplied by the total MCSAP funds
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§ 350.219 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 350.227
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§ 350.229 49 CFR Ch. III (10–1–20 Edition)
§ 350.229 What specific costs are eligi- (2) Finding the State in noncompli-
ble for reimbursement under ance in lieu of withdrawing approval of
MCSAP? the CVSP and withholding:
(a) General. FMCSA must establish (i) Up to 5 percent of MCSAP funds
criteria for activities eligible for reim- during the fiscal year that FMCSA no-
bursement and make those criteria tifies the State of its noncompliance;
available to the States in the MCSAP (ii) Up to 10 percent of MCSAP funds
application announcement before the for the first full fiscal year of non-
MCSAP application period. compliance;
(b) Costs eligible for reimbursement. All (iii) Up to 25 percent of MCSAP funds
costs relating to activities eligible for for the second full fiscal year of non-
reimbursement must be necessary, rea- compliance; and
sonable, allocable, and allowable under (iv) Up to 50 percent of MCSAP funds
this subpart and 2 CFR parts 200 and for the third and any subsequent full
1201. The eligibility of specific costs for fiscal year of noncompliance.
reimbursement is addressed in the (e) Judicial review. Any State ag-
MCSAP application announcement and grieved by an adverse decision under
is subject to review and approval by this section may seek judicial review
FMCSA. under 5 U.S.C. chapter 7.
(c) Ineligible costs. MCSAP funds may
not be used for the: Subpart C—MCSAP-Required
(1) Acquisition of real property or Compatibility Review
buildings; or
(2) Development, implementation, or § 350.301 What is the purpose of this
maintenance of a State registry of subpart?
medical examiners.
The purpose of this subpart is to as-
§ 350.231 What are the consequences sist States receiving MCSAP funds to
for failure to meet MCSAP condi- address compatibility (as defined in
tions? § 350.105), including the availability of
(a) General. (1) If a State is not per- variances or exemptions allowed under
forming according to an approved § 350.305 or § 350.307, to:
CVSP or not adequately meeting the (a) Promote adoption and enforce-
conditions set forth in § 350.207, the Ad- ment of compatible laws, regulations,
ministrator may issue a written notice standards, and orders on CMV safety;
of proposed determination of noncon- (b) Provide for a continuous review of
formity to the chief executive of the laws, regulations, standards, and or-
State or the official designated in the ders on CMV safety;
CVSP. (c) Establish deadlines for States to
(2) The notice will set forth the rea- achieve compatibility; and
sons for the proposed determination. (d) Provide States with a process for
(b) Response. The State has 30 days requesting variances and exemptions
from the date of the notice to reply. for intrastate commerce.
The reply must address the discrepancy
cited in the notice and must provide § 350.303 How does a State ensure
documentation as requested. compatibility?
(c) Final Agency decision. (1) After (a) General. The Lead State Agency is
considering the State’s reply, the Ad- responsible for reviewing and analyzing
ministrator makes a final decision. State laws, regulations, standards, and
(2) In the event the State fails to orders on CMV safety to ensure com-
timely reply to a notice of proposed de- patibility (as defined in § 350.105 of this
termination of nonconformity, the no- part).
tice becomes the Administrator’s final (b) Compatibility deadline. As soon as
determination of nonconformity. practicable, but no later than 3 years
(d) Consequences. Any adverse deci- after the effective date of any new ad-
sion will result in FMCSA: dition or amendment to the FMCSRs
(1) Withdrawing approval of the or HMRs, the State must amend its
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CVSP and withholding all MCSAP laws, regulations, standards, and or-
funds to the State; or ders to ensure compatibility.
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Federal Motor Carrier Safety Administration, DOT § 350.303
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§ 350.305 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 350.401
and qualified to apply such physical § 350.309 What are the consequences if
qualification standards or variances. a State has provisions that are not
(g) Additional variances. A State may compatible?
apply to the Administrator for a vari- (a) General. To remain eligible for
ance from the FMCSRs not otherwise MCSAP funding, a State may not have
covered by this section for intrastate in effect or enforce any State law, reg-
commerce. The variance will be grant- ulation, standard, or order on CMV
ed only if the State satisfactorily dem- safety that the Administrator finds is
onstrates that the State law, regula- not compatible (as defined in § 350.105).
tion, standard, or order on CMV safety: (b) Process. FMCSA may initiate a
(1) Achieves substantially the same proceeding to withdraw the current
purpose as the similar Federal regula- CVSP approval or withhold MCSAP
funds in accordance with § 350.231 if:
tion;
(1) A State enacts a law, regulation,
(2) Does not apply to interstate com- standard, or order on CMV safety that
merce; and is not compatible;
(3) Is not likely to have an adverse (2) A State fails to adopt a new or
impact on safety. amended FMCSR or HMR within 3
years of its effective date; or
§ 350.307 How may a State obtain a (3) FMCSA finds, based on its own
new exemption for State laws or initiative or on a petition of a State or
regulations for a specific industry
any person, that a State law, regula-
involved in intrastate commerce?
tion, standard, order, or enforcement
FMCSA will only consider a State’s practice on CMV safety, in either inter-
request to exempt a specific industry state or intrastate commerce, is not
from all or part of a State’s laws or compatible.
regulations applicable to intrastate (c) Hazardous materials. Any decision
commerce if the State submits ade- regarding the compatibility of a State
quate documentation containing infor- law, regulation, standard, or order on
mation allowing FMCSA to evaluate: CMV safety with the HMRs that re-
(a) The type and scope of the indus- quires an interpretation will be re-
try exemption request, including the ferred to the Pipeline and Hazardous
percentage of the industry it affects, Materials Safety Administration of the
number of vehicles, mileage traveled, United States Department of Transpor-
tation before proceeding under § 350.231.
and number of companies it involves;
(b) The type and scope of the require-
ment to which the exemption would Subpart D—High Priority Program
apply; § 350.401 What is the High Priority
(c) The safety performance of that Program and what entities are eli-
specific industry (e.g., crash frequency, gible for funding under the High
rates, and comparative figures); Priority Program?
(d) Inspection information (e.g., num- The High Priority Program is a com-
ber of violations per inspection, and petitive financial assistance program
driver and vehicle out-of-service infor- available to States, local governments,
mation); Federally-recognized Indian Tribes,
(e) Other CMV safety regulations en- other political jurisdictions, and other
forced by other State agencies not par- persons to carry out high priority ac-
ticipating in MCSAP; tivities and projects that augment
(f) The commodity the industry motor carrier safety activities and
transports (e.g., livestock or grain); projects. The High Priority Program
also promotes the deployment and use
(g) Similar exemptions granted and
of innovative technology by States for
the circumstances under which they
CMV information systems and net-
were granted; works. Under this program, the Admin-
(h) The justification for the exemp- istrator may make competitive grants
tion; and to and enter into cooperative agree-
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(i) Any identifiable effects on safety. ments with eligible entities to carry
out high priority activities and
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§ 350.403 49 CFR Ch. III (10–1–20 Edition)
projects that augment motor carrier activities under § 350.403 paragraphs (a)
safety activities and projects. The Ad- through (g), (i), and (j):
ministrator also may award grants to (1) States must:
States for projects planned in accord- (i) Participate in MCSAP under sub-
ance with the Innovative Technology part B of this part; and
Deployment Program. (ii) Prepare a proposal that is respon-
sive to the High Priority Program No-
§ 350.403 What are the High Priority
Program objectives? tice of Funding Opportunity (NOFO).
(2) Applicants other than States
FMCSA may use the High Priority must, to the extent applicable:
Program funds to support, enrich, or (i) Prepare a proposal that is respon-
evaluate CMV safety programs and to: sive to the NOFO;
(a) Target unsafe driving of CMVs
(ii) Except for Federally-recognized
and non-CMVs in areas identified as
Indian Tribes, coordinate the proposal
high-risk crash corridors;
with the Lead State Agency to ensure
(b) Improve the safe and secure move-
the proposal is consistent with State
ment of hazardous materials;
and national CMV safety program pri-
(c) Improve safe transportation of orities;
goods and passengers in foreign com-
(iii) Certify that the applicant has
merce;
the legal authority, resources, and
(d) Demonstrate new technologies to
trained and qualified personnel nec-
improve CMV safety;
essary to perform the functions speci-
(e) Support participation in PRISM
fied in the proposal;
by Lead State Agencies:
(iv) Designate an individual who will
(1) Before October 1, 2020, to achieve
be responsible for implementing, re-
full participation in PRISM; and
porting, and administering the ap-
(2) Beginning on October 1, 2020, or
proved proposal and who will be the
once full participation in PRISM is
primary contact for the project;
achieved, whichever is sooner, to con-
duct special initiatives or projects that (v) Agree to prepare and submit all
exceed routine operations for partici- reports required in connection with the
pation; proposal or other conditions of the
(f) Support participation in PRISM grant or cooperative agreement;
by entities other than Lead State (vi) Agree to use the forms and re-
Agencies; porting criteria required by the Lead
(g) Support safety data improvement State Agency or FMCSA to record
projects conducted by: work activities to be performed under
(1) Lead State Agencies for projects the proposal;
that exceed MCSAP safety data re- (vii) Certify that a political jurisdic-
quirements; or tion will impose sanctions for viola-
(2) Entities other than Lead State tions of CMV and driver laws and regu-
Agencies for projects that meet or ex- lations that are consistent with those
ceed MCSAP safety data requirements; of the State; and
(h) Advance the technological capa- (viii) Certify participation in na-
bility and promote the Innovative tional databases appropriate to the
Technology Deployment of intelligent project.
transportation system applications for (b) Innovative Technology Deployment
CMV operations by States; activities. To qualify for High Priority
(i) Increase public awareness and edu- Program funds for Innovative Tech-
cation on CMV safety; or nology Deployment activities under
(j) Otherwise improve CMV safety. § 350.403(h), States must:
(1) Prepare a proposal that is respon-
§ 350.405 What conditions must an ap- sive to the NOFO;
plicant meet to qualify for High Pri- (2) Have a CMV information systems
ority Program funds? and networks program plan approved
(a) Motor carrier safety activities. To by the Administrator that describes
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qualify for High Priority Program the various systems and networks at
funds related to motor carrier safety the State level that need to be refined,
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Federal Motor Carrier Safety Administration, DOT § 350.417
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Pt. 356 49 CFR Ch. III (10–1–20 Edition)
direct or logical route unless expressly (1) A fee of $50 per hour for profes-
prohibited. sional staff time will be charged when
36
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Federal Motor Carrier Safety Administration, DOT § 360.3
(c) Copies of the public documents, at A bill for each account that has activ-
the rate of $.80 per letter size or legal ity or an unpaid balance during the
37
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§ 360.3 49 CFR Ch. III (10–1–20 Edition)
billing cycle will be sent on the billing authority or multiple types of author-
date each month. Payment will be due ity requested in the same application.
20 days from the billing date. Pay- (2) Separate fees will be assessed for
ments received before the next billing the filing of temporary operating au-
date are applied to the account. Inter- thority applications as provided in
est will accrue in accordance with 31 paragraph (f)(2) of this section, regard-
CFR 901.9. less of whether such applications are
(ii) The Federal Claims Collection related to an application for cor-
Standards, including disclosure to con- responding permanent operating au-
sumer reporting agencies and the use thority.
of collection agencies, as set forth in 31
(e) Waiver or reduction of filing fees. It
CFR part 901, will be utilized to en-
courage payment where appropriate. is the general policy of the Federal
(iii) An account holder who files a pe- Motor Carrier Safety Administration
tition for bankruptcy or who is the not to waive or reduce filing fees ex-
subject of a bankruptcy proceeding cept as follows:
must provide the following information (1) Filing fees are waived for an ap-
to the Office of Registration and Safety plication that is filed by a Federal gov-
Information (MC–RS) at http:// ernment agency, or a State or local
www.fmcsa.dot.gov: government entity. For purposes of
(A) The filing date of the bankruptcy this section the phrases ‘‘Federal gov-
petition; ernment agency’’ or ‘‘government enti-
(B) The court in which the bank- ty’’ do not include a quasi-govern-
ruptcy petition was filed; mental corporation or government sub-
(C) The type of bankruptcy pro- sidized transportation company.
ceeding; (2) Filing fees are waived for a motor
(D) The name, address, and telephone carrier of passengers that receives a
number of its representative in the grant from the Federal Transit Admin-
bankruptcy proceeding; and istration either directly or through a
(E) The name, address, and telephone third-party contract to provide pas-
number of the bankruptcy trustee, if
senger transportation under an agree-
one has been appointed.
ment with a State or local government
(3) Fees will be payable through the
U.S. Department of Treasury secure pursuant to 49 U.S.C. 5307, 5310, 5311,
payment system, Pay.gov, and are 5316, or 5317.
made directly from the payor’s bank (3) The FMCSA will consider other
account or by credit/debit card. requests for waivers or fee reductions
(b) Any filing that is not accom- only in extraordinary situations and in
panied by the appropriate filing fee accordance with the following proce-
will be rejected. dure:
(c) Fees not refundable. Fees will be (i) When to request. At the time that
assessed for every filing listed in the a filing is submitted to FMCSA, the ap-
schedule of fees contained in paragraph plicant may request a waiver or reduc-
(f) of this section, titled, ‘‘Schedule of tion of the fee prescribed in this part.
filing fees,’’ subject to the exceptions Such request should be addressed to
contained in paragraphs (d) and (e) of the Director, Office of Registration and
this section. After the application, pe- Safety Information.
tition, or other document has been ac- (ii) Basis. The applicant must show
cepted for filing by FMCSA, the filing that the waiver or reduction of the fee
fee will not be refunded, regardless of is in the best interest of the public, or
whether the application, petition, or that payment of the fee would impose
other document is granted or approved,
an undue hardship upon the requester.
denied, rejected before docketing, dis-
missed, or withdrawn. (iii) FMCSA action. The Director, Of-
(d) Multiple authorities. (1) A separate fice of Registration and Safety Infor-
filing fee is required for each type of mation, will notify the applicant of the
authority sought, for example broker decision to grant or deny the request
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Federal Motor Carrier Safety Administration, DOT § 360.3T
Part I: Registration
(1) .................. An application for USDOT Registration pursuant to 49 CFR part $300.
390, subpart E.
(2) .................. An application for motor carrier temporary authority to provide $100.
emergency relief in response to a national emergency or natural
disaster following an emergency declaration under § 390.23 of
this subchapter.
(3) .................. Biennial update of registration ............................................................ $0.
(4) .................. Request for change of name, address, or form of business ............. $0.
(5) .................. Request for cancellation of registration .............................................. $0.
(6) .................. Request for registration reinstatement ............................................... $10.
(7) .................. Designation of process agent ............................................................. $0.
(8) .................. Notification of Transfer of Operating Authority ................................... $0.
Part II: Insurance
(9) .................. A service fee for insurer, surety, or self-insurer accepted certificate $10 per accepted certificate, surety
of insurance, surety bond, and other instrument submitted in lieu bond or other instrument sub-
of a broker surety bond. mitted in lieu of a broker surety
bond.
(10) ................ (i) An application for original qualification as self-insurer for bodily $4,200.
injury and property damage insurance (BI&PD).
(ii) An application for original qualification as self-insurer for cargo $420.
insurance.
EFFECTIVE DATE NOTE: At 82 FR 5297, Jan. est will accrue in accordance with 4
17, 2017, § 360.3 was suspended, effective Jan. CFR 102.13.
14, 2017. (ii) The Debt Collection Act of 1982,
including disclosure to the consumer
§ 360.3T Filing fees.
reporting agencies and the use of col-
(a) Manner of payment. (1) Except for lection agencies, as set forth in 4 CFR
the insurance fees described in the next 102.5 and 102.6 will be utilized to en-
sentence, all filing fees will be payable courage payment where appropriate.
at the time and place the application, (iii) An account holder who files a pe-
petition, or other document is tendered tition in bankruptcy or who is the sub-
for filing. The service fee for insurance, ject of a bankruptcy proceeding must
surety or self-insurer accepted certifi- provide the following information to
cate of insurance, surety bond or other the Office of Registration and Safety
instrument submitted in lieu of a Information (MC–RS):
broker surety bond must be charged to (A) The filing date of the bankruptcy
an insurance service account estab- petition;
lished by the Federal Motor Carrier (B) The court in which the bank-
Safety Administration in accordance ruptcy petition was filed;
with paragraph (a)(2) of this section. (C) The type of bankruptcy pro-
(2) Billing account procedure. A writ- ceeding;
ten request must be submitted to the (D) The name, address, and telephone
Office of Registration and Safety Infor- number of its representative in the
mation (MC–RS) to establish an insur- bankruptcy proceeding; and
ance service fee account. (E) The name, address, and telephone
(i) Each account will have a specific number of the bankruptcy trustee, if
billing date within each month and a one has been appointed.
billing cycle. The billing date is the (3) Fees will be payable to the Fed-
date that the bill is prepared and print- eral Motor Carrier Safety Administra-
ed. The billing cycle is the period be- tion by a check payable in United
tween the billing date in one month States currency drawn upon funds de-
and the billing date in the next month. posited in a United States or foreign
A bill for each account which has ac- bank or other financial institution,
tivity or an unpaid balance during the money order payable in United States’
billing cycle will be sent on the billing currency, or credit card (VISA or
date each month. Payment will be due MASTERCARD).
20 days from the billing date. Pay- (b) Any filing that is not accom-
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ments received before the next billing panied by the appropriate filing fee is
date are applied to the account. Inter- deficient except for filings that satisfy
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§ 360.3T 49 CFR Ch. III (10–1–20 Edition)
the deferred payment procedures in ment, they embrace two or more sever-
paragraph (a) of this section. able matters which should be the sub-
(c) Fees not refundable. Fees will be ject of separate proceedings.
assessed for every filing in the type of (e) Waiver or reduction of filing fees. It
proceeding listed in the schedule of is the general policy of the Federal
fees contained in paragraph (f) of this Motor Carrier Safety Administration
section, subject to the exceptions con- not to waive or reduce filing fees ex-
tained in paragraphs (d) and (e) of this cept as described as follows:
section. After the application, petition, (1) Filing fees are waived for an ap-
or other document has been accepted plication or other proceeding which is
for filing by the Federal Motor Carrier filed by a Federal government agency,
Safety Administration, the filing fee or a State or local government entity.
will not be refunded, regardless of For purposes of this section the
whether the application, petition, or phrases ‘‘Federal government agency’’
other document is granted or approved, or ‘‘government entity’’ do not include
denied, rejected before docketing, dis- a quasi-governmental corporation or
missed, or withdrawn. government subsidized transportation
(d) Related or consolidated proceedings. company.
(1) Separate fees need not be paid for (2) In extraordinary situations the
related applications filed by the same Federal Motor Carrier Safety Adminis-
applicant which would be the subject of tration will accept requests for waivers
one proceeding. (This does not mean re- or fee reductions in accordance with
quests for multiple types of operating the following procedure:
authority filed on forms in the OP–1 se- (i) When to request. At the time that
ries under the regulations at 49 CFR a filing is submitted to the Federal
part 365. A separate filing fee is re- Motor Carrier Safety Administration
quired for each type of authority the applicant may request a waiver or
sought in each transportation mode, reduction of the fee prescribed in this
e.g., common, contract, and broker au- part. Such request should be addressed
thority for motor property carriers.) to the Director, Office of Registration
(2) Separate fees will be assessed for and Safety Information (MC–RS).
the filing of temporary operating au- (ii) Basis. The applicant must show
thority applications as provided in the waiver or reduction of the fee is in
paragraph (f)(6) of this section, regard- the best interest of the public, or that
less of whether such applications are payment of the fee would impose an
related to an application for cor- undue hardship upon the requestor.
responding permanent operating au- (iii) Federal Motor Carrier Safety Ad-
thority. ministration action. The Director, Office
(3) The Federal Motor Carrier Safety of Registration and Safety Information
Administration may reject concur- (MC–RS), will notify the applicant of
rently filed applications, petitions, or the decision to grant or deny the re-
other documents asserted to be related quest for waiver or reduction.
and refund the filing fee if, in its judg- (f) Schedule of filing fees.
Type of proceeding Fee
Part I: Licensing:
(1) ...................... An application for motor carrier operating authority, a certifi- $300.
cate of registration 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 50.
to the extent of making a ministerial correction, when the
original error was caused by applicant, a change in the
name of the shipper or owner of a plant site, or the change
of a highway name or number.
(4) ...................... A petition to renew authority to transport explosives ............... 250.
(5) ...................... An application for authority to deviate from authorized reg- 150.
ular-route authority.
(6) ...................... An application for motor carrier temporary authority issued in 100.
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an emergency situation.
(7) ...................... Request for name change of a motor carrier, property broker, 14.
or freight forwarder.
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Federal Motor Carrier Safety Administration, DOT § 360.5
(8) ...................... An application involving the merger, transfer, or lease of the 300.
operating rights of motor passenger and property carriers,
property brokers, and household goods freight forwarders
under 49 U.S.C. 10321 and 10926.
(9)–(49) .............. [Reserved].
Part II: Insurance:
(50) .................... (i) An application for original qualification as self-insurer for 4,200.
bodily injury and property damage insurance (BI&PD).
(ii) An application for original qualification as self-insurer for 420.
cargo insurance.
(51) .................... A service fee for insurer, surety, or self-insurer accepted cer- $10 per accepted certificate, surety bond
tificate of insurance, surety bond, and other instrument or other instrument submitted in lieu of
submitted in lieu of a broker surety bond. 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 rep- 5.
resentatives who did not receive a served copy.
(g) Returned check policy. (1) If a in the FEDERAL REGISTER and shall be-
check submitted to the FMCSA for a come effective 30 days after publica-
filing or service fee is dishonored by a tion.
bank or financial institution on which (c) Payment of fees. Any person sub-
it is drawn, the FMCSA will notify the mitting a filing for which a filing fee is
person who submitted the check that: established must pay the fee applicable
(i) All work will be suspended on the on the date of the filing or request for
filing or proceeding, until the check is services.
made good; (d) Method of updating fees. Each fee
(ii) A returned check charge of $6.00 shall be updated by updating the cost
and any bank charges incurred by the components comprising the fee. How-
FMCSA as a result of the dishonored ever, fees shall not exceed the max-
check must be submitted with the fil- imum amounts established by law.
ing fee which is outstanding; and Cost components shall be updated as
(iii) If payment is not made within follows:
the time specified by the FMCSA, the (1) Direct labor costs shall be updated
proceeding will be dismissed or the fil-
by multiplying base level direct labor
ing may be rejected.
costs by percentage changes in average
(2) If a person repeatedly submits dis-
wages and salaries of FMCSA employ-
honored checks to the FMCSA for fil-
ees. Base level direct labor costs are di-
ing fees, the FMCSA may notify the
rect labor costs determined by the cost
person that all future filing fees must
study in Regulations Governing Fees For
be submitted in the form of a certified
Service, 1 I.C.C. 2d 60 (1984), or subse-
or cashier’s check, money order, or
credit card. quent cost studies. The base period for
measuring changes shall be April 1984
[82 FR 5297, Jan. 17, 2017, as amended at 83 or the year of the last cost study.
FR 22873, May 17, 2018] (2) Operations overhead shall be de-
veloped on the basis of current rela-
§ 360.4 [Reserved]
tionships existing on a weighted basis,
EFFECTIVE DATE NOTE: At 82 FR 5297, Jan. for indirect labor applicable to the first
17, 2017, § 360.4 was suspended, effective Jan. supervisory work centers directly asso-
14, 2017. ciated with user fee activity. Actual
updating of operations overhead shall
§ 360.5 Updating user fees. be accomplished by applying the cur-
(a) Update. Each fee established in rent percentage factor to updated di-
this subpart may be updated, as rect labor, including current govern-
deemed necessary by FMCSA. mental overhead costs.
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(b) Publication and effective dates. No- (3)(i) Office general and administra-
tice of updated fees shall be published tive costs shall be developed on the
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§ 360.5T 49 CFR Ch. III (10–1–20 Edition)
basis of current levels costs, i.e., divid- tablished shall pay the fee in effect at
ing actual office general and adminis- the time of the filing.
trative costs for the current fiscal year (d) Method of updating fees. Each fee
by total office costs for the office di- shall be updated by updating the cost
rectly associated with user fee activ- components comprising the fee. Cost
ity. Actual updating of office general components shall be updated as fol-
and administrative costs shall be ac- lows:
complished by applying the current (1) Direct labor costs shall be updated
percentage factor to updated direct by multiplying base level direct labor
labor, including current governmental costs by percentage changes in average
overhead and current operations over- wages and salaries of FMCSA employ-
head costs. ees. Base level direct labor costs are di-
(ii) The FMCSA general and adminis- rect labor costs determined by the cost
trative costs shall be developed on the study in Regulations Governing Fees
basis of current level costs; i.e., divid- For Service, 1 I.C.C. 2d 60 (1984), or sub-
ing actual FMCSA general and admin- sequent cost studies. The base period
istrative costs for the current fiscal for measuring changes shall be April
year by total Agency expenses for the 1984 or the year of the last cost study.
current fiscal year. Actual updating of (2) Operations overhead shall be de-
FMCSA general and administrative veloped each year on the basis of cur-
costs shall be accomplished by apply- rent relationships existing on a weight-
ing the current percentage factor to ed basis, for indirect labor applicable
updated direct labor, including current to the first supervisory work centers
governmental overhead, operations directly associated with user fee activ-
overhead and office general and admin- ity. Actual updating of operations
istrative costs. overhead will be accomplished by ap-
(4) Publication costs shall be ad- plying the current percentage factor to
justed on the basis of known changes in updated direct labor, including current
the costs applicable to publication of governmental overhead costs.
material in the FEDERAL REGISTER or (3)(i) Office general and administra-
FMCSA Register. tive costs shall be developed each year
(e) Rounding of updated fees. Updated on the basis of current levels costs, i.e.,
fees shall be rounded as follows. (This dividing actual office general and ad-
rounding procedure excludes copying, ministrative costs for the current fis-
printing and search fees.) cal year by total office costs for the of-
(1) Fees between $1 and $30 shall be fice directly associated with user fee
rounded to the nearest $1; activity. Actual updating of office gen-
(2) Fees between $30 and $100 shall be eral and administrative costs will be
rounded to the nearest $10; accomplished by applying the current
(3) Fees between $100 and $999 shall be percentage factor to updated direct
rounded to the nearest $50; and labor, including current governmental
(4) Fees above $1,000 shall be rounded overhead and current operations over-
to the nearest $100. head costs.
(ii) FMCSA general and administra-
EFFECTIVE DATE NOTE: At 82 FR 5297, Jan. tive costs shall be developed each year
17, 2017, § 360.5 was suspended, effective Jan. on the basis of current level costs; i.e.,
14, 2017. dividing actual FMCSA general and ad-
ministrative costs for the current fis-
§ 360.5T Updating user fees.
cal year by total agency expenses for
(a) Update. Each fee established in the current fiscal year. Actual updat-
this part may be updated in accordance ing of FMCSA general and administra-
with this section as deemed necessary tive costs will be accomplished by ap-
by the FMCSA. plying the current percentage factor to
(b) Publication and effective dates. Up- updated direct labor, including current
dated fees shall be published in the governmental overhead, operations
FEDERAL REGISTER and shall become overhead and office general and admin-
effective 30 days after publication. istrative costs.
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(c) Payment of fees. Any person sub- (4) Publication costs shall be ad-
mitting a filing for which a fee is es- justed on the basis of known changes in
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Federal Motor Carrier Safety Administration, DOT Pt. 365
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§ 365.101 49 CFR Ch. III (10–1–20 Edition)
SOURCE: 59 FR 63728, Dec. 9, 1994, unless (j) The rules in this part do not apply
otherwise noted. Redesignated at 61 FR 54707, to ‘‘pipeline welding trucks’’ as defined
Oct. 21, 1996. in 49 CFR 390.38(b).
EDITORIAL NOTE: Nomenclature changes to
[59 FR 63728, Dec. 9, 1994, as amended at 60
part 365 appear at 66 FR 49870, Oct. 1, 2001.
FR 63981, Dec. 13, 1995; 62 FR 49940, Sept. 24,
1997; 67 FR 12714, Mar. 19, 2002; 67 FR 61820,
Subpart A—How To Apply for Oct. 2, 2002; 73 FR 76488, Dec. 16, 2008; 74 FR
Operating Authority 2901, Jan. 16, 2009; 81 FR 47720, July 22, 2016;
80 FR 63704, Oct. 21, 2015]
§ 365.101 Applications governed by EFFECTIVE DATE NOTE: At 82 FR 5299, Jan.
these rules. 17, 2017, § 365.101 was suspended, effective Jan.
These rules govern the handling of 14, 2017.
applications for operating authority of
§ 365.101T Applications governed by
the following type:
these rules.
(a) Applications for certificates of
motor carrier registration to operate These rules govern the handling of
as a motor carrier of property or pas- applications for operating authority of
sengers. the following type:
(b) Applications for permits to oper- (a) Applications for certificates and
ate as a freight forwarder. permits to operate as a motor common
(c) [Reserved] or contract carrier of property or pas-
(d) Applications for licenses to oper- sengers.
ate as a broker of motor vehicle trans- (b) Applications for permits to oper-
portation. ate as a freight forwarder.
(e) Applications for certificates under (c) [Reserved]
49 U.S.C. 13902(b)(3) to operate as a (d) Applications for licenses to oper-
motor carrier of passengers in intra- ate as a broker of motor vehicle trans-
state commerce over regular routes if portation.
such intrastate transportation is to be (e) Applications for certificates under
provided on a route over which the car- 49 U.S.C. 13902(b)(3) to operate as a
rier provides interstate transportation motor carrier of passengers in intra-
of passengers. state commerce over regular routes if
(f) [Reserved] such intrastate transportation is to be
(g) Applications for temporary motor provided on a route over which the car-
carrier authority. rier provides interstate transportation
(h) Applications for Mexico-domiciled of passengers.
motor carriers to operate in foreign (f) [Reserved]
commerce as for-hire or private motor (g) Applications for temporary motor
carriers of property (including exempt carrier authority.
items) between Mexico and all points (h) Applications for Mexico-domiciled
in the United States. Under NAFTA motor carriers to operate in foreign
Annex 1, page I–U–20, a Mexico-domi- commerce as common, contract or pri-
ciled motor carrier may not provide vate motor carriers of property (includ-
point-to-point transportation services, ing exempt items) between Mexico and
including express delivery services, all points in the United States. Under
within the United States for goods NAFTA Annex I, pageI–U–20, a Mexico-
other than international cargo. domiciled motor carrier may not pro-
(i) Applications for non-North Amer- vide point-to-point transportation
ica-domiciled motor carriers to operate services, including express delivery
in foreign commerce as for-hire motor services, within the United States for
carriers of property and passengers goods other than international cargo.
within the United States. (i) Applications for non-North Amer-
ica-domiciled motor carriers to operate
in foreign commerce as for-hire motor
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Federal Motor Carrier Safety Administration, DOT § 365.106T
(j) The rules in this part do not apply FMCSA Web site at http://
to ‘‘pipeline welding trucks’’ as defined www.fmcsa.dot.gov/urs.
in 49 CFR 390.38(b). [80 FR 63704, Oct. 21, 2015; 81 FR 68344, Oct. 4,
[82 FR 5299, Jan. 17, 2017] 2016]
EFFECTIVE DATE NOTE: At 82 FR 5299, Jan.
§ 365.102–365.103 [Reserved] 17, 2017, § 365.105 was suspended, effective Jan.
14, 2017.
EFFECTIVE DATE NOTE: At 82 FR 5299, Jan.
17, 2017, §§ 365.102 and 365.103 were suspended, § 365.105T Starting the application
effective Jan. 14, 2017. process: Form OP–1.
(a)(1) Each applicant must file the
§ 365.103T Modified procedure. appropriate form in the OP–1 series.
The FMCSA will handle licensing ap- Form OP–1 must be filed when request-
plication proceedings using the modi- ing authority to operate as a motor
fied procedure, if possible. The appli- property carrier, a broker of general
cant and protestants send statements freight, or a broker of household goods;
made under oath (verified statements) Form OP–1(P) must be filed when re-
to each other and to the FMCSA. There questing authority to operate as a
are no personal appearances or formal motor passenger carrier; Form OP–
hearings. 1(FF) must be filed when requesting
authority to operate as a freight for-
[82 FR 5299, Jan. 17, 2017] warder; Form OP–1(MX) must be filed
by a Mexico-domiciled motor property,
§ 365.104 [Reserved] including household goods, carrier, or a
motor passenger carrier requesting au-
EFFECTIVE DATE NOTE: At 82 FR 5299, Jan.
thority to operate within the United
17, 2017, § 365.104 was suspended, effective Jan.
States; and effective December 16, 2009.
14, 2017.
(2) Form OP–1(NNA) must be filed by
§ 365.105 Starting the application proc- a non-North America-domiciled motor
ess: Form MCSA–1. property, including household goods,
carrier or a motor passenger carrier re-
(a) Each applicant must apply for op- questing authority to operate within
erating authority by electronically fil- the United States. A separate filing fee
ing Form MCSA–1, the URS online ap- in the amount set forth at 49 CFR
plication, to request authority pursu- 360.3T(f)(1) is required for each type of
ant to 49 U.S.C. 13902, 13903 or 13904 to authority sought.
operate as a: (b) Obtain forms at a FMCSA Divi-
(1) Motor carrier of property or pas- sion Office in each State or at one of
sengers, the FMCSA Service Centers. Addresses
(2) Broker of general commodities or and phone numbers for the Division Of-
household goods, or fices and Service Centers can be found
(3) Freight forwarder of general com- at: https://www.fmcsa.dot.gov/mission/
modities or household goods. field-offices. The forms and information
(b) Obtain forms at a FMCSA Divi- about filing procedures can be
sion Office in each State or at one of downloaded at: https://
www.fmcsa.dot.gov/registration/registra-
the FMCSA Service Centers. Addresses
tion-forms.
and phone numbers for the Division Of-
fices and Service Centers can be found [82 FR 5299, Jan. 17, 2017]
at: https://www.fmcsa.dot.gov/mission/
field-offices. The forms and information § 365.106T Starting the application
process: URS online application.
about filing procedures can be
downloaded at: https:// (a) Notwithstanding § 365.105T, new
www.fmcsa.dot.gov/registration/registra- applicants as defined in paragraph (b)
tion-forms. of this section must apply for a USDOT
(c) Form MCSA–1 is the URS online number and if applicable, operating au-
thority by electronically filing Form
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§ 365.106 49 CFR Ch. III (10–1–20 Edition)
U.S.C. 13902, 13903, or 13904 to operate (c) Intrastate motor passenger appli-
as a: cations under 49 U.S.C. 13902(b)(3) as
(1) Motor carrier of property (not described in Form MCSA–1.
household goods), property (household (d) Motor carrier of household goods
goods) or passengers; applications, including Mexico- or non-
(2) Broker of general commodities or North America-domiciled carrier appli-
household goods; or cants. In addition to meeting the fit-
(3) Freight forwarder of general com- ness standard under paragraph (a) of
modities or household goods. this section, an applicant seeking au-
(b) For purposes of this section, a thority to operate as a motor carrier of
‘‘new applicant’’ is an entity applying household goods must:
for a USDOT number and if applicable, (1) Provide evidence of participation
operating authority who does not at in an arbitration program and provide
the time of application have an active a copy of the notice of the arbitration
registration or USDOT, Motor Carrier program as required by 49 U.S.C.
(MC), Mexico owned or controlled (MX) 14708(b)(2);
or Freight Forwarder (FF) number, and (2) Identify its tariff and provide a
who has never had an active registra- copy of the notice of the availability of
tion or USDOT, MC, MX, or FF num- that tariff for inspection as required by
ber. 49 U.S.C. 13702(c);
(c) Form MCSA–1 is the URS online (3) Provide evidence that it has ac-
application, and both the application cess to, has read, is familiar with, and
and its instructions are available from will observe all applicable Federal laws
the FMCSA Web site at http:// relating to consumer protection, esti-
www.fmcsa.dot.gov/urs. mating, consumers’ rights and respon-
sibilities, and options for limitations of
[82 FR 5299, Jan. 17, 2017] liability for loss and damage; and
(4) Disclose any relationship involv-
§ 365.106 [Reserved] ing common stock, common ownership,
EFFECTIVE DATE NOTE: At 82 FR 5299, Jan.
common management, or common fa-
17, 2017, § 365.106 was suspended, effective Jan. milial relationships between the appli-
14, 2017. cant and any other motor carrier,
freight forwarder, or broker of house-
§ 365.107 Types of applications. hold goods within 3 years of the pro-
posed date of registration.
(a) Fitness applications. Motor prop-
erty applications and certain types of (e) Temporary authority (TA) for
motor passenger applications require motor carriers. These applications re-
the finding that the applicant is fit, quire a finding that there is or soon
will be an immediate transportation
willing and able to perform the in-
need that cannot be met by existing
volved operations and to comply with
carrier service.
all applicable statutory and regulatory
provisions. These applications can be (1) Applications for TA will be enter-
opposed only on the grounds that appli- tained only when an emergency dec-
cant is not fit [e.g., is not in compli- laration has been made pursuant to
ance with applicable financial responsi- § 390.23 of this subchapter.
bility and safety fitness requirements]. (2) Temporary authority must be re-
These applications are: quested by filing Form MCSA–1.
(1) Motor carrier of property (except (3) Applications for temporary au-
household goods). thority are not subject to protest.
(2) Broker of general commodities or (4) Motor carriers granted temporary
household goods. authority must comply with financial
responsibility requirements under part
(3) Certain types of motor carrier of
387 of this subchapter.
passenger applications as described in
Form MCSA–1. (5) Only a U.S.-domiciled motor car-
rier is eligible to receive temporary au-
(b) Motor carrier of passenger ‘‘public
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thority.
interest’’ applications as described in
Form MCSA–1. [80 FR 63704, Oct. 21, 2015]
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Federal Motor Carrier Safety Administration, DOT § 365.109
EFFECTIVE DATE NOTE: At 82 FR 5299, Jan. terest and the national transportation
17, 2017, § 365.107 was suspended, effective Jan. policy of 49 U.S.C. 13101.
14, 2017. (f) Temporary authority (TA) for motor
§ 365.107T Types of applications. and water carriers. These applications
require a finding that there is or soon
(a) Fitness applications. Motor prop- will be an immediate transportation
erty applications and certain types of need that cannot be met by existing
motor passenger applications require carrier service.
only the finding that the applicant is (g) In view of the expedited time
fit, willing and able to perform the in- frames established in this part for
volved operations and to comply with processing requests for permanent au-
all applicable statutory and regulatory thority, applications for TA will be en-
provisions. These applications can be tertained only in exceptional cir-
opposed only on the grounds that appli- cumstances (i.e., natural disasters or
cant is not fit [e.g., is not in compli- national emergencies) when evidence of
ance with applicable financial responsi- immediate service need can be specifi-
bility and safety fitness requirements].
cally documented in a narrative sup-
These applications are:
plement appended to Form OP–1 for
(1) Motor common and contract car-
motor property carriers, Form OP–1MX
rier of property (except household
for Mexican property carriers and,
goods), Mexican motor property car-
Form OP–1(P) for motor passenger car-
riers that perform private carriage and
riers.
transport exempt items, and motor
contract carrier of passengers trans- [82 FR 5299, Jan. 17, 2017]
portation.
(2) Motor carrier brokerage of gen- § 365.108 [Reserved]
eral commodities (except household
goods). EFFECTIVE DATE NOTE: At 82 FR 5299, Jan.
17, 2017, § 365.108 was suspended, effective Jan.
(3) Certain types of motor passenger
14, 2017.
applications as described in Form OP–
1 (P). § 365.109 FMCSA review of the appli-
(b) Motor passenger ‘‘public interest’’ 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
described in Form OP–1, Schedule B. prima facie case).
(d) Motor common carrier of household (1) Minor errors will be corrected
goods applications, including Mexican without notification to the applicant.
carrier applicants. These applications (2) Materially incomplete applica-
require a finding that: tions will be rejected. Applications
(1) The applicant is fit, willing, and that are in substantial compliance
able to provide the involved transpor- with these rules may be accepted.
tation and to comply with all applica- (3) All motor carrier applications will
ble statutory and regulatory provi- be reviewed for consistency with the
sions; and FMCSA’s operational safety fitness
(2) The service proposed will serve a policy. Applicants with ‘‘Unsatisfac-
useful public purpose, responsive to a tory’’ safety fitness ratings from DOT
public demand or need. will have their applications rejected.
(e) Motor contract carrier of household (4) FMCSA staff will review com-
goods, household goods property broker, pleted applications that conform with
and freight forwarder applications. These the FMCSA’s safety fitness policy and
applications require a finding that: that are accompanied by evidence of
(1) The applicant is fit, willing, and adequate financial responsibility.
able to provide the involved transpor- (5) All applicants must file the appro-
tation and to comply with all applica- priate evidence of financial responsi-
ble statutory and regulatory provi- bility pursuant to 49 CFR part 387 with-
sions; and in 90 days from the date notice of the
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§ 365.109T 49 CFR Ch. III (10–1–20 Edition)
(i) Form BMC–91 or 91X or BMC 82 sur- the FMCSA’s safety fitness policy and
ety bond—Bodily injury and property that are accompanied by evidence of
damage (motor property and passenger adequate financial responsibility.
carriers; and freight forwarders that (5) Financial responsibility is indi-
provide pickup or delivery service di- cated by filing within 20 days from the
rectly or by using a local delivery serv- date an application notice is published
ice under their control), in the FMCSA Register:
(ii) Form BMC–84—Surety bond or (i) Form BMC–91 or 91X or BMC 82
Form BMC–85—trust fund agreement surety bond—Bodily injury and prop-
(property brokers of general commod- erty damage (motor property and pas-
ities and household goods). senger carriers; household goods
(iii) Form BMC–34 or BMC 83 surety freight forwarders that provide pickup
bond—Cargo liability (household goods or delivery service directly or by using
motor carriers and household goods a local delivery service under their
freight forwarders). control).
(6) Applicants also must submit (ii) Form BMC–84—Surety bond or
Form BOC–3—Designation of Agents— Form BMC–85—trust fund agreement
Motor Carriers, Brokers and Freight (property brokers of general commod-
Forwarders—within 90 days from the ities and household goods).
date notice of the application is pub- (iii) Form BMC 34 or BMC 83 surety
lished in the FMCSA Register. bond—Cargo liability (household goods
(7) Applicants seeking to conduct op- motor carriers and household goods
erations for which tariffs are required freight forwarders).
may not commence such operations
(6) Applicants also must submit
until tariffs are in effect.
Form BOC–3—designation of legal proc-
(8) All applications must be com-
ess agents—within 20 days from the
pleted in English.
date an application notice is published
(b) A summary of the application will
in the FMCSA Register.
be published in the FMCSA Register to
give notice to the public in case anyone (7) Applicants seeking to conduct op-
wishes to oppose the application. erations for which tariffs are required
may not commence such operations
[59 FR 63728, Dec. 9, 1994, as amended at 60 until tariffs are in effect.
FR 63981, Dec. 13, 1995; 67 FR 61820, Oct. 2, (8) All applications must be com-
2002; 75 FR 35328, June 22, 2010; 81 FR 63704,
Oct. 21, 2015]
pleted in English.
(b) A summary of the application will
EFFECTIVE DATE NOTE: At 82 FR 5299, Jan. be published as a preliminary grant of
17, 2017, § 365.109 was suspended, effective Jan.
14, 2017.
authority in the FMCSA Register to
give notice to the public in case anyone
§ 365.109T FMCSA review of the appli- wishes to oppose the application.
cation. [82 FR 5300, Jan. 17, 2017]
(a) FMCSA staff will review the ap-
plication for correctness, complete- § 365.110 Need to complete New En-
ness, and adequacy of the evidence (the trant Safety Assurance Program.
prima facie case). For motor carriers operating com-
(1) Minor errors will be corrected mercial motor vehicles as defined in 49
without notification to the applicant. U.S.C. 31132, operating authority ob-
(2) Materially incomplete applica- tained under procedures in this part
tions will be rejected. Applications does not become permanent until the
that are in substantial compliance applicant satisfactorily completes the
with these rules may be accepted. New Entrant Safety Assurance Pro-
(3) All motor carrier applications will gram in part 385 of this subchapter.
be reviewed for consistency with the
FMCSA’s operational safety fitness [80 FR 63705, Oct. 21, 2015]
policy. Applicants with ‘‘Unsatisfac-
tory’’ safety fitness ratings from DOT § 365.111 Appeals to rejections of the
will have their applications rejected. application.
kpayne on VMOFRWIN702 with $$_JOB
(4) FMCSA staff will review com- (a) An applicant has the right to ap-
pleted applications that conform with peal rejection of the application. The
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Federal Motor Carrier Safety Administration, DOT § 365.201
appeal must be filed at the FMCSA, Of- contract agent (as identified in the
fice of Registration and Safety Infor- FMCSA Register).
mation, 1200 New Jersey Ave. SE.,
Washington, DC 20590, within 10 days of § 365.119 Opposed applications.
the date of the letter of rejection. If the application is opposed, oppos-
(b) If the appeal is successful and the ing parties are required to send a copy
filing is found to be proper, the appli- of their protest to the applicant and to
cation shall be deemed to have been FMCSA. All protests must include
properly filed as of the decision date of statements made under oath (verified
the appeal. statements). There are no personal ap-
pearances or formal hearings.
[59 FR 63728, Dec. 9, 1994, as amended at 80
FR 63705, Oct. 21, 2015] [80 FR 63705, Oct. 21, 2015]
EFFECTIVE DATE NOTE: At 82 FR 5300, Jan. EFFECTIVE DATE NOTE: At 82 FR 5300, Jan.
17, 2017, § 365.111 was suspended, effective Jan. 17, 2017, § 365.119 was suspended, effective Jan.
14, 2017. 14, 2017.
49
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§ 365.201T 49 CFR Ch. III (10–1–20 Edition)
50
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Federal Motor Carrier Safety Administration, DOT § 365.403T
forwarders; and 49 U.S.C. 13904 issued to (2) The execution of a chattel mort-
brokers. gage, deed of trust, or other similar
51
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§ 365.405T 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 365.413T
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§ 365.501 49 CFR Ch. III (10–1–20 Edition)
must be submitted to the Federal ery services, within the United States
Motor Carrier Safety Administration. for goods other than international
It must be submitted in one of the fol- cargo.
lowing three ways.
(1) Scanned and submitted via the § 365.503 Application.
web form at https://www.fmcsa.dot.gov/ (a) Each applicant applying under
ask; this subpart must submit an applica-
(2) Faxed to (202–366–3477); or tion that consists of:
(3) Mailed to the Federal Motor Car- (1) Form OP–1 (MX)—Application to
rier Safety Administration, Office of Register Mexican Carriers for Motor
Registration and Safety Information Carrier Authority To Operate Beyond
(MC–RS), 1200 New Jersey Ave. SE., U.S. Municipalities and Commercial
Washington, DC 20590–0001. The enve- Zones on the U.S.-Mexico Border;
lope should be marked ‘‘NAME (2) Form MCS–150—Motor Carrier
CHANGE’’. Identification Report; and
(c) The registrant must provide: (3) A notification of the means used
(1) The docket number(s) and name of to designate process agents, either by
the carrier, freight forwarder, or prop- submission in the application package
erty broker requesting the change; of Form BOC–3—Designation of Agents-
(2) A copy of the articles of incorpo- Motor Carriers, Brokers and Freight
ration and the State certificate reflect- Forwarders or a letter stating that the
ing the incorporation; applicant will use a process agent serv-
(3) The name(s) of the owner(s) of the ice that will submit the Form BOC–3
stock and the distribution of the electronically.
shares; (b) The Federal Motor Carrier Safety
(4) The names of the officers and di- Administration (FMCSA) will only
rectors of the corporation; and process your application if it meets the
(5) A statement that there is no following conditions:
change in the ownership, management, (1) The application must be com-
or control of the business. When this pleted in English;
procedure is being used to transfer op- (2) The information supplied must be
erating rights from a deceased or inca- accurate, complete, and include all re-
pacitated spouse to the other spouse, quired supporting documents and appli-
documentation that the other spouse cable certifications in accordance with
has the legal right to effect such the instructions to Form OP–1 (MX),
change must be included with the re- Form MCS–150, and Form BOC–3;
quest. The fee for filing a name change (3) The application must include the
request is in § 360.3T(f) of this chapter. filing fee payable to the FMCSA in the
amount set forth at 49 CFR 360.3(f)(1);
Subpart E—Special Rules for Cer- and
tain Mexico-domiciled Car- (4) The application must be signed by
riers the applicant.
(c) You must submit the application
SOURCE: 67 FR 12714, Mar. 19, 2002, unless to the address provided in Form OP–
otherwise noted. 1(MX).
(d) You may obtain the application
§ 365.501 Scope of rules. forms from any FMCSA Division Office
(a) The rules in this subpart govern or download them from the FMCSA
the application by a Mexico-domiciled Web site at: http://www.fmcsa.dot.gov/
motor carrier to provide transpor- mission/forms.
tation of property or passengers in [67 FR 12714, Mar. 19, 2002, as amended at 80
interstate commerce between Mexico FR 59071, Oct. 1, 2015]
and points in the United States beyond
the municipalities and commercial § 365.505 Re-registration and fee waiv-
zones along the United States-Mexico er for certain applicants.
international border. (a) If you filed an application using
(b) A Mexico-domiciled carrier may Form OP–1(MX) before May 3, 2002, you
kpayne on VMOFRWIN702 with $$_JOB
not provide point-to-point transpor- are required to file a new Form OP–
tation services, including express deliv- 1(MX). You do not need to submit a
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Federal Motor Carrier Safety Administration, DOT § 365.507
new fee when you file a new application submitted under this subpart, FMCSA
under this subpart. will publish a summary of the applica-
(b) If you hold a Certificate of Reg- tion as a preliminary grant of author-
istration issued before April 18, 2002, ity in the FMCSA Register to give no-
authorizing operations beyond the mu- tice to the public in case anyone wishes
nicipalities along the United States- to oppose the application, as required
Mexico border and beyond the commer- in § 365.109(b) of this part.
cial zones of such municipalities, you (e) If the FMCSA grants provisional
are required to file an OP–1(MX) if you operating authority to the applicant, it
want to continue those operations. You will assign a distinctive USDOT Num-
do not need to submit a fee when you ber that identifies the motor carrier as
file an application under this subpart. authorized to operate beyond the mu-
(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) Electronically file, or have its
§ 365.507 FMCSA action on the appli- process agent(s) electronically file,
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 [67 FR 12714, Mar. 19, 2002, as amended at 80
criteria in Appendix A to this subpart. FR 63705, Oct. 21, 2015]
(d) If a carrier successfully completes
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§ 365.507T 49 CFR Ch. III (10–1–20 Edition)
§ 365.507T FMCSA action on the appli- (2) File a hard copy of, or have its
cation. process agent(s) electronically submit,
(a) The FMCSA will review and act Form BOC–3—Designation of Agents-
on each application submitted under Motor Carriers, Brokers and Freight
this subpart in accordance with the Forwarders, as required by part 366 of
procedures set out in this part. this subchapter; and
(b) The FMCSA will validate the ac- (3) Comply with all provisions of the
curacy of information and certifi- safety monitoring system in subpart B
cations provided in the application by of part 385 of this subchapter, including
checking data maintained in databases successfully passing CVSA Level I in-
of the governments of Mexico and the spections at least every 90 days and
United States. having decals affixed to each commer-
(c) Pre-authorization safety audit. cial motor vehicle operated in the
Every Mexico-domiciled carrier that United States as required by § 385.103(c)
applies under this part must satisfac- of this subchapter.
torily complete an FMCSA-adminis- (f) The FMCSA may grant permanent
tered safety audit before FMCSA will operating authority to a Mexico-domi-
grant provisional operating authority ciled carrier no earlier than 18 months
to operate in the United States. The after the date that provisional oper-
safety audit is a review by the FMCSA ating authority is granted and only
of the carrier’s written procedures and after successful completion to the sat-
records to validate the accuracy of in- isfaction of the FMCSA of the safety
formation and certifications provided monitoring system for Mexico-domi-
in the application and determine ciled carriers set out in subpart B of
whether the carrier has established or part 385 of this subchapter. Successful
exercises the basic safety management
completion includes obtaining a satis-
controls necessary to ensure safe oper-
factory safety rating as the result of a
ations. The FMCSA will evaluate the
results of the safety audit using the compliance review.
criteria in appendix A to this subpart. [82 FR 5302, Jan. 17, 2017]
(d) If a carrier successfully completes
the pre-authorization safety audit and § 365.509 Requirement to notify
the FMCSA approves its application FMCSA of change in applicant in-
submitted under this subpart, FMCSA formation.
will publish a summary of the applica- (a) A motor carrier subject to this
tion as a preliminary grant of author- subpart must notify FMCSA of any
ity in the FMCSA Register to give no- changes or corrections to the informa-
tice to the public in case anyone wishes tion in parts I, IA, or II of Form OP–
to oppose the application, as required 1(MX), or in Form BOC–3—Designation
in § 365.109T(b). of Agents—Motor Carriers, Brokers and
(e) If the FMCSA grants provisional Freight Forwarders, during the appli-
operating authority to the applicant, it cation process or after having been
will assign a distinctive USDOT Num- granted provisional operating author-
ber that identifies the motor carrier as
ity. The carrier must notify FMCSA in
authorized to operate beyond the mu-
writing within 30 days of the change or
nicipalities in the United States on the
correction.
U.S.-Mexico international border and
beyond the commercial zones of such (b) If a carrier fails to comply with
municipalities. In order to operate in paragraph (a) of this section, the
the United States, a Mexico-domiciled FMCSA may suspend or revoke its op-
motor carrier with provisional oper- erating authority until it meets those
ating authority must: requirements.
(1) Have its surety or insurance pro- [67 FR 12714, Mar. 19, 2002, as amended at 80
vider file proof of financial responsi- FR 63705, Oct. 21, 2015]
bility in the form of certificates of in-
surance, surety bonds, and endorse- EFFECTIVE DATE NOTE: At 82 FR 5302, Jan.
kpayne on VMOFRWIN702 with $$_JOB
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Federal Motor Carrier Safety Administration, DOT Pt. 365, Subpt. E, App. A
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
57
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Pt. 365, Subpt. E, App. A 49 CFR Ch. III (10–1–20 Edition)
safely in the United States beyond munici- (b) If the FMCSA confirms each item under
palities and commercial zones on the United III (a)(1) through (5) above, the carrier will
States-Mexico international border; and be granted provisional operating authority,
(2) Identify motor carriers and drivers who except if FMCSA finds the carrier has inad-
are having safety problems and need im- equate basic safety management controls in
provement in their compliance with the at least three separate factors described in
FMCSRs and the HMRs, before FMCSA part IV below. If FMCSA makes such a deter-
grants the carriers provisional operating au- mination, the carrier’s application for provi-
thority to operate beyond United States mu- sional operating authority will be denied.
nicipalities and commercial zones on the
United States-Mexico international border. IV. EVALUATION OF REGULATORY COMPLIANCE
(a) During the safety audit, the FMCSA
II. SOURCE OF THE DATA FOR THE SAFETY gathers information by reviewing a motor
AUDIT EVALUATION CRITERIA carrier’s compliance with ‘‘acute’’ and ‘‘crit-
(a) The FMCSA’s evaluation criteria are ical’’ regulations of the FMCSRs and HMRs.
built upon the operational tool known as the (b) Acute regulations are those where non-
safety audit. The FMCSA developed this tool compliance is so severe as to require imme-
to assist auditors and investigators in as- diate corrective actions by a motor carrier
sessing the adequacy of a Mexico-domiciled regardless of the overall basic safety man-
carrier’s basic safety management controls. agement controls of the motor carrier.
(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
kpayne on VMOFRWIN702 with $$_JOB
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
58
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Federal Motor Carrier Safety Administration, DOT Pt. 365, Subpt. E, App. A
the review of the OOS rate will affect the Ve- other carriers with a recordable accident
hicle Factor as follows: rate per million miles greater than 1.5 will
(i) If the motor carrier has had at least be deemed to have inadequate basic safety
three roadside inspections in the twelve management controls for the accident fac-
months before the safety audit, and the vehi- tor. The rates are the result of roughly dou-
cle OOS rate is 34 percent or higher, one bling the United States national average ac-
point will be assessed against the carrier. cident rate in Fiscal Years 1994, 1995, and
That point will be added to any other points 1996.
assessed for discovered noncompliance with (4) The FMCSA will continue to consider
acute and critical regulations of part 396 to preventability when a new entrant contests
determine the carrier’s level of safety man- the evaluation of the accident factor by pre-
agement control for that factor. senting compelling evidence that the record-
(ii) If the motor carrier’s vehicle OOS rate able rate is not a fair means of evaluating its
is less than 34 percent, or if there are less accident factor. Preventability will be deter-
than three inspections, the determination of mined according to the following standard:
the carrier’s level of safety management ‘‘If a driver, who exercises normal judgment
controls will only be based on discovered and foresight, could have foreseen the possi-
noncompliance with the acute and critical bility of the accident that in fact occurred,
regulations of part 396. and avoided it by taking steps within his/her
(2) Over two million inspections occur on control which would not have risked causing
the roadside each year in the United States. another kind of mishap, the accident was
This vehicle inspection information is re- preventable.’’
tained in the MCMIS and is integral to eval- (k) Factor Ratings. (1) The following table
uating motor carriers’ ability to successfully shows the five regulatory factors, parts of
maintain their vehicles, thus preventing the FMCSRs and HMRs associated with each
them from being placed OOS during roadside factor, and the accident factor. Each car-
inspections. Each safety audit will continue rier’s level of basic safety management con-
to have the requirements of part 396, Inspec- trols with each factor is determined as fol-
tion, Repair, and Maintenance, reviewed as lows:
indicated by the above explanation. (i) Factor 1—General: Parts 390 and 387;
(j) Accident Factor. (1) In addition to the (ii) Factor 2—Driver: Parts 382, 383, and 391;
five regulatory factors, a sixth factor is in- (iii) Factor 3—Operational: Parts 392 and
cluded in the process to address the accident 395;
history of the motor carrier. This factor is (iv) Factor 4—Vehicle: Parts 393, 396 and
the recordable accident rate, which the car- the Out of Service Rate;
rier has experienced during the past 12 (v) Factor 5—Hazardous Materials: Part
months. Recordable accident, as defined in 49 171, 177, 180 and 397; and
CFR 390.5, means an accident involving a (vi) Factor 6—Accident: Recordable Acci-
commercial motor vehicle operating on a dent Rate per Million Miles;
public road in interstate or intrastate com- (2) For paragraphs IV (k)(1)(i) through (v)
merce which results in a fatality; a bodily (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 IV (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 III (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 IV, 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;
kpayne on VMOFRWIN702 with $$_JOB
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;
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Pt. 366 49 CFR Ch. III (10–1–20 Edition)
(3) Three instances of noncompliance with § 366.2 Form of designation.
critical regulations in part 396 scoring three
points for Factor 4; and (a) Designations shall be made on
(4) Three instances of noncompliance with Form BOC–3—Designation of Agents—
acute regulations in parts 171 and 397 scoring Motor Carriers, Brokers and Freight
four and one-half (4.5) points for Factor 5. Forwarders. Only one completed cur-
Under this example, the carrier will not re-
ceive provisional operating authority be- rent form may be on file. It must in-
cause it scored three or more points for Fac- clude all States for which agent des-
tors 2, 4, and 5 and FMCSA determined the ignations are required. One copy must
carrier had inadequate basic safety manage- be retained by the carrier, broker or
ment controls in at least three separate fac- freight forwarder at its principal place
tors.
of business.
[67 FR 12714, Mar. 19, 2002, as amended at 78 (b) All Motor Carriers, Brokers, and
FR 58478, Sept. 24, 2013] Freight Forwarders that are registered
with FMCSA on September 30, 2016
PART 366—DESIGNATION OF must file their Form BOC–3 designa-
PROCESS AGENT tion by no later than April 14, 2017. All
other Motor Carriers, Brokers, and
Sec. Freight Forwarders must file the
366.1 Applicability.
366.1T Applicability.
FORM BOC–3 designation at the time
366.2 Form of designation. of their application for registration.
366.2T Form of designation. Failure to file a designation in accord-
366.3 Eligible persons. ance with this paragraph will result in
366.3T Eligible persons. deactivation of the carrier’s USDOT
366.4 Required States.
Number.
366.4T Required States.
366.5 Blanket designations. [80 FR 63705, Oct. 21, 2015; 81 FR 49554, July
366.5T Blanket designations. 28, 2016]
366.6 Cancellation or change.
366.6T Cancellation or change. EFFECTIVE DATE NOTE: At 82 FR 5303, Jan.
17, 2017, § 366.2 was suspended, effective Jan.
AUTHORITY: 49 U.S.C. 502, 503, 13303, 13304
14, 2017.
and 13908; and 49 CFR 1.87.
SOURCE: 55 FR 11197, Mar. 27, 1990, unless § 366.2T Form of designation.
otherwise noted. Redesignated at 61 FR 54707,
Oct. 21, 1996. Designations shall be made on Form
BOC–3, Designation of Agent for Service
§ 366.1 Applicability. of Process. Only one completed current
The rules in this part, relating to the form may be on file. It must include all
filing of designations of persons upon States for which agent designations are
whom court or Agency process may be required. One copy must be retained by
served, apply to for-hire and private the carrier or broker at its principal
motor carriers, brokers, freight for- place of business.
warders and, as of the moment of suc-
[82 FR 5303, Jan. 17, 2017]
cession, their fiduciaries (as defined at
49 CFR 387.319(a)). § 366.3 Eligible persons.
[80 FR 63705, Oct. 21, 2015] All persons (as defined at 49 U.S.C.
EFFECTIVE DATE NOTE: At 82 FR 5303, Jan. 13102(18)) designated as process agents
17, 2017, § 366.1 was suspended, effective Jan. must reside in or maintain an office in
14, 2017. the State for which they are des-
§ 366.1T Applicability. ignated. If a State official is des-
ignated, evidence of his or her willing-
These rules, relating to the filing of ness to accept service of process must
designations of persons upon whom
be furnished.
court process may be served, govern
motor carriers and brokers and, as of [80 FR 63705, Oct. 21, 2015]
the moment of succession, their fidu- EFFECTIVE DATE NOTE: At 82 FR 5303, Jan.
kpayne on VMOFRWIN702 with $$_JOB
ciaries (as defined at 49 CFR 387.319(a)). 17, 2017, § 366.3 was suspended, effective Jan.
[82 FR 5303, Jan. 17, 2017] 14, 2017.
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Federal Motor Carrier Safety Administration, DOT § 366.5T
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§ 366.6 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 367.40
FEES UNDER THE UNIFIED CARRIER REGISTRATION PLAN AND AGREEMENT FOR EACH REGISTRATION
YEAR
Fee per company
Number of commercial motor vehicles for exempt or non-
owned or operated by exempt or non-ex- exempt motor car- Fee per company
Bracket for broker or leas-
empt motor carrier, motor private carrier, rier, motor private ing company
or freight forwarder carrier, or freight
forwarder
[72 FR 48590, Aug. 24, 2007, as amended at 73 FR 10158, Feb. 26, 2008]
§ 367.30 Fees under the Unified Carrier Registration Plan and Agreement for reg-
istration years beginning in 2010 and ending in 2017.
TABLE 1 TO § 367.30—FEES UNDER THE UNIFIED CARRIER REGISTRATION PLAN AND AGREEMENT
FOR EACH REGISTRATION YEAR 2010–2017
§ 367.40 Fees under the Unified Carrier Registration Plan and Agreement for reg-
istration year 2018.
TABLE 1 TO § 367.40—FEES UNDER THE UNIFIED CARRIER REGISTRATION PLAN AND AGREEMENT
FOR REGISTRATION YEAR 2018
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§ 367.50 49 CFR Ch. III (10–1–20 Edition)
§ 367.50 Fees under the Unified Carrier Registration Plan and Agreement for reg-
istration year 2019.
TABLE 1 TO § 367.50—FEES UNDER THE UNIFIED CARRIER REGISTRATION PLAN AND AGREEMENT
FOR REGISTRATION YEAR 2019
Number of commercial
motor vehicles owned or Fee per entity for
operated by exempt or exempt or non-exempt Fee per entity for broker
Bracket non-exempt motor motor carrier, motor or leasing company
carrier, motor private private carrier, or
carrier, or freight freight forwarder
forwarder
§ 367.60 Fees under the Unified Carrier Registration Plan and Agreement for reg-
istration years beginning in 2020.
TABLE 1 TO § 367.60—FEES UNDER THE UNIFIED CARRIER REGISTRATION PLAN AND AGREEMENT
FOR REGISTRATION YEAR 2020 AND EACH SUBSEQUENT REGISTRATION YEAR THEREAFTER
Number of commercial
motor vehicles owned or Fee per entity for
operated by exempt or exempt or non-exempt Fee per entity for broker
Bracket non-exempt motor motor carrier, motor or leasing company
carrier, motor private private carrier, or
carrier, or freight freight forwarder
forwarder
tion.
368.4 Requirement to notify FMCSA of interstate transportation in munici-
change in applicant information. palities in the United States on the
64
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Federal Motor Carrier Safety Administration, DOT § 368.3–1T
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§ 368.3T 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT Pt. 369
except the filing fee in paragraph (b)(4) ERAL REGISTER or the FMCSA Register.
of that section is waived. You must file Protests or comments will not be al-
your application by October 20, 2003. lowed. There will be no oral hearings.
(b) The FMCSA may suspend or re-
voke the certificate of registration of § 368.7 Requirement to carry certifi-
any registrant that fails to comply cate of registration in the vehicle.
with the procedures set forth in this A holder of a Certificate of Registra-
section. tion must maintain a copy of the Cer-
(c) Certificates of registration issued tificate of Registration in any vehicle
before April 18, 2002, remain valid until providing transportation service within
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 FMCSA, Office
tions may be rejected. of Registration and Safety Information
(b) If the applicant does not require within 20 days of the date of the letter
or is not eligible for a Certificate of denying the application.
Registration, the FMCSA will deny the
application and notify the applicant. [80 FR 63707, Oct. 21, 2015]
(c) The FMCSA will validate the ac- EFFECTIVE DATE NOTE: At 82 FR 5304, Jan.
curacy of information and certifi- 17, 2017, § 368.8 was suspended, effective Jan.
cations provided in the application 14, 2017.
against data maintained in databases
of the governments of Mexico and the § 368.8T Appeals.
United States. An applicant has the right to appeal
(d) If the FMCSA determines that the denial of the application. The appeal
application and certifications dem- must be in writing and specify in detail
onstrate that the application is con- why the agency’s decision to deny the
sistent with the FMCSA’s safety fit- application was wrong. The appeal
ness policy, it will issue a provisional must be filed with the Director, Office
Certificate of Registration, including a of Data Analysis and Information Sys-
distinctive USDOT Number that identi- tems within 20 days of the date of the
fies the motor carrier as permitted to letter denying the application. The de-
provide interstate transportation of cision of the Director will be the final
property solely in municipalities in the agency order.
United States on the U.S.-Mexico
[82 FR 5304, Jan. 17, 2017]
international border or within the
commercial zones of such municipali-
ties. PART 369—REPORTS OF MOTOR
(e) The FMCSA may issue a perma- CARRIERS
nent Certificate of Registration to the
holder of a provisional Certificate of Sec.
Registration no earlier than 18 months 369.1 Annual reports of for-hire, non-exempt
after the date of issuance of the Certifi- motor carriers of property, motor car-
cate and only after completion to the riers of household goods, and dual prop-
erty carriers.
satisfaction of the FMCSA of the safe-
369.2 Classification of carriers—for-hire,
ty monitoring system for Mexico-domi- non-exempt motor carriers of property,
ciled carriers set out in subpart B of household goods carriers, and dual prop-
part 385 of this subchapter.
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erty carriers.
(f) Notice of the authority sought 369.3 Classification of carriers—for-hire,
will not be published in either the FED- non-exempt motor carriers of passengers.
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§ 369.1 49 CFR Ch. III (10–1–20 Edition)
369.4 Annual and quarterly reports of Class $3 million after applying the revenue
I carriers of passengers. deflator formula in Note A.
369.5 Records. (b)(1) The class to which any carrier
369.6 Address.
belongs shall be determined by annual
369.8 Requests for exemptions from filing.
369.9 Requests for exemptions from public carrier operating revenues (excluding
release. revenues from private carriage, com-
369.10 Public release of motor carrier of pensated intercorporate hauling, and
property data. leasing vehicles with drivers to private
AUTHORITY: 49 U.S.C. 14123; 49 CFR 1.87. carriers) after applying the revenue
deflator formula in Note A. Upward
§ 369.1 Annual reports of for-hire, non- and downward classification will be ef-
exempt motor carriers of property, fective as of January 1 of the year im-
motor carriers of household goods, mediately following the third consecu-
and dual property carriers. tive year of revenue qualification.
(a) Annual Report Form M. All class I (2) Any carrier which begins new op-
and class II for-hire, non-exempt motor erations by obtaining operating au-
carriers of property, including house- thority not previously held or extends
hold goods and dual property motor its existing authority by obtaining ad-
carriers, must file Motor Carrier An- ditional operating rights shall be clas-
nual Report Form M (Form M). Car- sified in accordance with a reasonable
riers must file the annual report on or estimate of its annual carrier oper-
before March 31 of the year following ating revenues after applying the rev-
the year to which it relates. For classi- enue deflator formula shown in Note A.
fication criteria, see § 369.2. (3) When a business combination oc-
(b) Where to file report. Carriers must curs such as a merger, reorganization,
file the annual report with the Federal or consolidation, the surviving carrier
Motor Carrier Safety Administration shall be reclassified effective as of Jan-
at the address in § 369.6. You can obtain uary 1 of the next calendar year on the
blank copies of the report form from basis of the combined revenues for the
the Federal Motor Carrier Safety Ad- year when the combination occurred
ministration Web site http:// after applying the revenue deflator for-
www.fmcsa.dot.gov/forms/reporting/ mula shown in Note A.
mcslinfo.htm#fos. (4) Carriers must notify the Federal
Motor Carrier Safety Administration
[64 FR 13921, Mar. 23, 1999. Redesignated at 71 (FMCSA) of any change in classifica-
FR 45742, Aug. 10, 2006, and amended at 71 FR
45743, Aug. 10, 2006; 78 FR 76245, Dec. 17, 2013;
tion or any change in annual operating
81 FR 68344, Oct. 4, 2016] revenues that would cause a change in
classification. The carrier may request
§ 369.2 Classification of carriers—for- a waiver or an exception from these
hire, non-exempt motor carriers of regulations in unusual or extenuating
property, household goods carriers, circumstances, where the classification
and dual property carriers. process will unduly burden the carrier,
(a) For-hire, non-exempt motor car- such as partial liquidation or curtail-
riers of property are grouped into the ment or elimination of contracted
following three classes: services. The request must be in writ-
Class I. Carriers having annual car- ing, specifying the conditions justi-
rier operating revenues (including fying the waiver or exception. FMCSA
interstate and intrastate) of $10 million will notify the carriers of any change
or more after applying the revenue in classification.
deflator formula in Note A. (5) Carriers not required to file an
Class II. Carriers having annual car- Annual Report Form M may be re-
rier operating revenues (including quired to file the Worksheet for Calcu-
interstate and intrastate) of at least $3 lating Carrier Classification. All car-
million but less than $10 million after riers will be notified of any classifica-
applying the revenue deflator formula tion changes.
in Note A. NOTE TO § 369.2: Each carrier’s operating
Class III. Carriers having annual car-
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Federal Motor Carrier Safety Administration, DOT § 369.3
the dollar revenue limits prescribed in para- tistics. The formula to be applied is as fol-
graph (a) of this section. The PPI is pub- lows:
lished monthly by the Bureau of Labor Sta-
[52 FR 10383, Apr. 1, 1987, as amended at 59 FR 5111, Feb. 3, 1994; 59 FR 49848, Sept. 30, 1994.
Redesignated at 63 FR 52193, Sept. 30, 1998, and amended at 64 FR 13921, 13922, Mar. 23, 1999;
68 FR 4719, Jan. 30, 2003. Redesignated at 71 FR 45742, Aug. 10, 2006, and amended at 71 FR
45743, Aug. 10, 2006; 78 FR 58478, Sept. 24, 2013; 81 FR 68345, Oct. 4, 2016]
69
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§ 369.4 49 CFR Ch. III (10–1–20 Edition)
by motor carriers when submitting a quest for an exemption from public re-
report, requesting an exemption from lease contained in § 369.9(d). For Annual
70
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Federal Motor Carrier Safety Administration, DOT § 369.9
Form M, both the report and the re- formation under 5 U.S.C. 552(b)(4). In-
quest are due by March 31 of the year formation is considered to be confiden-
following the year to which it relates. tial when:
(e) Decision to grant or deny a request. (1) Disclosure of the information in
(1) A request will be denied if it fails to the carrier’s report would be likely to
provide all of the supporting informa- cause substantial harm to the carrier’s
tion required in paragraph (c) of this competitive position; or
section or if the supporting informa- (2) Disclosure of information in the
tion is insufficient to establish that in- report would be likely to impair
formation in the carrier’s report meets protectable government interests.
the criteria in paragraph (b) of this sec- (c) Contents of a request. A request for
tion. an exemption from public release must
(2) FMCSA will grant or deny each contain information supporting the
request within a reasonable period of claim. While the supporting informa-
time. FMCSA will notify the carrier of tion may contain opinions, the request
its decision. The decision by FMCSA must consist of objective data to the
shall be administratively final. extent possible. General or nonspecific
(f) Pendency. While a request is pend- assertions or analysis will be insuffi-
ing, the carrier is required to submit cient to support a request if FMCSA is
any reports required under § 369.1. unable to find that the criteria are
(g) Period of exemptions. If a request met. The supporting information must
for an exemption under this section is show:
granted, the carrier will be exempt (1) That the information claimed to
from the reporting requirements of be confidential is a trade secret, or
§ 369.1 for a period of three reporting commercial or financial information
years. that is privileged or confidential.
(h) Modification of a decision to grant a (2) Measures taken by the carrier to
request. If a request is granted it re- ensure that the information has not
mains in effect in accordance with its been disclosed or otherwise made avail-
terms, unless modified by a later find- able to any person, company, or orga-
ing that the decision was clearly erro- nization other then the carrier.
neous. If FMCSA believes such a find- (3) Insofar as is known by the carrier,
ing should be made, FMCSA will notify the extent to which the information
the requesting carrier in writing of the has been disclosed, or otherwise be-
reasons for the modification. The car- come available, to persons other than
rier may seek reconsideration of the the carrier, and why such disclosure or
modification. availability does not compromise the
[64 FR 13922, Mar. 23, 1999. Redesignated at 71 confidential nature of the information.
FR 45742, Aug. 10, 2006, and amended at 71 FR (4) If the carrier asserts that disclo-
45743, Aug. 10, 2006; 78 FR 76245, Dec. 17, 2013] sure would be likely to result in sub-
stantial competitive harm, what the
§ 369.9 Requests for exemptions from harmful effects of disclosure would be,
public release. why the effects should be viewed as
(a) General. This section governs re- substantial, and the causal relation-
quests for exemptions from public re- ship between the effects and disclosure.
lease of the report required under (5) If the carrier asserts that disclo-
§ 369.1. sure would be likely to impair
(b) Criteria. The Federal Motor Car- protectable government interests, what
rier Safety Administration (FMCSA) the effects of disclosure are likely to be
will grant a request upon a proper and why disclosure is likely to impair
showing that the carrier is not a pub- such interests.
licly held corporation or that the car- (d) When requests are due. (1) Requests
rier is not subject to financial report- for an exemption under this section
ing requirements of the Securities and may be made at any time during the
Exchange Commission, and that the ex- year. However, a request will be
emption is necessary to avoid competi- deemed applicable to only those re-
tive harm and to avoid the disclosure ports due on or after the date the re-
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§ 369.10 49 CFR Ch. III (10–1–20 Edition)
considered for the following year’s re- licly, unless otherwise required by law,
port. any report for which a valid request for
(2) A request will be deemed received an exemption from public release is
on the date the request is physically pending.
received or, if it is sent by mail, on the (g) Period of exemptions. If a request
date it is postmarked. for an exemption under this section is
(3) FMCSA will only allow a late re- granted, FMCSA will not publicly re-
quest if there are extenuating cir- lease the reports covered by the grant-
cumstances and the carrier gives ade- ed exemption, unless otherwise re-
quate notice within a reasonable time quired by law, for a period of three
of the extenuating circumstances. years from the report’s due date.
(e) Decision to grant or deny a request. (h) Modification of a decision to grant a
(1) After each due date of each annual request. If a request is granted it re-
report specified in § 369.1, FMCSA will mains in effect in accordance with its
publish a notice in the FEDERAL REG- terms, unless modified by a later find-
ISTER requesting comments on any re- ing that the decision was clearly erro-
quests received under this section that neous. If FMCSA believes such a find-
are valid and pending. ing should be made, FMCSA will notify
(2) A request will be granted only if it the requesting carrier in writing of the
provides all of the supporting informa- reasons for the modification and that
tion required in paragraph (c) of this the carrier’s report will be made avail-
section and if the supporting informa- able to the public in not less than ten
tion is sufficient to establish that in- working days from the date of receipt
formation in the carrier’s report meets of notice under this paragraph. The
the criteria in paragraph (b) of this sec- carrier may seek reconsideration of the
tion. modification.
(3) If the carrier fails to comply with
the timing requirements of paragraph [64 FR 13922, Mar. 23, 1999. Redesignated at 71
FR 45742, Aug. 10, 2006, and amended at 71 FR
(d) of this section, the claim for con-
45743, Aug. 10, 2006; 78 FR 76245, Dec. 17, 2013]
fidentiality will be waived unless
FMCSA is notified of extenuating cir- § 369.10 Public release of motor car-
cumstances before the information is rier of property data.
disclosed to the public and FMCSA
finds that the extenuating cir- (a) In general. Unless otherwise pro-
cumstances warrant consideration of vided in this section, the data con-
the claim. tained in a report filed under § 369.1
(4) FMCSA will grant or deny each shall be made publicly available, but
request no later than 90 days after the no sooner than the due date for the re-
request’s due date as defined in para- port.
graph (d) of this section. The decision (b) Exceptions relating to exemptions
by FMCSA shall be administratively from public release. (1) If a request for
final. For Annual Form M, both the re- an exemption from public release is
port and the request are due by March pending under § 369.9, FMCSA will not
31, and the decision is due by June 30. publicly release the reports covered by
(5) If a request is granted, FMCSA the request until at least the time that
will notify carrier of that decision and a decision to grant or deny the request
of any appropriate limitations. is made.
(6) If a request for confidentiality is (2) If a carrier is granted an exemp-
denied, FMCSA will notify the carrier tion from public release under § 369.9,
of that decision and that the informa- FMCSA will not publicly release the
tion will be made available to the pub- reports covered by the granted exemp-
lic not less than ten working days after tion for a period of three years from
the carrier has received notice of the the report’s due date.
denial. The notice will specify the rea- (c) Other exceptions. Notwithstanding
sons for denying the request. any other provision of this part, infor-
(f) Pendency. A request is deemed mation may be released:
pending from the date it is received by (1) If the data are included in aggre-
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Federal Motor Carrier Safety Administration, DOT § 370.3
(2) To other components of the De- other contract of carriage, and all tar-
partment of Transportation for their iff provisions applicable thereto.
internal use only; (b) Minimum filing requirements. A
(3) If required by law; written communication from a claim-
(4) With the consent of the carrier fil- ant, filed with a proper carrier within
ing the report; or the time limits specified in the bill of
(5) To contractors, if necessary for lading or contract of carriage or trans-
the performance of a contract with portation and:
FMCSA. (1) Containing facts sufficient to
identify the baggage or shipment (or
[64 FR 13923, Mar. 23, 1999, as amended at 68
FR 4719, Jan. 30, 2003. Redesignated at 71 FR
shipments) of property,
45742, Aug. 10, 2006, and amended at 71 FR (2) Asserting liability for alleged
45743, Aug. 10, 2006] loss, damage, injury, or delay, and
(3) Making claim for the payment of
PART 370—PRINCIPLES AND PRAC- a specified or determinable amount of
money, shall be considered as suffi-
TICES FOR THE INVESTIGATION cient compliance with the provisions
AND VOLUNTARY DISPOSITION for filing claims embraced in the bill of
OF LOSS AND DAMAGE CLAIMS lading or other contract of carriage;
AND PROCESSING SALVAGE Provided, however, That procedures are
established to ensure reasonable car-
Sec. rier access to supporting documents.
370.1 Applicability of regulations. (c) Documents not constituting claims.
370.3 Filing of claims. Bad order reports, appraisal reports of
370.5 Acknowledgment of claims.
damage, notations of shortage or dam-
370.7 Investigation of claims.
370.9 Disposition of claims. age, or both, on freight bills, delivery
370.11 Processing of salvage. receipts, or other documents, or inspec-
tion reports issued by carriers or their
AUTHORITY: 49 U.S.C. 13301 and 14706; and 49
inspection agencies, whether the ex-
CFR 1.87.
tent of loss or damage is indicated in
SOURCE: 62 FR 32042, June 12, 1997, unless dollars and cents or otherwise, shall,
otherwise noted. standing alone, not be considered by
carriers as sufficient to comply with
§ 370.1 Applicability of regulations.
the minimum claim filing require-
The regulations set forth in this part ments specified in paragraph (b) of this
shall govern the processing of claims section.
for loss, damage, injury, or delay to (d) Claims filed for uncertain amounts.
property transported or accepted for Whenever a claim is presented against
transportation, in interstate or foreign a proper carrier for an uncertain
commerce, by each motor carrier, amount, such as ‘‘$100 more or less,’’
water carrier, and freight forwarder the carrier against whom such claim is
(hereinafter called carrier), subject to filed shall determine the condition of
49 U.S.C. subtitle IV, part B. the baggage or shipment involved at
the time of delivery by it, if it was de-
§ 370.3 Filing of claims. livered, and shall ascertain as nearly as
(a) Compliance with regulations. A possible the extent, if any, of the loss
claim for loss or damage to baggage or or damage for which it may be respon-
for loss, damage, injury, or delay to sible. It shall not, however, voluntarily
cargo, shall not be voluntarily paid by pay a claim under such circumstances
a carrier unless filed, as provided in unless and until a formal claim in writ-
paragraph (b) of this section, with the ing for a specified or determinable
receiving or delivering carrier, or car- amount of money shall have been filed
rier issuing the bill of lading, receipt, in accordance with the provisions of
ticket, or baggage check, or carrier on paragraph (b) of this section.
whose line the alleged loss, damage, in- (e) Other claims. If investigation of a
jury, or delay occurred, within the claim develops that one or more other
specified time limits applicable thereto carriers has been presented with a
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§ 370.5 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT Pt. 371
this part?
trary after giving such notice, shall un- 371.103 What are the definitions of terms
dertake to sell or dispose of such prop- used in this subpart?
75
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§ 371.1 49 CFR Ch. III (10–1–20 Edition)
371.105 Must I use a motor carrier that has the part of the agent in allocating traf-
a valid U.S. DOT number and valid oper- fic between the carrier and others.
ating authority issued by FMCSA to (c) Brokerage or brokerage service is
transport household goods in interstate
the arranging of transportation or the
or foreign commerce?
371.107 What information must I display in
physical movement of a motor vehicle
my advertisements and Internet Web or of property. It can be performed on
homepage? behalf of a motor carrier, consignor, or
371.109 Must I inform individual shippers consignee.
which motor carriers I use? (d) Non-brokerage service is all other
371.111 Must I provide individual shippers service performed by a broker on behalf
with Federal consumer protection infor- of a motor carrier, consignor, or con-
mation? signee.
371.113 May I provide individual shippers
with a written estimate? § 371.3 Records to be kept by brokers.
371.115 Must I maintain agreements with
motor carriers before providing written (a) A broker shall keep a record of
estimates on behalf of these carriers? each transaction. For purposes of this
371.117 Must I provide individual shippers section, brokers may keep master lists
with my policies concerning cancella- of consignors and the address and reg-
tion, deposits, and refunds? istration number of the carrier, rather
371.121 What penalties may FMCSA impose than repeating this information for
for violations of this part? each transaction. The record shall
AUTHORITY: 49 U.S.C. 13301, 13501, and 14122; show:
subtitle B, title IV of Pub. L. 109–59; and 49 (1) The name and address of the con-
CFR 1.87. signor;
SOURCE: 45 FR 68942, Oct. 17, 1980, unless (2) The name, address, and registra-
otherwise noted. Redesignated at 61 FR 54707, tion number of the originating motor
Oct. 21, 1996. carrier;
(3) The bill of lading or freight bill
Subpart A—General Requirements number;
(4) The amount of compensation re-
§ 371.1 Applicability. ceived by the broker for the brokerage
service performed and the name of the
This part applies, to the extent pro- payer;
vided therein, to all brokers of trans- (5) A description of any non-broker-
portation by motor vehicle as defined age service performed in connection
in § 371.2. with each shipment or other activity,
[32 FR 20034, Dec. 20, 1967, as amended at 62 the amount of compensation received
FR 15421, Apr. 1, 1997] for the service, and the name of the
payer; and
§ 371.2 Definitions. (6) The amount of any freight charges
(a) Broker means a person who, for collected by the broker and the date of
compensation, arranges, or offers to ar- payment to the carrier.
range, the transportation of property (b) Brokers shall keep the records re-
by an authorized motor carrier. Motor quired by this section for a period of
carriers, or persons who are employees three years.
or bona fide agents of carriers, are not (c) Each party to a brokered trans-
brokers within the meaning of this sec- action has the right to review the
tion when they arrange or offer to ar- record of the transaction required to be
range the transportation of shipments kept by these rules.
which they are authorized to transport [45 FR 68942, Oct. 17, 1980. Redesignated at 61
and which they have accepted and le- FR 54707, Oct. 21, 1996, as amended at 62 FR
gally bound themselves to transport. 15421, Apr. 1, 1997]
(b) Bona fide agents are persons who
are part of the normal organization of § 371.7 Misrepresentation.
a motor carrier and perform duties (a) A broker shall not perform or
under the carrier’s directions pursuant offer to perform any brokerage service
to a preexisting agreement which pro- (including advertising), in any name
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vides for a continuing relationship, other than that in which its registra-
precluding the exercise of discretion on tion is issued.
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Federal Motor Carrier Safety Administration, DOT § 371.107
SOURCE: 75 FR 72996, Nov. 29, 2010, unless (street or highway address, city, and
otherwise noted. State) where you conduct business.
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§ 371.109 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 371.117
motor carrier(s) must include the fol- your Internet Web site and in your
lowing items: agreements with prospective shippers
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§ 371.121 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 372.107
procured or furnished or arranged for, an amount greater in value than the total
by any person who sells, offers for sale, amount of such business transacted by it
provides, furnishes, contracts, or ar- with or for members. All business transacted
by any cooperative association for or on be-
ranges for such transportation for com-
half of the United States or any agency or
pensation or as a regular occupation or instrumentality thereof shall be disregarded
business. in determining the volume of member and
[32 FR 20036, Dec. 20, 1967. Redesignated at 61 nonmember business transacted by such as-
FR 54708, Oct. 21, 1996, as amended at 62 FR sociation.
15421, Apr. 1, 1997]
Associations which do not conform to
§ 372.103 Motor vehicles employed such definition are not eligible to oper-
solely in transporting school chil- ate under the partial exemption of 49
dren and teachers to or from U.S.C. 13506(a)(5).
school. (b) Federation of cooperative associa-
The exemption set forth in 49 U.S.C. tions. The term ‘‘federation of coopera-
13506(a)(1) shall not be construed as tive associations’’ means a federation
being inapplicable to motor vehicles composed of either two or more cooper-
being used at the time of operation in ative associations, or one or more
the transportation of schoolchildren farmers, which federation possesses no
and teachers to or from school, even greater powers or purposes than a co-
though such motor vehicles are em- operative association as defined in
ployed at other times in transportation paragraph (a) of this section. Federa-
beyond the scope of the exemption. tions of cooperative associations which
do not conform to such definition are
[36 FR 9022, May 18, 1971, as amended at 62
not eligible to operate under the par-
FR 15421, Apr. 1, 1997]
tial exemption of 49 U.S.C. 13506(a)(5).
§ 372.107 Definitions. (c) Member. The term ‘‘member’’
means any farmer or cooperative asso-
As used in the regulations in this
ciation which has consented to be, has
part, the following terms shall have
been accepted as, and is a member in
the meaning shown:
good standing in accordance with the
(a) Cooperative association. The term
constitution, bylaws, or rules of the co-
‘‘cooperative association’’ means an as-
operative association or federation of
sociation which conforms to the fol-
cooperative associations.
lowing definition in the Agricultural
Marketing Act, approved June 15, 1929, (d) Farmer. The term ‘‘farmer’’ means
as amended (12 U.S.C. 1141j): any individual, partnership, corpora-
tion, or other business entity to the ex-
As used in this Act, the term cooperative tent engaged in farming operations ei-
association means any association in which ther as a producer of agricultural com-
farmers act together in processing, preparing modities or as a farm owner.
for market, handling, and/or marketing the
farm products of persons so engaged, and (e) Interstate transportation. The term
also means any association in which farmers ‘‘interstate transportation’’ means
act together in purchasing, testing, grading, transportation by motor vehicle in
processing, distributing, and/or furnishing interstate or foreign commerce subject
farm supplies and/or farm business services. to the FMCSA’s jurisdiction as set
Provided, however, That such associations forth in 49 U.S.C. 13501.
are operated for the mutual benefit of the (f) Member transportation. The term
members thereof as such producers or pur-
chasers and conform to one or both of the
‘‘member transportation’’ means trans-
following requirements: portation performed by a cooperative
First. That no member of the association association or federation of coopera-
is allowed more than one vote because of the tive associations for itself or for its
amount of stock or membership capital he members, but does not include trans-
may own therein; and portation performed in furtherance of
Second. That the association does not pay the nonfarm business of such members.
dividends on stock or membership capital in
(g) Nonmember transportation. The
excess of 8 per centum per annum.
And in any case to the following: term ‘‘nonmember transportation’’
means transportation performed by a
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§ 372.109 49 CFR Ch. III (10–1–20 Edition)
the primary transportation operation (5) The weight or volume of the ship-
is inbound to the association or federa- ment,
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Federal Motor Carrier Safety Administration, DOT § 372.115
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§ 372.117 49 CFR Ch. III (10–1–20 Edition)
Meal: Wool imported from a foreign country
Wool tops and noils
Alfalfa
Wool waste (carded, spun, woven, or knitted)
Copra
Cottonseed Wool yarn
Fish NOTE 1: Under 49 U.S.C. 13506(a)(6)(D), any
Flaxseed listed fish or shellfish product that is not in-
Linseed tended for human consumption is exempt.
Peanut NOTE 2: Under 49 U.S.C. 13506(a)(6)(E), any
Soybean listed livestock feed, poultry feed, agricul-
Meat and meat products, fresh, frozen or tural seeds, or plants that are transported to
canned a site of agricultural production or to a busi-
Milk and Cream: ness enterprise engaged in the sale to agri-
cultural producers of goods used in agricul-
Chocolate tural production is exempt
Condensed
Sterilized in hermetically sealed cans [53 FR 17707, May 18, 1988, as amended at 62
Molasses FR 15421, Apr. 1, 1997]
Nuts (including peanuts): § 372.117 Motor transportation of pas-
Peanut meal sengers incidental to transportation
Roasted or boiled by aircraft.
Oil, mint (a) Passengers having an immediately
Oil, extracted from vegetables, grain, seed, fish prior or subsequent movement by air. The
or other commodity transportation of passengers by motor
Pelts
Pies, frozen vehicle is transportation incidental to
Pigeons, racing transportation by aircraft provided (1)
Pulp, beet that it is confined to the transpor-
Pulp, sugar cane tation of passengers who have had or
Rock (except natural crushed, vesicular rock to will have an immediately prior or im-
be used for decorative purposes) mediately subsequent movement by air
Rubber, crude, in bales and (2) that the zone within which
Rubber, latex, natural, liquid, from which water
has been extracted and to which ammonia
motor transportation is incidental to
has been added transportation by aircraft, except as it
Sand may be individually determined as pro-
Seeds: vided in paragraph (c) of this section,
shall not exceed in size the area encom-
Oil extracted from seeds passed by a 25-mile radius of the bound-
Skins, animal ary of the airport at which the pas-
Soil, potting
sengers arrive or depart and by the
Soil, top
Soup, frozen boundaries of the commercial zones (as
Sugar defined by the Secretary) of any mu-
Sugar cane pulp nicipalities any part of whose commer-
Sugar raw cial zones falls within the 25-mile ra-
Syrup, cane dius of the pertinent airport.
Syrup, maple (b) Substituted motor-for-air transpor-
Tea tation due to emergency conditions.
Tobacco: Transportation of passengers by motor
Cigars and cigarettes vehicle is transportation incidental to
Homogenized transportation by aircraft if it con-
Smoking stitutes substituted motor-for-air serv-
Top Soil ice performed at the expense of the air
Trees: carrier in emergency situations arising
Sawed into lumber from the inability of the air carrier to
Vegetables:
perform air transportation due to ad-
verse weather conditions, equipment
Candied sweet potatoes, frozen failure, or other causes beyond the con-
Canned trol of the air carrier.
Cooked
French fried potatoes (c) Individual determination of exempt
zones. Upon its own motion or upon pe-
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Federal Motor Carrier Safety Administration, DOT § 372.203
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§ 372.205 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 372.215
(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 Pueblo, Colo.,
(b) and (c) of this section, and itself;
(e) All of any municipality wholly (b) All points within a line drawn 6
surrounded, or so surrounded except for miles beyond the municipal limits of
a water boundary, by the municipality Pueblo;
of Lake Charles or by any other mu- (c) Those points in Pueblo County,
nicipality included under the terms of Colo., which are not within the area de-
paragraph (d) of this section. scribed in paragraph (b) of this section;
[41 FR 56653, Dec. 29, 1976, as amended at 62 (d) All of any municipality any part
FR 15422, Apr. 1, 1997] of which is within the limits of the
combined areas defined in paragraphs
§ 372.211 Pittsburgh, PA. (b) and (c) of this section, and
The zone adjacent to, and commer- (e) All of any municipality wholly
cially a part of Pittsburgh within surrounded, or so surrounded except for
which transportation by motor vehicle a water boundary, by the municipality
in interstate or foreign commerce, not of Pueblo or by any other municipality
under common control, management, included under the terms of paragraph
or arrangement for a continuous car- (d) of this section.
riage or shipment to or from a point [41 FR 56654, Dec. 29, 1976, as amended at 62
beyond such zone, is partially exempt FR 15422, Apr. 1, 1997; 78 FR 58478, Sept. 24,
from regulation under 49 U.S.C. 2013]
13506(b)(1) includes and is comprised of
all points as follows: § 372.215 Ravenswood, WV.
(a) The municipality of Pittsburgh, The zone adjacent to, and commer-
Pa., itself; cially a part of Ravenswood, W. Va.,
(b) All points within a line drawn 15 within which transportation by motor
miles beyond the municipal limits of vehicle in interstate or foreign com-
Pittsburgh; merce, not under common control,
(c) Those points in Allegheny Coun- management, or arrangement for a
ty, Pa., which are not within the area continuous carriage or shipment to or
described in paragraph (b) of this sec- from a point beyond such zone, is par-
tion; tially exempt from regulation under 49
(d) All of any municipality any part U.S.C. 13506(b)(1) includes and is com-
of which is within the limits of the prised of all points as follows:
combined areas defined in paragraphs (a) The municipality of Ravenswood,
(b) and (c) of this section, and W. Va., itself;
(e) All of any municipality wholly (b) All points within a line drawn 4
surrounded, or so surrounded except for miles beyond the municipal limits of
a water boundary, by the municipality Ravenswood;
of Pittsburgh or by any other munici- (c) Those points in Jackson County,
pality included under the terms of W. Va., which are not within the area
paragraph (d) of this section. described in paragraph (b) of this sec-
tion, and which are north of U.S. High-
[41 FR 56654, Dec. 29, 1976, as amended at 62
FR 15422, Apr. 1, 1997; 78 FR 58478, Sept. 24, way 33;
2013] (d) All of any municipality any part
of which is within the limits of the
§ 372.213 Pueblo, CO. combined areas defined in paragraphs
The zone adjacent to, and commer- (b) and (c) of this section, and
cially a part of Pueblo, Colo., within (e) All of any municipality wholly
which transportation by motor vehicle surrounded, or so surrounded except for
in interstate or foreign commerce, not a water boundary, by the municipality
under common control, management, of Ravenswood or by any other munici-
or arrangement for a continuous car- pality included under the terms of
riage or shipment to or from a point paragraph (d) of this section.
kpayne on VMOFRWIN702 with $$_JOB
beyond such zone, is partially exempt [41 FR 56654, Dec. 29, 1976, as amended at 62
from regulations under 49 U.S.C. FR 15422, Apr. 1, 1997]
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§ 372.217 49 CFR Ch. III (10–1–20 Edition)
a water boundary, by the municipality (3) Davenport, Iowa, and Rock Island
of Seattle or by any other municipality and Moline, Ill.
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Federal Motor Carrier Safety Administration, DOT § 372.227
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§ 372.229 49 CFR Ch. III (10–1–20 Edition)
along New York Highway 213 to junc- included under the terms of paragraph
tion New York Highway 213A, thence (d) of this section.
easterly along New York Highway 213A [45 FR 62085, Sept. 18, 1980. Redesignated and
to junction New York Highway 37, amended at 55 FR 42198, Oct. 18, 1990; 62 FR
thence southerly along New York High- 15422, Apr. 1, 1997; 78 FR 58478, Sept. 24, 2013]
way 37 to its intersection with the line
in (b) above; § 372.231 Tacoma, WA.
(d) All of any municipality any part The zone adjacent to, and commer-
of which is within the limits of the cially a part of Tacoma, WA, within
combined area defined in paragraphs which transportation by motor vehicle,
(b) and (c) of this section, and in interstate or foreign commerce, not
(e) All of any municipality wholly under common control, management,
surrounded, or so surrounded except for or arrangement for shipment to or
a water boundary, by the municipality from points beyond such zone, is par-
of Syracuse or any other municipality tially exempt from regulation under 49
included under the terms of paragraph U.S.C. 13506(b)(1), includes and is com-
(d) of this section. prised of all points as follows:
(a) The municipality of Tacoma, WA,
[42 FR 44816, Sept. 7, 1977. Redesignated at 55 itself;
FR 42198, Oct. 18, 1990, as amended at 62 FR (b) All points within a line drawn 8
15422, Apr. 1, 1997; 78 FR 58478, Sept. 24, 2013] miles beyond the municipal limits of
Tacoma;
§ 372.229 Spokane, WA. (c) Those points in Pierce County,
The zone adjacent to, and commer- WA, which are not within the area de-
cially a part of Spokane, WA, within scribed in paragraph (b) of this section,
which transportation by motor vehicle, but which are on Washington Highway
in interstate or foreign commerce, not 162 beginning at its intersection with
under control, management, or ar- the line described in paragraph (b) of
rangement for shipment to or from this section, extending to and includ-
points beyond such zone, is partially ing Orting, WA, and all points within
exempt from regulation under 49 U.S.C. the Orting commercial zone.
13506(b)(1) includes and is comprised of (d) All of any municipality any part
all points as follows: of which is within the limits of the
combined area defined in paragraphs
(a) The municipality of Spokane,
(b) and (c) of this section, and
WA, itself, (e) All of any municipality wholly
(b) All points within a line drawn 8 surrounded, or so surrounded except for
miles beyond the municipal limits of a water boundary, by the municipality
Spokane; of Tacoma or any other municipality
(c) All points within that area more included under the terms of paragraph
than 8 miles beyond the municipal lim- (d) of this section.
its of Spokane bounded by a line as fol-
lows: From the intersection of the line [45 FR 66460, Oct. 7, 1980. Redesignated at 55
FR 42198, Oct. 18, 1990, as amended at 62 FR
described in (b) of this section and U.S. 15422, Apr. 1, 1997; 66 FR 49870, Oct. 1, 2001; 78
Highway 2, thence westerly along U.S. FR 58478, Sept. 24, 2013]
Highway 2 to junction Brooks Road,
thence southerly along Brooks Road to § 372.233 Chicago, IL.
junction Hallett Road, thence easterly The zone adjacent to, and commer-
along Hallett Road to its intersection cially a part of Chicago, IL, within
with the line described in (b) of this which transportation by motor vehicle,
section; in interstate or foreign commerce, not
(d) All of any municipality any part under common control, management,
of which is within the limits of the or arrangement for a shipment to or
combined areas in paragraphs (b) and from such zone, is partially exempt
(c) of this section; and from regulation under 49 U.S.C.
(e) All of any municipality wholly 13506(b)(1), includes and is comprised of
surrounded, or so surrounded except for all points as follows:
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Federal Motor Carrier Safety Administration, DOT § 372.241
(b) All points within a line drawn 20 such zone, is partially exempt from
miles beyond the municipal limits of regulation under 49 U.S.C. 13506(b)(1).
Chicago; (b) To the extent that commercial
(c) All points in Lake County, IL. zones of municipalities within the four
(d) All of any municipality any part counties (as determined under § 372.241)
of which is within the limits of the extend beyond the boundaries of this
combined area defined in paragraphs four-county zone, the areas of such
(b) and (c) of this section, and commercial zones shall be considered
(e) All of any municipality wholly to be part of the zone and partially ex-
surrounded, or so surrounded except for empt from regulation under 49 U.S.C.
a water boundary, by the municipality 13506(b)(1).
of Chicago or any other municipality [51 FR 1815, Jan. 15, 1986. Redesignated at 55
included under the terms of paragraph FR 42198, Oct. 18, 1990, as amended at 62 FR
(d) of this section. 15422, Apr. 1, 1997]
[46 FR 11286, Feb. 6, 1981. Redesignated at 55
FR 42198, Oct. 18, 1990, as amended at 62 FR
§ 372.239 Definitions.
15422, Apr. 1, 1997; 78 FR 58479, Sept. 24, 2013] For the purposes of this part, the fol-
lowing terms are defined:
§ 372.235 New York, NY. (a) Municipality means any city,
The zone adjacent to, and commer- town, village, or borough which has
cially a part of, New York, NY, within been created by special legislative act
which transportation by motor vehicle, or which has been, otherwise, individ-
in interstate or foreign commerce, not ually incorporated or chartered pursu-
under common control, management, ant to general State laws, or which is
or arrangement for shipment to or recognized as such, under the Constitu-
from points beyond such zone is par- tion or by the laws of the State in
tially exempt from regulation under 49 which located, and which has a local
U.S.C. 13506(b)(1), includes and is com- government. It does not include a town
prised of all points as follows: of the township or New England type.
(a) The municipality of New York, (b) Contiguous municipalities means
NY, itself; municipalities, as defined in paragraph
(b) All points within a line drawn 20 (a) of this section, which have at some
miles beyond the municipal limits of point a common municipal or cor-
New York, NY; porate boundary.
(c) All points in Morris County, NJ; (c) Unincorporated area means any
(d) All of any municipality any part area not within the corporate or mu-
of which is within the limits of the nicipal boundaries of any municipality
combined areas defined in paragraphs as defined in paragraph (a) of this sec-
(b) and (c); and tion.
(e) All of any municipality wholly [32 FR 20048, Dec. 20, 1967]
surrounded, or so surrounded except by
a water boundary, by the municipality § 372.241 Commercial zones deter-
of New York or by any other munici- mined generally, with exceptions.
pality included under the terms of The commercial zone of each munici-
paragraph (d) of this section. pality in the United States, with the
[50 FR 34478, Aug. 26, 1985. Redesignated at 55 exceptions indicated in the note at the
FR 42198, Oct. 18, 1990, as amended at 62 FR end of this section, within which the
15422, Apr. 1, 1997] transportation of passengers or prop-
erty, in interstate or foreign com-
§ 372.237 Cameron, Hidalgo, Starr, and merce, when not under a common con-
Willacy Counties, TX. trol, management, or arrangement for
(a) Transportation within a zone a continuous carriage or shipment to
comprised of Cameron, Hidalgo, Starr, or from a point without such zone, is
and Willacy Counties, TX, by motor exempt from all provisions of 49 U.S.C.
carriers of property, in interstate or subtitle IV, part B shall be deemed to
foreign commerce, not under common consist of:
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§ 372.243 49 CFR Ch. III (10–1–20 Edition)
(b) All municipalities which are con- thereto, or by any municipality adja-
tiguous to the base municipality; cent thereto which is included in the
(c) All other municipalities and all commercial zone of such base munici-
unincorporated areas within the United pality under the provisions of para-
States which are adjacent to the base graph (c) of this section.
municipality as follows:
NOTE: Except: Municipalities the commer-
(1) When the base municipality has a cial zones of which have been or are here-
population less than 2,500 all unincor- after individually or specially determined.
porated areas within 3 miles of its cor-
porate limits and all of any other mu- [32 FR 20048, Dec. 20, 1967, as amended at 34
FR 9870, June 26, 1969; 34 FR 15482, Oct. 4,
nicipality any part of which is within 3
1969; 41 FR 56655, Dec. 29, 1976; 62 FR 15422,
miles of the corporate limits of the Apr. 1, 1997]
base municipality,
(2) When the base municipality has a § 372.243 Controlling distances and
population of 2,500 but less than 25,000 population data.
all unincorporated areas within 4 miles
In the application of § 372.241:
of its corporate limits and all of any
other municipality any part of which is (a) Air-line distances or mileages
within 4 miles of the corporate limits about corporate limits of municipali-
of the base municipality. ties shall be used.
(3) When the base municipality has a (b) The population of any munici-
population of 25,000 but less than pality shall be deemed to be the high-
100,000 all unincorporated areas within est figure shown for that municipality
6 miles of its corporate limits and all of in any decennial census since (and in-
any other municipality any part of cluding) the 1940 decennial census.
which is within 6 miles of the corporate (c) Contraction of municipal bound-
limits of the base municipality, and aries will not alter the size of commer-
(4) When the base municipality has a cial zones.
population of 100,000 but less than [32 FR 20040, Dec. 20, 1967, as amended at 37
200,000 all unincorporated areas within FR 15701, Aug. 4, 1972; 50 FR 10233, Mar. 14,
8 miles of its corporate limits and all 1985; 62 FR 15422, Apr. 1, 1997]
of any other municipality any part of
which is within 8 miles of the corporate § 372.245 New Mexico Commercial
limits of the base municipality. Zone.
(5) When the base municipality has a (a) Transportation within a zone
population of 200,000 but less than comprised of Dona Ana and Luna Coun-
500,000 all unincorporated areas within ties, NM, by motor carriers of prop-
10 miles of its corporate limits and all erty, in interstate or foreign com-
of any other municipality any part of merce, not under common control,
which is within 10 miles of the cor- management, or arrangement for ship-
porate limits of the base municipality. ment to or from points beyond such
(6) When the base municipality has a zone is partially exempt from regula-
population of 500,000 but less than 1 tion under 49 U.S.C. 13506(b)(1).
million, all unincorporated areas with- (b) To the extent that commercial
in 15 miles of its corporate limits and zones of municipalities within the two
all of any other municipality any part counties (as determined under § 372.241)
of which is within 15 miles of the cor- extend beyond the boundaries of this
porate limits of the base municipality. two county zone, the areas of such
(7) When the base municipality has a commercial zones shall be considered
population of 1 million or more, all un- to be part of the zone and partially ex-
incorporated areas within 20 miles of empted from regulation under 49 U.S.C.
its corporate limits and all of any 13506(b)(1).
other municipality any part of which is
within 20 miles of the corporate limits [81 FR 9121, Feb. 24, 2016]
of the base municipality, and
(d) All municipalities wholly sur- § 372.247 City of El Paso, TX.
rounded, or so surrounded except for a The zone adjacent to, and commer-
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water boundary, by the base munici- cially a part of El Paso, TX, within
pality, by any municipality contiguous which transportation of passengers or
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Federal Motor Carrier Safety Administration, DOT § 372.303
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Pt. 373 49 CFR Ch. III (10–1–20 Edition)
so wholly surrounded except for a The carrier shall keep a record of this
water boundary. information as prescribed in 49 CFR
part 379.
[32 FR 20049, Dec. 20, 1967, as amended at 41
FR 56655, Dec. 29, 1976; 51 FR 44297, Dec. 9, [55 FR 11198, Mar. 27, 1990, as amended at 56
1986; 62 FR 15423, Apr. 1, 1997] FR 30874, July 8, 1991; 62 FR 15423, Apr. 1,
1997; 81 FR 68345, Oct. 4, 2016]
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Federal Motor Carrier Safety Administration, DOT Pt. 374
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§ 374.1 49 CFR Ch. III (10–1–20 Edition)
374.403 Notice of passenger’s ability to de- identification stubs, or checks, it shall be
clare excess value on baggage. sufficient for the purposes of § 374.103 that
374.405 Baggage excess value declaration the notice appear only once on the ticket
procedures. and be placed on the face of that portion of
the ticket which is held by the passenger.
Subpart E—Incidental Charter Rights
[36 FR 1338, Jan. 28, 1971. Redesignated at 61
374.501 Applicability. FR 54709, Oct. 21, 1996, as amended at 62 FR
374.503 Authority. 15423, Apr. 1, 1997; 81 FR 68345, Oct. 4, 2016]
374.505 Exceptions.
AUTHORITY: 49 U.S.C. 13301 and 14101; and 49 § 374.105 Discrimination in terminal
CFR 1.87. facilities.
No motor carrier of passengers sub-
§ 374.1 Applicability. ject to 49 U.S.C. subtitle IV, part B
This part applies to motor carriers shall in the operation of vehicles in
subject to 49 U.S.C. subtitle IV, part B interstate or foreign commerce pro-
(secs. 13101–14916). vide, maintain arrangements for, uti-
[81 FR 68345, Oct. 4, 2016] lize, make available, adhere to any un-
derstanding for the availability of, or
Subpart A—Discrimination in Op- follow any practice which includes the
availability of, any terminal facilities
erations of Interstate Motor which are so operated, arranged, or
Carriers of Passengers maintained as to involve any separa-
tion of any portion thereof, or in the
SOURCE: 36 FR 1338, Jan. 28, 1971, unless use thereof on the basis of race, color,
otherwise noted. Redesignated at 61 FR 54709, creed, or national origin.
Oct. 21, 1996.
[36 FR 1338, Jan. 28, 1971. Redesignated at 61
§ 374.101 Discrimination prohibited. FR 54709, Oct. 21, 1996, as amended at 62 FR
No motor carrier of passengers sub- 15423, Apr. 1, 1997; 81 FR 68345, Oct. 4, 2016]
ject to 49 U.S.C. subtitle IV, part B
shall operate a motor vehicle in inter- § 374.107 Notice to be posted at ter-
minal facilities.
state or foreign commerce on which
the seating of passengers is based upon No motor carrier of passengers sub-
race, color, creed, or national origin. ject to 49 U.S.C. subtitle IV, part B
shall in the operation of vehicles in
[36 FR 1338, Jan. 28, 1971. Redesignated at 61
FR 54709, Oct. 21, 1996, as amended at 62 FR interstate or foreign commerce utilize
15423, Apr. 1, 1997; 81 FR 68345, Oct. 4, 2016] any terminal facility in which there is
not conspicuously displayed and main-
§ 374.103 Notice to be printed on tick- tained so as to be readily visible to the
ets. public a plainly legible sign or placard
Every motor carrier of passengers containing the full text of these regula-
subject to 49 U.S.C. subtitle IV, part B tions. Such sign or placard shall be
shall cause to be printed on every tick- captioned: ‘‘Public Notice: Regulations
et sold by it for transportation on any Applicable to Vehicles and Terminal
vehicle operated in interstate or for- Facilities of Interstate Motor Carriers
eign commerce a plainly legible notice of Passengers, by order of the Sec-
as follows: ‘‘Seating aboard vehicles retary, U.S. Department of Transpor-
operated in interstate or foreign com- tation.’’
merce is without regard to race, color, [36 FR 1338, Jan. 28, 1971. Redesignated at 61
creed, or national origin.’’ FR 54709, Oct. 21, 1996, as amended at 62 FR
NOTE: The following interpretation of the 15423, Apr. 1, 1997; 81 FR 68345, Oct. 4, 2016]
provisions of § 374.103 (formerly § 1055.2) ap-
pears at 27 FR 230, Jan. 9, 1962: § 374.109 Carriers not relieved of exist-
The words, ‘‘Seating aboard vehicles oper- ing obligations.
ated in interstate or foreign commerce is
Nothing in this regulation shall be
without regard to race, color, creed, or na-
tional origin’’, should appear on the face of construed to relieve any interstate
motor carrier of passengers subject to
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Federal Motor Carrier Safety Administration, DOT § 374.303
§ 374.303 Definitions.
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§ 374.305 49 CFR Ch. III (10–1–20 Edition)
(b) Bus means a passenger-carrying ets for such services are sold. Each
vehicle, regardless of design or seating schedule shall show the points along
capacity, used in a carrier’s authorized the carrier’s route(s) where facilities
operations. are located or where the bus trips
(c) Facility means any structure pro- originate or terminate, and each sched-
vided by or for a carrier at or near ule shall indicate the arrival or depar-
which buses pick up or discharge pas- ture time for each such point.
sengers. (d) Ticket refunds. Each carrier shall
(d) Terminal means a facility operated refund unused tickets upon request,
or used by a carrier chiefly to furnish consistent with its governing tariff, at
passengers transportation services and each place where tickets are sold, with-
accommodations. in 30 days after the request.
(e) Station means a facility, other (e) Announcements. No scheduled bus
than a terminal, operated by or for a (except in commuter service) shall de-
carrier to accommodate passengers. part from a terminal or station until a
(f) Service means passenger transpor- public announcement of the departure
tation by bus over regular routes. and boarding point has been given. The
(g) Commuter service, means passenger announcement shall be given at least 5
transportation wholly between points minutes before the initial departure
not more than 100 airline miles apart and before departures from points
and not involving through-bus, con- where the bus is scheduled to stop for
necting, or interline services to or from more than 5 minutes.
points beyond 100 airline miles. The
usual characteristics of commuter § 374.307 Baggage service.
service include reduced fare, multiple- (a) Checking procedures. (1) Carriers
ride, and commutation tickets, and shall issue receipts, which may be in
peak morning and evening operations. the form of preprinted tickets, for all
(h) Baggage means property a pas- checked services baggage.
senger takes with him for his personal (2)(i) If baggage checking service is
use or convenience. not provided at the side of the bus, all
(i) Restroom means a room in a bus or baggage checked at a baggage checking
terminal equipped with a toilet, wash- counter at least 30 minutes but not
bowl, soap or a reasonable alternative, more than 1 hour before departure
mirror, wastebasket, and toilet paper. shall be transported on the same sched-
[55 FR 11199, Mar. 27, 1990, as amended at 66 ule as the ticketed passenger.
FR 49871, Oct. 1, 2001; 68 FR 56198, Sept. 30, (ii) If baggage checking service is
2003; 74 FR 2901, Jan. 16, 2009; 81 FR 68345, provided at the side of the bus, pas-
Oct. 4, 2016] sengers checking baggage at the bag-
gage checking counter less than 30
§ 374.305 Ticketing and information. 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-
(c) Schedules. Printed, regular-route ticles offered as checked baggage, un-
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schedules shall be provided to the trav- less those articles have been exempted
eling public at all facilities where tick- by the Secretary. (Other liability is
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Federal Motor Carrier Safety Administration, DOT § 374.311
subject to subpart D of this part). A no- tional information, and the claim
tice listing exempted articles shall be check, for which a receipt shall be
prominently posted at every location given. The passenger shall retain the
where baggage is accepted for check- duplicate copy.
ing. (3) The carrier shall make immediate
(2) Carriers may refuse to accept as and diligent efforts to recover lost bag-
checked baggage and, if unknowingly gage.
accepted, may disclaim liability for (4) A passenger may fill out a tracing
loss or damage to the following arti- form for lost unchecked baggage. The
cles: carrier shall forward recovered un-
(i) Articles whose transportation as checked baggage to the terminal or
checked baggage is prohibited by law station nearest the address shown on
or regulation; the tracing form and shall notify the
(ii) Fragile or perishable articles, ar- passenger that the baggage will be held
ticles whose dimensions exceed the size on a will-call basis.
limitations in the carrier’s tariff, re-
(g) Settlement of claims. Notwith-
ceptacles with articles attached or pro-
standing 49 CFR 370.9, if lost checked
truding, guns, and materials that have
baggage cannot be located within 15
a disagreeable odor;
days, the carrier shall immediately
(iii) Money; and
process the matter as a claim. The date
(iv) Those other articles that the
on which the carrier or its agent re-
Secretary exempts upon petition by
the carrier. ceived the tracing form shall be consid-
(3) Carriers need not offer excess ered the first day of a 60-day period in
value coverage on articles of extraor- which a claim must be resolved by a
dinary value (including, but not lim- firm offer of settlement or by a written
ited to, negotiable instruments, papers, explanation of denial of the claim.
manuscripts, irreplaceable publica- [55 FR 11199, Mar. 27, 1990. Redesignated at 61
tions, documents, jewelry, and watch- FR 54709, Oct. 21, 1996, as amended at 62 FR
es). 15423, Apr. 1, 1997]
(d) Express shipments. Passengers and
their baggage always take precedence § 374.309 Terminal facilities.
over express shipments. (a) Passenger security. All terminals
(e) Baggage at destination. All checked and stations must provide adequate se-
baggage shall be made available to the curity for passengers and their attend-
passenger within a reasonable time, ants and be regularly patrolled.
not to exceed 30 minutes, after arrival (b) Outside facilities. At terminals and
at the passenger’s destination. If not, stations that are closed when buses are
the carrier shall deliver the baggage to scheduled to arrive or depart, there
the passenger’s local address at the shall be available, to the extent pos-
carrier’s expense. sible, a public telephone, outside light-
(f) Lost or delayed baggage. (1) ing, posted schedule information, over-
Checked baggage that cannot be lo- head shelter, information on local ac-
cated within 1 hour after the arrival of commodations, and telephone numbers
the bus upon which it was supposed to for local taxi service and police.
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
with an appropriate tracing form. § 374.311 Service responsibility.
(2) Every carrier shall make avail-
able at each ticket window and bag- (a) Schedules. Carriers shall establish
gage counter a single form suitable schedules that can be reasonably met,
both for tracing and for filing claims including connections at junction
for lost or misplaced baggage. The points, to serve adequately all 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 displaying con-
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shall receive the signed original, with spicuously a notice in each facility and
any necessary documentation and addi- on each bus affected. Such notice shall
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§ 374.313 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 374.405
(a) The amount for which liability is Free luggage tags are available at all ticket
limited is $250 or greater per adult fare; windows and baggage counters.
and
The statement of charges for excess
(b) The provisions permit the pas- value declaration shall be clear, and
senger, for an additional charge, to de- any other pertinent provisions may be
clare a value in excess of the limited added at the bottom in clear and read-
amount, and allow the passenger to re- able print.
cover the increased amount (but not
(c) The notice referred to in para-
higher than the actual value) in event
graphs (a) and (b) of this section shall
of loss or damage. The carriers may
be (1) placed in a position near the
publish a maximum value for which
ticket seller, sufficiently conspicuous
they will be liable, but that maximum
to apprise the public of its provisions,
value may not be less than $1,000. Ap-
(2) placed on a form to be attached to
propriate identification must be at-
each ticket issued (and the ticket sell-
tached securely by the passenger to
er shall, where possible, provide oral
each item of baggage checked, indi-
notice to each ticket purchaser to read
cating in a clear and legible manner
the form attached to the ticket), (3)
the name and address to which the bag-
placed in a position at or near any lo-
gage should be forwarded if lost and
cation where baggage may be checked,
subsequently recovered. Identification
sufficiently conspicuous to apprise
tags shall be made immediately avail-
each passenger checking baggage of its
able by the carriers to passengers upon
provisions, and (4) placed in a position
request.
at each boarding point or waiting area
(c) Carriers need not offer excess used by the carrier at facilities main-
value coverage on articles listed in tained by the carrier or its agents, suf-
§ 374.307(c)(3). ficiently conspicuous to apprise each
[81 FR 68345, Oct. 4, 2016] boarding passenger of the provisions of
the said notice.
§ 374.403 Notice of passenger’s ability
[40 FR 1249, Jan. 7, 1975, as amended at 62 FR
to declare excess value on baggage.
15423, Apr. 1, 1997; 81 FR 68345, Oct. 4, 2016]
(a) All motor carriers of passengers
and baggage subject to 49 U.S.C. sub- § 374.405 Baggage excess value dec-
title IV, part B, which provide in their laration procedures.
tariffs for the declaration of baggage in All motor carriers of passengers and
excess of a free baggage allowance lim- baggage subject to 49 U.S.C. subtitle
itation, shall provide clear and ade- IV, part B, which provide in their tar-
quate notice to the public of the oppor- iffs for the declaration of baggage
tunity to declare such excess value on value in excess of a free baggage allow-
baggage. ance limitation, shall provide for the
(b) The notice referred to in para- declaration of excess value on baggage
graph (a) of this section shall be in at any time or place where provision is
large and clear print, and shall state as made for baggage checking, including
follows: (a) at a baggage checking counter until
15 minutes before scheduled boarding
NOTICE—BAGGAGE LIABILITY
time, and (b) at the side of the bus or
This motor carrier is not liable for loss or at a baggage checking counter in rea-
damage to properly identified baggage in an sonable proximity to the boarding area
amount exceeding $ll. If a passenger de- during boarding at a terminal or any
sires additional coverage for the value of his authorized 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; 81 FR 68346, Oct. 4, 2016]
as follows:
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§ 374.501 49 CFR Ch. III (10–1–20 Edition)
SOURCE: 54 FR 46619, Nov. 6, 1989, unless Metropolitan Area Transportation
otherwise noted. Redesignated at 61 FR 54709, Commission.
Oct. 21, 1996. (d) A private or public recipient of
governmental assistance (within the
§ 374.501 Applicability.
meaning of 49 U.S.C. 13902(b)(8)) may
The regulations in this part apply to provide service under incidental char-
incidental charter rights authorized ter rights only for special or chartered
under 49 U.S.C. 13506. These regulations parties originating in the area in which
do not apply to interpreting authority the private or public recipient provides
contained in a certificate to transport regularly scheduled mass transpor-
passengers in special and/or charter op- tation services under the specific quali-
erations. fying certificate that confers its inci-
[54 FR 46619, Nov. 6, 1989. Redesignated at 61 dental charter rights.
FR 54709, Oct. 21, 1996, as amended at 62 FR [54 FR 46619, Nov. 6, 1989. Redesignated at 61
15423, Apr. 1, 1997; 81 FR 68346, Oct. 4, 2016] FR 54709, Oct. 21, 1996, as amended at 62 FR
15423, Apr. 1, 1997]
§ 374.503 Authority.
Motor carriers transporting pas- PART 375—TRANSPORTATION OF
sengers, in interstate or foreign com- HOUSEHOLD GOODS IN INTER-
merce, over regular routes authorized
in a certificate issued as a result of an
STATE COMMERCE; CONSUMER
application filed before January 2, 1967, PROTECTION REGULATIONS
may transport special or chartered par-
ties, in interstate or foreign commerce, Subpart A—General Requirements
between any points and places in the Sec.
United States (including Alaska and 375.101 Who must follow these regulations
Hawaii). The term ‘‘special or char- in this part?
tered party’’ means a group of pas- 375.103 What are the definitions of terms
sengers who, with a common purpose used in this part?
375.105 What are the information collection
and under a single contract, and at a requirements of this part?
fixed charge for the vehicle in accord-
ance with the carrier’s tariff, have ac- Subpart B—Before Offering Services to My
quired the exclusive use of a passenger- Customers
carrying motor vehicle to travel to-
gether as a group to a specified des- LIABILITY CONSIDERATIONS
tination or for a particular itinerary. 375.201 What is my normal liability for loss
and damage when I accept goods from an
§ 374.505 Exceptions. individual shipper?
375.203 What actions of an individual ship-
(a) Incidental charter rights do not
per may limit or reduce my normal li-
authorize the transportation of pas- ability?
sengers to whom the carrier has sold
individual tickets or with whom the GENERAL RESPONSIBILITIES
carrier has made separate and indi- 375.205 May I have agents?
vidual transportation arrangements. 375.207 What items must be in my advertise-
(b) Service provided under incidental ments?
charter rights may not be operated be- 375.209 How must I handle complaints and
tween the same points or over the same inquiries?
375.211 Must I have an arbitration program?
route so frequently as to constitute a
375.213 What information must I provide to
regular-route service. a prospective individual shipper?
(c) Passenger transportation within
the Washington Metropolitan Area COLLECTING TRANSPORTATION CHARGES
Transit District (as defined in the 375.215 How must I collect charges?
Washington Metropolitan Area Trans- 375.217 May I collect charges upon delivery?
portation Regulation Compact, Pub. L. 375.219 May I extend credit to shippers?
No. 86–794, 74 Stat. 1031 (1960), as 375.221 May I use a charge or credit card
amended by Pub. L. No. 87–767, 76 Stat. plan for payments?
(1962) is not authorized by these regula-
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Federal Motor Carrier Safety Administration, DOT § 375.103
375.303 If I sell liability insurance coverage, 375.705 If a shipment is transported on more
what must I do? than one vehicle, what charges may I
collect at delivery?
Subpart D—Estimating Charges 375.707 If a shipment is partially lost or de-
stroyed, what charges may I collect at
375.401 Must I estimate charges? delivery?
375.403 How must I provide a binding esti- 375.709 If a shipment is totally lost or de-
mate? stroyed, what charges may I collect at
375.405 How must I provide a non-binding delivery?
estimate?
375.407 Under what circumstances must I re- Subpart H—Collection of Charges
linquish possession of a collect-on-deliv-
ery shipment transported under a non- 375.801 What types of charges apply to sub-
binding estimate? part H?
375.409 May household goods brokers pro- 375.803 How must I present my freight or ex-
vide estimates? pense bill?
375.805 If I am forced to relinquish a collect-
Subpart E—Pick Up of Shipments of on-delivery shipment before the payment
Household Goods of ALL charges, how do I collect the bal-
ance?
BEFORE LOADING 375.807 What actions may I take to collect
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: 49 U.S.C. 13102, 13301, 13501,
a shipment?
13704, 13707, 13902, 14104, 14706, 14708; subtitle
375.511 May I use an alternative method for B, title IV of Pub. L. 109–59; and 49 CFR 1.87.
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? Subpart A—General Requirements
375.517 May an individual shipper demand
re-weighing? § 375.101 Who must follow the regula-
375.519 Must I obtain weight tickets? tions in this part?
375.521 What must I do if an individual ship-
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
the regulations in this part when offer-
Subpart F—Transportation of Shipments 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 for individual shippers by motor vehi-
delivery? cle in interstate commerce. Interstate
375.605 How must I notify an individual commerce is defined in § 390.5 of this
shipper of any service delays? subchapter.
375.607 What must I do if I am able to tender
a shipment for final delivery more than [72 FR 36771, July 5, 2007]
24 hours before a specified date?
375.609 What must I do for shippers who § 375.103 What are the definitions of
store household goods in transit? terms used in this part?
Terms used in this part are defined as
Subpart G—Delivery of Shipments follows. You may find other terms used
375.701 May I provide for a release of liabil-
in these regulations defined in 49
ity on my delivery receipt? U.S.C. 13102. The definitions contained
in this statute control. If terms are
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§ 375.103 49 CFR Ch. III (10–1–20 Edition)
the terms will have the ordinary prac- Government bill of lading shipper
tical meaning of such terms. means any person whose property is
Advertisement means any communica- transported under the terms and condi-
tion to the public in connection with tions of a government bill of lading
an offer or sale of any interstate house- issued by any department or agency of
hold goods transportation service. This the Federal government to the carrier
includes written or electronic database responsible for the transportation of
listings of your name, address, and the shipment.
telephone number in an on-line data- Household goods, as used in connec-
base or displayed on an Internet web tion with transportation, means the
site. This excludes listings of your personal effects or property used, or to
name, address, and telephone number be used, in a dwelling, when part of the
in a telephone directory or similar pub- equipment or supplies of the dwelling.
lication. However, Yellow Pages adver- Transportation of the household goods
tising is included in the definition. must be arranged and paid for by the
Cashier’s check means a check that individual shipper or by another indi-
has all four of the following character- vidual on behalf of the shipper. House-
istics: hold goods includes property moving
(1) Drawn on a bank as defined in 12 from a factory or store if purchased
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. (4) The term does not include any
Force majeure means a defense pro- motor carrier that acts as a service for
tecting the parties in the event that a the delivery of furniture, appliances, or
part of the contract cannot be per- other furnishings between a factory or
formed due to causes which are outside a store and an individual’s household.
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the control of the parties and could not Individual shipper means any person
be avoided by exercise of due care. who—
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Federal Motor Carrier Safety Administration, DOT § 375.201
(1) Is the shipper, consignor, or con- and service terms applicable to any
signee of a household goods shipment; given shipment.
(2) Is identified as the shipper, con- We, us, and our means the Federal
signor, or consignee on the face of the Motor Carrier Safety Administration
bill of lading; (FMCSA).
(3) Owns the goods being transported; You and your means a household
and goods motor carrier engaged in the
(4) Pays his or her own tariff trans- interstate transportation of household
portation charges goods and its household goods agents.
May means an option. You may do [68 FR 35091, June 11, 2003, as amended at 72
something, but it is not a requirement. FR 36771, July 5, 2007; 77 FR 36934, June 20,
2012; 77 FR 59823, Oct. 1, 2012]
Must means a legal obligation. You
must do something. § 375.105 What are the information col-
Order for service means a document lection requirements of this part?
authorizing you to transport an indi- (a) The information collection re-
vidual shipper’s household goods. quirements of this part have been re-
Reasonable dispatch means the per- viewed by the Office of Management
formance of transportation on the and Budget pursuant to the Paperwork
dates, or during the period, agreed Reduction Act of 1995 (44 U.S.C. 3501 et
upon by you and the individual shipper seq.) and have been assigned OMB con-
and shown on the Order For Service/ trol number 2126–0025.
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: §§ 375.205, 375.207, 375.209,
fers to pay the binding estimate or 110 375.211, 375.213, 375.215, 375.217, 375.303,
percent of a non-binding estimate, you 375.401, 375.403, 375.405, 375.409, 375.501,
have not transported the goods with 375.503, 375.505, 375.507, 375.515, 375.519,
reasonable dispatch. The term ‘‘rea- 375.521, 375.605, 375.607, 375.609, 375.803,
sonable dispatch’’ excludes transpor- 375.805, and 375.807.
tation provided under your tariff provi-
[69 FR 10575, Mar. 5, 2004, as amended at 78
sions requiring guaranteed service FR 58479, Sept. 24, 2013]
dates. You will have the defenses of
force majeure, i.e., superior or irresist-
ible force, as construed by the courts. Subpart B—Before Offering
Should means a recommendation. We Services to My Customers
recommend you do something, but it is LIABILITY CONSIDERATIONS
not a requirement.
Surface Transportation Board means § 375.201 What is my normal liability
an agency within the Department of for loss and damage when I accept
Transportation. The Surface Transpor- goods from an individual shipper?
tation Board regulates household goods (a) In general, you are legally liable
carrier tariffs among other responsibil- for loss or damage if it happens during
ities. performance of any transportation of
Tariff means an issuance (in whole or household goods and all related serv-
in part) containing rates, rules, regula- ices identified on your lawful bill of
tions, classifications or other provi- lading.
sions related to a motor carrier’s (b) Full Value Protection Obliga-
transportation services. The Surface tion—In general, your liability is for
Transportation Board requires a tariff the household goods that are lost, dam-
contain specific items under § 1312.3(a) aged, destroyed, or otherwise not deliv-
of this title. These specific items in- ered to the final destination in an
clude an accurate description of the amount equal to the replacement value
services offered to the public and the of the household goods. The maximum
specific applicable rates (or the basis amount is the declared value of the
for calculating the specific applicable shipment. The declared value is subject
rates) and service terms. A tariff must to rules issued by the Surface Trans-
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be arranged in a way that allows for portation Board (STB) and applicable
the determination of the exact rate(s) tariffs.
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§ 375.203 49 CFR Ch. III (10–1–20 Edition)
the declared value of the entire ship- whose operating authority the adver-
ment. tised service will originate.
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Federal Motor Carrier Safety Administration, DOT § 375.211
(2) Your U.S. DOT number, assigned (iii) A disclosure of the legal effects
by us authorizing you to operate as a of election to use arbitration.
for-hire motor carrier transporting (3) Upon the individual shipper’s re-
household goods. quest, you must provide information
(c) Your FMCSA-assigned U.S. DOT and forms you consider necessary for
number must be displayed only in the initiating an action to resolve a dis-
following form in every advertisement: pute under arbitration.
U.S. DOT No. (assigned number). (4) You must require each person you
authorize to arbitrate to be inde-
§ 375.209 How must I handle com- pendent of the parties to the dispute
plaints and inquiries? and capable of resolving such disputes,
(a) You must establish and maintain and you must ensure the arbitrator is
a procedure for responding to com- authorized and able to obtain from you
plaints and inquiries from your indi- or the individual shipper any material
vidual shippers. or relevant information to carry out a
(b) Your procedure must include all fair and expeditious decisionmaking
three of the following items: process.
(1) A communications system allow- (5) You must not charge the indi-
ing individual shippers to commu- vidual shipper more than one-half of
nicate with your principal place of the total cost for instituting the arbi-
business by telephone. tration proceeding against you. In the
(2) A telephone number. arbitrator’s decision, the arbitrator
(3) A system for recording in writing may determine which party must pay
all inquiries and complaints received the cost or a portion of the cost of the
from an individual shipper by any arbitration proceeding, including the
means of communication. cost of instituting the proceeding.
(c) You must produce a clear and con- (6) You must refrain from requiring
cise written description of your proce- the individual shipper to agree to use
dure for distribution to individual ship- arbitration before a dispute arises.
pers. (7) Arbitration must be binding for
[68 FR 35091, June 11, 2003, as amended at 77
claims of $10,000 or less, if the indi-
FR 36934, June 20, 2012; 77 FR 59824, Oct. 1, vidual shipper requests arbitration.
2012; 83 FR 16224, Apr. 16, 2018] (8) Arbitration must be binding for
claims of more than $10,000, if the indi-
§ 375.211 Must I have an arbitration vidual shipper requests arbitration and
program? the carrier agrees to it.
(a) You must have an arbitration pro- (9) If all parties agree, the arbitrator
gram for individual shippers to resolve may provide for an oral presentation of
disputes about property loss and dam- a dispute by a party or representative
age and disputes about whether carrier of a party.
charges in addition to those collected (10) The arbitrator must render a de-
at delivery must be paid. You must es- cision within 60 days of receipt of writ-
tablish and maintain an arbitration ten notification of the dispute, and a
program with the following 11 min- decision by an arbitrator may include
imum elements: any remedies appropriate under the
(1) You must design your arbitration circumstances.
program to prevent you from having (11) The arbitrator may extend the
any special advantage in any case 60-day period for a reasonable period if
where the claimant resides or does you or the individual shipper fail to
business at a place distant from your provide, in a timely manner, any infor-
principal or other place of business. mation the arbitrator reasonably re-
(2) Before execution of the order for quires to resolve the dispute.
service, you must provide notice to the (b) You must produce and distribute
individual shipper of the availability of a concise, easy-to-read, accurate sum-
neutral arbitration, including all three mary of your arbitration program, in-
of the following items: cluding the items in this section.
(i) A summary of the arbitration pro-
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§ 375.213 49 CFR Ch. III (10–1–20 Edition)
§ 375.213 What information must I pro- consistent with the text and general
vide to a prospective individual order of appendix A to this part. The
shipper? following three items also apply:
(a) When you provide the written es- (1) If we, the Federal Motor Carrier
timate to a prospective individual ship- Safety Administration, choose to mod-
per, you must also provide the indi- ify the text or general order of appen-
vidual shipper with the DOT publica- dix A, we will provide the public appro-
tion titled ‘‘Ready to Move?—Tips for a priate notice in the FEDERAL REGISTER
Successful Interstate Move’’ (Depart- and an opportunity for comment as re-
ment of Transportation publication quired by part 389 of this chapter be-
FMCSA–ESA–03–005, or its successor fore making you change anything.
publication). You must provide the in- (2) If you publish the document, you
dividual shipper with a copy or provide may choose the dimensions of the pub-
a hyperlink on your internet website to lication as long as the type font size is
the FMCSA website containing that 10 points or larger and the size of the
publication. booklet is at least as large as 36 square
(b) Before you execute an order for inches (232 square centimeters).
service for a shipment of household (3) If you publish the document, you
goods, you must furnish to your pro- may choose the color and design of the
spective individual shipper all five of front and back covers of the publica-
the following documents: tion. The following words must appear
(1) The contents of appendix A of this prominently on the front cover in 12-
part, titled ‘‘Your Rights and Respon- point or larger bold or full-faced type:
sibilities When You Move’’ (Depart- ‘‘Your Rights and Responsibilities
ment of Transportation publication When You Move. Furnished by Your
FMCSA–ESA–03–006, or its successor Mover, as Required by Federal Law.’’
publication). You must provide the in- You may substitute your name or
dividual shipper with a copy or provide trade name in place of ‘‘Your Mover’’ if
a hyperlink on your internet website to you wish (for example, Furnished by
the FMCSA website containing the in- XYZ Van Lines, as Required by Federal
formation in FMCSA’s publication Law).
‘‘Your Rights and Responsibilities (d) Paragraphs (c)(2) and (c)(3) of this
When You Move.’’ 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, the Code of Federal Regula-
(3) A notice of the availability of the tions, or on FMCSA’s Web site.
applicable sections of your tariff for (e) If an individual shipper elects to
the estimate of charges, including an waive receipt of the Federal consumer
explanation that individual shippers protection information by one of the
may examine these tariff sections or methods described in paragraphs (a)
have copies sent to them upon request. and (b)(1) of this section, and elects to
(4) A concise, easy-to-read, accurate access the same information via the
summary of your arbitration program. hyperlink on the internet:
(5) A concise, easy-to-read, accurate (1) You must include a clear and con-
summary of your customer complaint cise statement on the written estimate
and inquiry handling procedures. In- described in § 375.401 that the individual
cluded in this description must be both shipper expressly agreed to access the
of the following two items: Federal consumer protection informa-
(i) The main telephone number the tion on the Internet.
individual shipper may use to commu- (2) You must obtain a signed, dated
nicate with you. receipt showing the individual shipper
(ii) A clear and concise statement has received both booklets that in-
concerning who must pay for telephone cludes, if applicable, verification of the
calls. shipper’s agreement to access the Fed-
(c) To comply with paragraph (b)(1) eral consumer protection information
of this section, you must ensure that on the internet.
the text and general order of the docu- (3) You must maintain the signed re-
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Federal Motor Carrier Safety Administration, DOT § 375.301
the individual shipper signs the re- § 375.219 May I extend credit to ship-
ceipt. You are not required to maintain pers?
the signed receipt when you do not ac- You may extend credit to shippers,
tually transport household goods or but, if you do, it must be in accordance
perform related services for the indi- with § 375.807.
vidual shipper who signed the receipt.
§ 375.221 May I use a charge or credit
[72 FR 36772, July 5, 2007, as amended at 75
card plan for payments?
FR 72998, Nov. 29, 2010; 77 FR 41704, Nov. 13,
2012; 83 FR 16224, Apr. 16, 2018] (a) You may provide in your tariff for
the acceptance of charge or credit
COLLECTING TRANSPORTATION CHARGES cards for the payment of freight
charges. Accepting charge or credit
§ 375.215 How must I collect charges? card payments is different than extend-
You must issue an honest, truthful ing credit to shippers in §§ 375.219 and
freight or expense bill in accordance 375.807. Once you provide an estimate
with subpart A of part 373 of this chap- you are bound by the provisions in
ter. All rates and charges for the trans- your tariff regarding payment as of the
portation and related services must be estimate date, until completion of any
in accordance with your appropriately transaction that results from that esti-
published tariff provisions in effect, in- mate, unless otherwise agreed with a
cluding the method of payment. shipper under § 375.217(a).
(b) You may accept charge or credit
§ 375.217 How must I collect charges cards whenever shipments are trans-
upon delivery? ported under agreements and tariffs re-
(a) You must specify the form of pay- quiring payment by cash, certified
ment when you prepare the estimate. check, money order, or a cashier’s
You and your agents must honor the check.
form of payment at delivery, except (c) If you allow an individual shipper
when a shipper agrees to a change in to pay for a freight or expense bill by
writing. charge or credit card, you are deeming
such payment to be the same as pay-
(b) You must specify the same form
ment by cash, certified check, money
of payment provided in paragraph (a) of
order, or a cashier’s check.
this section when you prepare the
(d) The charge or credit card plans
order for service and the bill of lading.
you participate in must be identified in
(c) Charge or credit card payments: your tariff rules as items permitting
(1) If you agree to accept payment by the acceptance of the charge or credit
charge or credit card, you must ar- cards.
range with the individual shipper for (e) If an individual shipper causes a
the delivery only at a time when you charge or credit card issuer to reverse
can obtain authorization for the ship- a charge transaction, you may consider
per’s credit card transaction. the individual shipper’s action tanta-
(2) Paragraph (c)(1) of this section mount to forcing you to provide an in-
does not apply to you when you have voluntary extension of your credit. In
equipped your motor vehicle(s) to proc- such instances, the rules in § 375.807
ess card transactions. apply.
(d) You may maintain a tariff setting
forth nondiscriminatory rules gov- Subpart C—Service Options
erning collect-on-delivery service and
the collection of collect-on-delivery
Provided
funds. § 375.301 What service options may I
(e) If an individual shipper pays you provide?
at least 110 percent of the approximate (a) You may design your household
costs of a non-binding estimate on a goods service to provide individual
collect-on-delivery shipment, you must shippers with a wide range of special-
relinquish possession of the shipment ized service and pricing features. Many
at the time of delivery. carriers provide at least the following
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§ 375.303 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 375.403
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§ 375.403 49 CFR Ch. III (10–1–20 Edition)
(ii) Negotiate a revised written bind- operations (as defined in your carrier
ing estimate accurately listing, in de- tariff) not to exceed 15 percent of all
tail, the additional household goods or other charges due at delivery. You
services. must bill and collect from the indi-
(iii) Agree with the individual ship- vidual shipper any applicable charges
per, in writing, that both of you will not collected at delivery in accordance
consider the original binding estimate with subpart H of this part.
as a non-binding estimate subject to (10) Failure to relinquish possession
§ 375.405. of a shipment upon the individual ship-
(7) Once you load a shipment, failure per’s offer to pay the binding estimate
to execute a new binding estimate or a
amount (or, in the case of a partial de-
non-binding estimate signifies you
livery, a prorated percentage of the
have reaffirmed the original binding
estimate. You may not collect more binding estimate as set forth in para-
than the amount of the original bind- graph (a)(11) of this section) plus
ing estimate, except as provided in charges for any additional services re-
paragraphs (a)(8) and (9) of this section. quested by the shipper after the bill of
(8) If you believe additional services lading has been issued and charges, if
are necessary to properly service a applicable, for impracticable oper-
shipment after the bill of lading has ations (subject to a maximum amount
been issued, you must inform the indi- as set forth in paragraph 9 of this sec-
vidual shipper what the additional tion), constitutes a failure to transport
services are before performing those a shipment with ‘‘reasonable dispatch’’
services. You must allow the shipper at and subjects you to cargo delay claims
least one hour to determine whether he pursuant to part 370 of this chapter.
or she wants the additional services (11) If you make only a partial deliv-
performed. If the individual shipper ery of the shipment, you may not de-
agrees to pay for the additional serv- mand upon delivery full payment of the
ices, you must execute a written at- binding estimate. You may demand
tachment to be made an integral part only a prorated percentage of the bind-
of the bill of lading contract and have ing estimate. The prorated percentage
the individual shipper sign the written must be the percentage of the weight of
attachment. This may be done through
that portion of the shipment delivered
fax transmissions; e-mail; overnight
relative to the total weight of the ship-
courier; or certified mail, return re-
ment. For example, if you deliver only
ceipt requested. You must bill the indi-
vidual shipper for the additional serv- 2,500 pounds of a shipment weighing
ices after 30 days from delivery. If the 5,000 pounds, you may demand payment
individual shipper does not agree to at destination for only 50 percent of
pay the additional services, the carrier the binding estimate.
should perform only those additional (b) In accordance with § 375.401(a),
services as are required to complete you may impose a charge for providing
the delivery, and bill the individual a written binding estimate. If you do
shipper for the additional services after not provide a binding estimate to an
30 days from delivery, except that you individual shipper, you must provide a
may collect at delivery charges for im- non-binding estimate in accordance
practicable operations that do not ex- with § 375.405.
ceed 15 percent of all other charges due (c) You must retain a copy of the
at delivery. binding estimate for each move you
(9) If the individual shipper requests perform for at least one year from the
additional services after the bill of lad- date you made the estimate and keep it
ing has been issued, you must inform as an attachment to be made an inte-
the individual shipper of the additional gral part of the bill of lading contract.
charges involved. You may require full
payment at destination for these addi- [68 FR 35091, June 11, 2003, as amended at 69
tional services and for 100 percent of FR 10575, Mar. 5, 2004; 69 FR 17317, May 5,
the original binding estimate. If appli- 2004; 72 FR 36773, July 5, 2007; 77 FR 36934,
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Federal Motor Carrier Safety Administration, DOT § 375.405
tire shipment and all services you are shipper for the additional services after
providing. 30 days from delivery, except that you
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§ 375.407 49 CFR Ch. III (10–1–20 Edition)
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-
charges involved. You may require full ing to a change in the form of pay-
payment at destination for these addi- ment.
tional services and (unless you make (b) Failure to relinquish possession of
only a partial delivery, in which case a shipment after the individual shipper
you must collect a prorated percentage offers to pay you up to 110 percent of
of the original non-binding estimate as the approximate costs of a non-binding
set forth in § 375.407(c) of this part) for estimate plus any additional charges
up to 110 percent of the original non- described in paragraph (a) of this sec-
binding estimate. If applicable, you tion constitutes a failure to transport
also may require payment at delivery a shipment with ‘‘reasonable dispatch’’
of charges for impracticable operations and subjects you to cargo delay claims
(as defined in your carrier tariff) not to pursuant to part 370 of this chapter.
exceed 15 percent of all other charges (c) If you make only a partial deliv-
due at delivery. You must bill and col- ery of the shipment, you may not de-
lect from the individual shipper any mand full payment of the non-binding
applicable charges not collected at de- estimate. You may demand at delivery
livery in accordance with subpart H of only a prorated percentage of the non-
this part. binding estimate (or a prorated per-
(c) If you furnish a non-binding esti- centage of an amount up to 110 percent
mate, you must enter the estimated of the non-binding estimate). The pro-
charges upon the order for service and rated percentage must be the percent-
upon the bill of lading. age of the weight of that portion of the
(d) You must retain a copy of the shipment delivered relative to the
non-binding estimate for each move total weight of the shipment. For ex-
you perform for at least one year from ample, if you deliver only 2,500 pounds
the date you made the estimate and of a shipment weighing 5,000 pounds,
keep it as an attachment to be made an you may demand payment of 50 percent
integral part of the bill of lading con- of not more than 110 percent of the
tract. non-binding estimate.
(d) You may not demand payment of
[68 FR 35091, June 11, 2003, as amended at 69 charges for impracticable operations,
FR 10576, Mar. 5, 2004; 72 FR 36773, July 5, as defined in your tariff, of more than
2007; 77 FR 36935, June 20, 2012] 15 percent of all other charges due at
delivery. You must bill and collect
§ 375.407 Under what circumstances
must I relinquish possession of a from the individual shipper charges for
collect-on-delivery shipment trans- impracticable operations not collected
ported under a non-binding esti- at delivery in accordance with subpart
mate? H of this part.
(a) If an individual shipper pays you [72 FR 36774, July 5, 2007]
up to 110 percent of the non-binding es-
timate on a collect-on-delivery ship- § 375.409 May household goods brokers
ment (or, in the case of a partial deliv- provide estimates?
ery, a prorated percentage of the non- (a) Subject to the limitations in
binding estimate as set forth in para- § 371.113(a) of this subchapter, house-
graph (c) of this section), you must re- hold goods brokers may provide esti-
linquish possession of the shipment at mates to individual shippers provided
the time of delivery. If there are either there is a written agreement between
charges for any additional services re- the broker and you, the motor carrier,
quested by the shipper after the bill of adopting the broker’s estimate as your
kpayne on VMOFRWIN702 with $$_JOB
lading has been issued and/or charges, own estimate. If you, the motor car-
if applicable, for impracticable oper- rier, make such an agreement with a
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Federal Motor Carrier Safety Administration, DOT § 375.501
household goods broker, you must en- (7) The form of payment you and
sure compliance with all requirements your agents will honor at delivery. The
of this part pertaining to estimates, in- payment information must be the same
cluding the requirement that you must that was entered on the estimate.
relinquish possession of the shipment if (8) The terms and conditions for pay-
the shipper pays you no more than 110 ment of the total charges, including
percent of a non-binding estimate at notice of any minimum charges.
the time of delivery. (9) The maximum amount you will
(b) Your written agreement with the demand at the time of delivery to ob-
household goods broker(s) must include tain possession of the shipment, when
the items required in § 371.115(a) of this you transport on a collect-on-delivery
subchapter. basis.
[75 FR 72998, Nov. 29, 2010] (10) A statement of the declared
value of the shipment, which is the
Subpart E—Pick Up of Shipments maximum amount of your liability to
of Household Goods the individual shipper under your Full
Value Protection for the replacement
BEFORE LOADING value of any household goods that are
lost, damaged, destroyed, or otherwise
§ 375.501 Must I write up an order for not delivered to the final destination.
service? If the individual shipper waives, in
(a) Before you receive a shipment of writing, your Full Value Protection li-
household goods you will move for an ability, you must include a copy of the
individual shipper, you must prepare waiver; the Surface Transportation
an order for service. The order for serv- Board’s required released rates valu-
ice must contain the information de- ation statement; and the charges, if
scribed in the following 15 items: any, for optional valuation coverage
(1) Your name and address and the (other than Full Value Protection).
FMCSA U.S. DOT number assigned to The released rates may be increased
the mover who is responsible for per- annually by the motor carrier based on
forming the service. the U.S. Department of Commerce’s
(2) The individual shipper’s name, ad- Cost of Living Adjustment.
dress, and, if available, telephone num- (11) A complete description of any
ber(s). special or accessorial services ordered
(3) The name, address, and telephone and minimum weight or volume
number of the delivering mover’s office charges applicable to the shipment,
or agent located at or nearest to the subject to the following two condi-
destination of the shipment.
tions:
(4) A telephone number where the in-
(i) If you provide service for indi-
dividual shipper/consignee may contact
vidual shippers on rates based upon the
you or your designated agent.
transportation of a minimum weight or
(5) One of the following three entries
volume, you must indicate on the order
must be on the order for service:
for service the minimum weight- or
(i) The agreed pickup date and agreed
delivery date of the move. volume-based rates, and the minimum
(ii) The agreed period(s) of the entire charges applicable to the shipment.
move. (ii) If you do not indicate the min-
(iii) If you are transporting the ship- imum rates and charges, your tariff
ment on a guaranteed service basis, the must provide you will compute the
guaranteed dates or periods for pickup, final charges relating to such a ship-
transportation, and delivery. You must ment based upon the actual weight or
enter any penalty or per diem require- volume of the shipment.
ments upon the agreement under this (12) Any identification or registra-
item. tion number you assign to the ship-
(6) The names and addresses of any ment.
other motor carriers, when known, who (13) For non-binding estimates, your
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§ 375.503 49 CFR Ch. III (10–1–20 Edition)
payment of total charges, and the max- (f) Before loading the shipment, and
imum amount (no more than 110 per- upon mutual agreement of both you
cent of the non-binding estimate) you and the individual shipper, you may
will demand at the time of delivery to amend an order for service.
relinquish possession of the shipment. (g) You must retain a copy of the
(14) For binding estimates, the amount order for service for each move you
of charges you will demand based upon perform for at least one year from the
the binding estimate and the terms of date you made the order for service and
payment under this estimate. keep it as an attachment to be made an
(15) Whether the individual shipper integral part of the bill of lading con-
requests notification of the charges be- tract.
fore delivery. The individual shipper (h) You must place the valuation
must provide you with the fax num- statement on the bill of lading.
ber(s) or address(es) where you will
[68 FR 35091, June 11, 2003, as amended at 69
transmit the notifications by fax trans- FR 10576, Mar. 5, 2004; 72 FR 36774, July 5,
mission; e-mail; overnight courier; or 2007; 80 FR 59071, Oct. 1, 2015]
certified mail, return receipt re-
quested. § 375.503 Must I write up an inven-
(b) You, your agent, or your driver tory?
must inform the individual shipper if (a) You must prepare a written,
you reasonably expect a special or ac- itemized inventory for each shipment
cessorial service is necessary to safely of household goods you transport for
transport a shipment. You must refuse an individual shipper. The inventory
to accept the shipment when you rea- must identify every carton and every
sonably expect a special or accessorial uncartoned item that is included in the
service is necessary to safely transport shipment. When you prepare the inven-
a shipment and the individual shipper tory, an identification number that
refuses to purchase the special or ac- corresponds to the inventory must be
cessorial service. You must make a placed on each article that is included
written note if the shipper refuses any in the shipment.
special or accessorial services that you (b) You must prepare the inventory
reasonably expect to be necessary. before or at the time of loading in the
(c) You and the individual shipper vehicle for transportation in a manner
must sign the order for service. You that provides the individual shipper
must provide a dated copy of the order with the opportunity to observe and
for service to the individual shipper at verify the accuracy of the inventory if
the time you sign the order. he or she so requests.
(d)(1) You may provide the individual (c) You must furnish a complete copy
shipper with blank or incomplete esti- of the inventory to the individual ship-
mates, orders for service, bills of lad- per before or at the time of loading the
ing, or any other blank or incomplete shipment. A copy of the inventory,
documents pertaining to the move. signed by both you and the individual
(2) You may require the individual shipper, must be provided to the ship-
shipper to sign an incomplete docu- per, together with a copy of the bill of
ment at origin provided it contains all lading, before or at the time you load
relevant shipping information except the shipment.
the actual shipment weight and any (d) Upon delivery, you must provide
other information necessary to deter- the individual shipper with the oppor-
mine the final charges for all services tunity to observe and verify that the
performed. same articles are being delivered and
(e) You must provide the individual the condition of those articles. You
shipper the opportunity to rescind the must also provide the individual ship-
order for service without any penalty per the opportunity to note in writing
for a three-day period after the shipper any missing articles and the condition
signs the order for service, if the ship- of any damaged or destroyed articles.
per scheduled the shipment to be load- In addition, you must also provide the
kpayne on VMOFRWIN702 with $$_JOB
ed more than three days after signing shipper with a copy of all such nota-
the order. tions.
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Federal Motor Carrier Safety Administration, DOT § 375.505
(e) You must retain inventories for or period of time for the delivery of the
each move you perform for at least one shipment. The agreed dates or periods
year from the date you made the inven- for pickup and delivery entered upon
tory and keep it as an attachment to the bill of lading must conform to the
be made an integral part of the bill of agreed dates or periods of time for
lading contract. pickup and delivery entered upon the
[68 FR 35091, June 11, 2003, as amended at 69 order for service or a proper amend-
FR 10576, Mar. 5, 2004] ment to the order for service.
(7) For guaranteed service, subject to
§ 375.505 Must I write up a bill of lad- tariff provisions, the dates for pickup
ing? and delivery, and any penalty or per
(a) You must issue a bill of lading. diem entitlements due the individual
The bill of lading must contain the shipper under the agreement.
terms and conditions of the contract. A (8) The actual date of pickup.
bill of lading may be combined with an (9) The company or carrier identifica-
order for service to include all the tion number of the vehicle(s) upon
items required by § 375.501 of this sub- which you load the individual shipper’s
part. You must furnish a partially shipment.
complete copy of the bill of lading to (10) The terms and conditions for
the individual shipper before the vehi- payment of the total charges, including
cle leaves the residence at origin. The notice of any minimum charges.
partially complete bill of lading must (11) The maximum amount you will
contain all relevant shipment informa- demand at the time of delivery to ob-
tion, except the actual shipment tain possession of the shipment, when
weight and any other information nec- you transport under a collect-on-deliv-
essary to determine the final charges ery basis.
for all services performed. (12) The valuation statement pro-
(b) On a bill of lading, you must in- vided in the Surface Transportation
clude the following 14 items: Board’s released rates order requires
(1) Your name and address, or the individual shippers either to choose
name and address of the motor carrier Full Value Protection for your liability
issuing the bill of lading. or waive the Full Value Protection in
(2) The names and addresses of any favor of the STB’s released rates. The
other motor carriers, when known, who released rates may be increased annu-
will participate in transportation of ally by the motor carrier based on the
the shipment. U.S. Department of Commerce’s Cost of
(3) The name, address, and telephone Living Adjustment. Contact the STB
number of your office (or the office of for a copy of the Released Rates of
your agent) where the individual ship- Motor Carrier Shipments of Household
per can contact you in relation to the Goods. If the individual shipper waives
transportation of the shipment. your Full Value Protection in writing
(4) The form of payment you and on the STB’s valuation statement, you
your agents will honor at delivery. The must include the charges, if any, for
payment information must be the same optional valuation coverage (other
that was entered on the estimate and than Full Value Protection).
order for service. (13) Evidence of any insurance cov-
(5) When you transport on a collect- erage sold to or procured for the indi-
on-delivery basis, the name, address, vidual shipper from an independent in-
and if furnished, the telephone number, surer, including the amount of the pre-
fax number, or email address of a per- mium for such insurance.
son to notify about the charges. The (14) Each attachment to the bill of
notification may be made by any meth- lading. Each attachment is an integral
od of communication, including, but part of the bill of lading contract. If
not limited to, fax transmission; email; not provided elsewhere to the shipper,
overnight courier; or certified mail, re- the following three items must be
turn receipt requested. added as an attachment to the bill of
(6) For non-guaranteed service, the lading.
kpayne on VMOFRWIN702 with $$_JOB
agreed date or period of time for pick- (i) The binding or non-binding esti-
up of the shipment and the agreed date mate.
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§ 375.507 49 CFR Ch. III (10–1–20 Edition)
(ii) The order for service. ramps, and other equipment required
(iii) The inventory. in the transportation of the shipment.
(c) A copy of the bill of lading must (2) The driver and other persons must
accompany a shipment at all times be off the vehicle at the time of either
while in your (or your agent’s) posses- weighing.
sion. Before the vehicle leaves the resi- (3) The fuel tanks on the vehicle
dence of origin, the bill of lading must must be full at the time of each weigh-
be in the possession of the driver re- ing, or, in the alternative, when you
sponsible for the shipment. use the first method—origin weigh, in
(d) You must retain bills of lading for paragraph (a)(1) of this section, where
each move you perform for at least one the tare weighing is the first weighing
year from the date you created the bill performed, you must refrain from add-
of lading. ing fuel between the two weighings.
[68 FR 35091, June 11, 2003, as amended at 69 (c) You may detach the trailer of a
FR 10576, Mar. 5, 2004; 72 FR 36774, July 5, tractor-trailer vehicle combination
2007; 77 FR 25373, Apr. 30, 2012; 80 FR 59071, from the tractor and have the trailer
Oct. 1, 2015; 83 FR 16224, Apr. 16, 2018]
weighed separately at each weighing
WEIGHING THE SHIPMENT provided the length of the scale plat-
form is adequate to accommodate and
§ 375.507 Must I determine the weight support the entire trailer at one time.
of a shipment? (d) You must use the net weight of
(a) When you transport household shipments transported in containers.
goods on a non-binding estimate de- You must calculate the difference be-
pendent upon the shipment weight, you tween the tare weight of the container
must determine the weight of each (including all pads, blocking and brac-
shipment transported before the assess- ing used in the transportation of the
ment of any charges. shipment) and the gross weight of the
(b) You must weigh the shipment container with the shipment loaded in
upon a certified scale. the container.
(c) You must provide a written expla-
nation of volume to weight conver- § 375.511 May I use an alternative
sions, when you provide an estimate by method for shipments weighing
volume and convert the volume to 3,000 pounds or less?
weight. For shipments weighing 3,000 pounds
or less (1,362 kilograms or less), you
§ 375.509 How must I determine the may weigh the shipment upon a plat-
weight of a shipment? form or warehouse certified scale be-
(a) You must weigh the shipment by fore loading for transportation or after
using one of the following two meth- unloading.
ods:
(1) First method—origin weigh. You de- § 375.513 Must I give the individual
termine the difference between the shipper an opportunity to observe
tare weight of the vehicle before load- the weighing?
ing at the origin of the shipment and You must give the individual shipper
the gross weight of the same vehicle or any other person responsible for the
after loading the shipment. payment of the freight charges the
(2) Second method—back weigh. You right to observe all weighings of the
determine the difference between the shipment. You must advise the indi-
gross weight of the vehicle with the vidual shipper, or any other person en-
shipment loaded and the tare weight of titled to observe the weighings, where
the same vehicle after you unload the and when each weighing will occur.
shipment.
You must give the person who will ob-
(b) The following three conditions serve the weighings a reasonable oppor-
must exist for both the tare and gross
tunity to be present to observe the
weighings:
kpayne on VMOFRWIN702 with $$_JOB
weighings.
(1) The vehicle must have installed or
loaded all pads, dollies, hand trucks,
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Federal Motor Carrier Safety Administration, DOT § 375.521
§ 375.515 May an individual shipper (c) As part of the file on the ship-
waive his/her right to observe each ment, you must retain the original
weighing? weight ticket or tickets relating to the
(a) If an individual shipper elects not determination of the weight of a ship-
to observe a weighing, the shipper is ment.
presumed to have waived that right. (d) All freight bills you present to an
(b) If an individual shipper elects not individual shipper must include true
to observe a reweighing, the shipper copies of all weight tickets obtained in
must waive that right in writing. The the determination of the shipment
individual shipper may send the waiver weight in order to collect any shipment
notification via fax transmission; e- charges dependent upon the weight
mail; overnight courier; or certified transported.
mail, return receipt requested.
(c) Waiver of the right to observe a § 375.521 What must I do if an indi-
weighing or re-weighing does not affect vidual shipper wants to know the
any other rights of the individual ship- actual weight or charges for a ship-
per under this part or otherwise. ment before I tender delivery?
[68 FR 35091, June 11, 2003, as amended at 69 (a) If an individual shipper of a ship-
FR 10576, Mar. 5, 2004] ment being transported on a collect-on-
delivery basis specifically requests no-
§ 375.517 May an individual shipper tification of the actual weight or vol-
demand re-weighing? ume and charges on the shipment, you
After you inform the individual ship- must comply with this request. This
per of the billing weight and total requirement is conditioned upon the
charges and before actually beginning individual shipper’s supplying you with
to unload a shipment weighed at origin an address or telephone number where
(first method under § 375.509(a)(1)), the the individual shipper will receive the
individual shipper may demand a re- communication. You must make your
weigh. You must base your freight bill notification by telephone; in person;
charges upon the re-weigh weight. fax transmissions; e-mail; overnight
courier; or certified mail, return re-
§ 375.519 Must I obtain weight tickets?
ceipt requested.
(a) You must obtain weight tickets (b) The individual shipper must re-
whenever we require you to weigh the ceive your notification at least one full
shipment in accordance with this sub- 24-hour day before any tender of the
part. You must obtain a separate shipment for delivery, excluding Satur-
weight ticket for each weighing. The
days, Sundays and Federal holidays.
weigh master must sign each weight
ticket. Each weight ticket must con- (c) You may disregard the 24-hour no-
tain the following six items: tification requirement on shipments in
(1) The complete name and location any one of the following three cir-
of the scale. cumstances:
(2) The date of each weighing. (1) The shipment will be back
(3) The identification of the weight weighed (i.e., weighed at destination).
entries as being the tare, gross, or net (2) Pickup and delivery encompass
weights. two consecutive weekdays, if the indi-
(4) The company or carrier identifica- vidual shipper agrees.
tion of the vehicle. (3) The shipment is moving under a
(5) The last name of the individual non-binding estimate and the max-
shipper as it appears on the bill of lad- imum payment required at time of de-
ing. livery is 110 percent of the estimated
(6) The carrier’s shipment registra- charges, but only if the individual ship-
tion or bill of lading number. per agrees to waive the 24-hour notifi-
(b) When both weighings are per- cation requirement.
formed on the same scale, one weight
kpayne on VMOFRWIN702 with $$_JOB
ticket may be used to record both [68 FR 35091, June 11, 2003, as amended at 69
FR 10576, Mar. 5, 2004]
weighings.
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§ 375.601 49 CFR Ch. III (10–1–20 Edition)
retention period is one year from the manent storage when the individual
date of notification. shipper may file claims against you for
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Federal Motor Carrier Safety Administration, DOT § 375.705
loss or damage occurring to the goods charge you or your agents from liabil-
in transit or during the storage-in- ity.
transit period. (b) The delivery receipt may include
(3) The fact your liability is ending. a statement the property was received
(4) The fact the individual shipper’s in apparent good condition except as
property will be subject to the rules, noted on the shipping documents.
regulations, and charges of the ware-
houseman. § 375.703 What is the maximum collect-
(c) You must make this notification on-delivery amount I may demand
at least 10 days before the expiration at the time of delivery?
date of either one of the following two (a) On a binding estimate, the max-
periods: imum amount is the exact estimate of
(1) The specified period of time when the charges, plus charges for any addi-
the goods are to be held in storage. tional services requested by the shipper
(2) The maximum period of time pro- after the bill of lading has been issued
vided in your tariff for storage-in-tran- and charges, if applicable, for impracti-
sit. cable operations as defined in your car-
(d) You must notify the individual rier tariff. The maximum amount of
shipper by facsimile transmission; e- charges for impracticable operations
mail; overnight courier; or certified you may collect on delivery is an
mail, return receipt requested. amount equal to 15 percent of all other
(e) If you are holding household charges due at delivery.
goods in storage-in-transit for a period (b) On a non-binding estimate, the
of time less than 10 days, you must maximum amount is 110 percent of the
give notification to the individual ship- non-binding estimate of the charges,
per of the information specified in plus charges for any additional services
paragraph (b) of this section one day requested by the shipper after the bill
before the expiration date of the speci- of lading has been issued and charges,
fied time when the goods are to be held if applicable, for impracticable oper-
in such storage. ations as defined in your carrier tariff.
(f) You must maintain a record of no- The maximum amount of charges for
tifications as part of the records of the impracticable operations you may col-
shipment. lect on delivery is an amount equal to
(g) Your failure or refusal to notify 15 percent of all other charges due at
the individual shipper will automati- delivery.
cally effect a continuance of your car-
[72 FR 36774, July 5, 2007]
rier liability according to the applica-
ble tariff provisions with respect to § 375.705 If a shipment is transported
storage-in-transit, until the end of the on more than one vehicle, what
day following the date when you actu- charges may I collect at delivery?
ally gave notice. (a) At your discretion, you may do
(h) When you place household goods one of the following three things:
in permanent storage, you must place (1) You may defer the collection of
the household goods in the name of the all charges until you deliver the entire
individual shipper and provide contact shipment.
information for the shipper in the form (2) If you have determined the
of a telephone number, mailing address charges for the entire shipment, you
and/or email address. may collect charges for the portion of
[68 FR 35091, June 11, 2003, as amended at 69 the shipment tendered for delivery.
FR 10577, Mar. 5, 2004; 77 FR 36935, June 20, You must determine the percentage of
2012] the charges for the entire shipment
represented by the portion of the ship-
Subpart G—Delivery of Shipments ment tendered for delivery.
(3) If you cannot reasonably calculate
§ 375.701 May I provide for a release of the charges for the entire shipment,
liability on my delivery receipt? you must determine the charges for the
(a) Your delivery receipt or shipping portion of the shipment being deliv-
kpayne on VMOFRWIN702 with $$_JOB
document must not contain any lan- ered. You must collect this amount.
guage purporting to release or dis- The total charges you assess for the
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§ 375.707 49 CFR Ch. III (10–1–20 Edition)
this subpart.
This applies whether or not the indi-
vidual shipper exercises any rights to [69 FR 10577, Mar. 5, 2004]
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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
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Pt. 375, App. A 49 CFR Ch. III (10–1–20 Edition)
May my mover accept charge or credit cards If I forced my mover to relinquish a collect-
for my payments? on-delivery shipment before the payment
of ALL charges, how must my mover col-
SUBPART C—SERVICE OPTIONS PROVIDED lect the balance?
What service options may my mover pro- What actions may my mover take to collect
vide? from me the charges in its freight bill?
If my mover sells liability insurance cov- Do I have a right to file a claim to recover
erage, what must my mover do? money for property my mover lost or dam-
aged?
SUBPART D—ESTIMATING CHARGES
SUBPART I—RESOLVING DISPUTES WITH MY
Must my mover estimate the transportation MOVER
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
my household goods shipment? The Federal Motor Carrier Safety Admin-
istration’s (FMCSA) regulations protect con-
SUBPART E—PICKUP OF MY SHIPMENT OF sumers on interstate moves and define the
HOUSEHOLD GOODS rights and responsibilities of consumers and
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
the actual weight or charges for my ship- written information describing its procedure
ment before delivery? for handling your questions and complaints.
The additional written information will in-
SUBPART F—TRANSPORTATION OF MY clude a telephone number you can call to ob-
SHIPMENT tain additional information about your
Must my mover transport the shipment in a move.
timely manner?
WHAT ARE THE MOST IMPORTANT POINTS I
What must my mover do if it is able to de- SHOULD REMEMBER FROM THIS PAMPHLET?
liver my shipment more than 24 hours be-
fore I am able to accept delivery? 1. Movers must give written estimates.
What must my mover do for me when I store 2. Movers may give binding estimates.
household goods in transit? 3. Non-binding estimates are not always
accurate; actual charges may exceed the es-
SUBPART G—DELIVERY OF MY SHIPMENT timate.
4. If your mover provides you (or someone
May my mover ask me to sign a delivery re-
representing you) with any partially com-
ceipt releasing it from liability?
plete document for your signature, you
What is the maximum collect-on-delivery
should verify the document is as complete as
amount my mover may demand I pay at
possible before signing it. Make sure the doc-
the time of delivery?
ument contains all relevant shipping infor-
If my shipment is transported on more than
mation, except the actual shipment weight
one vehicle, what charges may my mover
and any other information necessary to de-
collect at delivery?
termine the final charges for all services per-
If my shipment is partially or totally lost or formed.
destroyed, what charges may my mover 5. You may request from your mover the
collect at delivery? availability of guaranteed pickup and deliv-
How must my mover calculate the charges ery dates.
applicable to the shipment as delivered? 6. Be sure you understand the mover’s re-
SUBPART H—COLLECTION OF CHARGES sponsibility for loss or damage, and request
an explanation of the difference between
kpayne on VMOFRWIN702 with $$_JOB
Does this subpart apply to most shipments? valuation and actual insurance.
How must my mover present its freight or 7. You have the right to be present each
expense bill to me? time your shipment is weighed.
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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
8. You may request a reweigh of your ship- riers or movers) what standards they must
ment. follow when offering services to you. You, an
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
with an estimate for the move, unless the WHAT DEFINITIONS ARE USED IN THIS
broker has a written agreement with the PAMPHLET?
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
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
sessed a fee to obtain this information. See
at your request. The mover pays for these
49 CFR part 7 for the schedule of fees.
services and adds the charges to your bill of
13. You should seek estimates from at least
lading charges.
three different movers. You should not dis-
Advertisement—This is any communication
close any information to the different mov-
to the public in connection with an offer or
ers about their competitors, as it may affect
sale of any interstate household goods trans-
the accuracy of their estimates.
portation service. This will include written
WHAT IF I HAVE MORE QUESTIONS? or electronic database listings of your mov-
er’s name, address, and telephone number in
If this pamphlet does not answer all of an online database or displayed on an Inter-
your questions about your move, do not hesi- net Web site. This excludes listings of your
tate to ask for additional information from mover’s name, address, and telephone num-
your mover’s representative who handled the ber in a telephone directory or similar publi-
arrangements for your move, the driver who cation. However, Yellow Pages advertising is
transports your shipment, or the mover’s included within the definition.
main office. Agent—A local moving company authorized
SUBPART A—GENERAL REQUIREMENTS to act on behalf of a larger, national com-
pany.
The primary responsibility for your protec- Appliance Service by Third Party—The prep-
tion lies with you in selecting a reputable aration of major electrical appliances to
household goods carrier, ensuring you under- make them safe for shipment. Charges for
stand the terms and conditions of your con- these services may be in addition to the line-
tract with your mover, and understanding haul charges.
and pursuing the remedies that are available Bill of Lading—The receipt for your goods
to you in case problems arise. and the contract for their transportation.
Carrier—The mover transporting your
WHO MUST FOLLOW THE REGULATIONS?
household goods.
kpayne on VMOFRWIN702 with $$_JOB
The regulations inform motor carriers en- Collect on Delivery (COD)—This means pay-
gaged in the interstate transportation of ment is required at the time of delivery at
household goods (household goods motor car- the destination residence (or warehouse).
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Pt. 375, App. A 49 CFR Ch. III (10–1–20 Edition)
Certified Scale—Any scale designed for Individual Shipper—Any person who—
weighing motor vehicles, including trailers 1. Is the shipper, consignor, or consignee of
or semi-trailers not attached to a tractor, a household goods shipment;
and certified by an authorized scale inspec- 2. Is identified as the shipper, consignor, or
tion and licensing authority. A certified consignee on the face of the bill of lading;
scale may also be a platform or warehouse 3. Owns the goods being transported; and
type scale that is properly inspected and cer- 4. Pays his or her own tariff transportation
tified. 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 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.
High-Value Article—These are items in- Mover—A household goods motor carrier
cluded in a shipment valued at more than and its household goods agents.
$100 per pound ($220 per kilogram). Must—A legal obligation. You or your
Household Goods, as used in connection mover must do something.
with transportation, means the personal ef- Order for Service—The document author-
fects or property used, or to be used, in a izing the mover to transport your household
dwelling, when part of the equipment or sup- goods.
plies of the dwelling. Transportation of the Order (Bill of Lading) Number—The number
household goods must be arranged and paid used to identify and track your shipment.
for by you or by another individual on your Peak Season Rates—Higher line-haul
behalf. This may include items moving from charges applicable during the summer
a factory or store when you purchase them months.
to use in your dwelling. You must request Pickup and Delivery Charges—Separate
that these items be transported, and you (or transportation charges applicable to trans-
another individual on your behalf) must pay porting your shipment between the storage-
the transportation charges to the mover. in-transit warehouse and your residence.
Household Goods Motor Carrier means a Reasonable Dispatch—The performance of
motor carrier that, in the ordinary course of transportation on the dates, or during the
its business of providing transportation of period of time, agreed upon by you and your
household goods, offers some or all of the fol- mover and shown on the Order for Service/
lowing additional services: (1) Binding and Bill of Lading. For example, if your mover
non-binding estimates, (2) Inventory, (3) Pro- deliberately withholds any shipment from
tective packing and unpacking of individual delivery after you offer to pay the binding
items at personal residences, and (4) Loading estimate or up to 110 percent of a non-bind-
and unloading at personal residences. The ing estimate, plus any charges for additional
term does not include a motor carrier when services you requested that were not in-
the motor carrier provides transportation of cluded in the estimate and/or permissible
household goods in containers or trailers charges for impracticable operations, your
kpayne on VMOFRWIN702 with $$_JOB
that are entirely loaded and unloaded by an mover has not transported the goods with
individual other than an employee or agent reasonable dispatch. The term ’’reasonable
of the motor carrier. dispatch‘‘ excludes transportation provided
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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
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
will be responsible for the added charges for WHAT IS MY MOVER’S NORMAL LIABILITY FOR
SIT service, as well as the warehouse han- LOSS OR DAMAGE WHEN MY MOVER ACCEPTS
dling and final delivery charges. However, GOODS FROM ME?
your mover also may place your shipment
into SIT if your mover was able to make de- In general, your mover is legally liable for
livery before the agreed-upon date (or before loss or damage that occurs during perform-
the first day of the agreed-upon delivery pe- ance of any transportation of household
riod) but you did not concur with early deliv- goods and of all related services identified on
ery. In those circumstances, your mover your mover’s lawful bill of lading.
must notify you immediately of the SIT, and Your mover is liable for loss of, or damage
your mover is fully responsible for redelivery to, any household goods to the extent pro-
charges, handling charges, and storage vided in the current Surface Transportation
charges. Board’s Released Rates Order. You may ob-
Surface Transportation Board—An agency tain a copy of the current Released Rates
within the U.S. Department of Transpor- Order by contacting the Surface Transpor-
tation that regulates household goods car- tation Board at the address provided under
rier tariffs, among other responsibilities. the definition of the Surface Transportation
The Surface Transportation Board’s address Board. The rate may be increased annually
is 395 E Street, SW., Washington, DC 20423– by your mover based on the U.S. Department
0001. Tele. 202–245–0245. of Commerce’s Cost of Living Adjustment.
Tariff—An issuance (in whole or in part) Your mover may have additional liability if
containing rates, rules, regulations, classi- your mover sells liability insurance to you.
fications, or other provisions. The Surface All moving companies are required to as-
Transportation Board requires that a tariff sume liability for the value of the goods
contain three specific items. First, an accu- transported. However, there are different
rate description of the services the mover of- levels of liability, and you should be aware of
fers to the public. Second, the specific appli- the amount of protection provided and the
cable rates (or the basis for calculating the charges for each option.
specific applicable rates) and service terms Basically, most movers offer two different
for services offered to the public. Third, the levels of liability under the terms of their
mover’s tariff must be arranged in a way tariffs and the Surface Transportation
that allows you to determine the exact Board’s Released Rates Orders. These orders
rate(s) and service terms applicable to your govern the moving industry. The levels of li-
shipment. ability are as follows:
Valuation—The degree of worth of the ship- (1) FULL VALUE PROTECTION (FVP). This
ment. The valuation charge compensates the is the most comprehensive option available
mover for assuming a greater degree of li- for the protection of your goods. Unless you
ability than is provided for in its base trans- waive full-value protection in writing and
portation charges. agree to Release Value Protection as de-
Warehouse Handling—A charge may be ap- scribed below, your shipment will be trans-
kpayne on VMOFRWIN702 with $$_JOB
plicable each time SIT service is provided. ported under your mover’s full (replacement)
Charges for these services may be in addition value level of liability. If any article is lost,
to the line-haul charges. This charge com- destroyed, or damaged while in your mover’s
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Pt. 375, App. A 49 CFR Ch. III (10–1–20 Edition)
custody, your mover will, at its option, ei- party insurance company when you release
ther: repair the article to the extent nec- your shipment for transportation at the min-
essary to restore it to the same condition as imum released value (60 cents per pound
when it was received by your mover, or pay [$1.32 per kilogram] per article). This is not
you for the cost of such repairs; replace the valuation coverage governed by Federal law
article with an article of like kind; or pay but optional insurance regulated under State
you for the cost of a replacement article at law. If you purchase this separate coverage
the current market replacement value, re- and your mover is responsible for loss or
gardless of the age of the lost or damaged ar- damage, the mover is liable only for an
ticle. Your mover will charge you for this amount not exceeding 60 cents per pound
level of protection, or you may select the Al- ($1.32 per kilogram) per article, and the bal-
ternative Level of Liability described below. ance of the loss is recoverable from the in-
The cost for FVP is based on the value that surance company up to the amount of insur-
you place on your shipment. For example, ance purchased. The mover’s representative
the valuation charge for a shipment valued can advise you of the availability of such li-
at $25,000 would be about $250.00. However, ability insurance, and the cost.
the exact cost for full-value protection may If you purchase liability insurance from or
vary by mover and may be further subject to through your mover, the mover is required
various deductible levels of liability that to issue a policy or other written record of
could reduce your cost. Ask your mover for the purchase and to provide you with a copy
the details and cost of its specific plan. of the policy or other document at the time
Under the FVP level of liability, movers of purchase. If the mover fails to comply
are permitted to limit their liability for loss with this requirement, the mover becomes
of, or damage to, articles of extraordinary fully liable for any claim for loss or damage
value, unless you specifically list on the attributed to its negligence.
shipping documents such articles for which
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
sponsibility to study this provision carefully hazardous materials in your household goods
and to make the necessary declaration. without your mover’s knowledge.
(2) RELEASED VALUE of 60 Cents Per Pound (2) You choose the alternative level of li-
Per Article. This is the most economical pro- ability (60 cents per pound per article) but
tection option available; however, this no- ship household goods valued at more than 60
cost option provides only minimal protec- cents per pound ($1.32 per kilogram) per arti-
tion. Under this option, the mover assumes cle.
liability for no more than 60 cents per pound (3) You fail to notify your mover in writing
per article. Loss or damage claims are set- of articles valued at more than $100 per
tled based on the weight of the article multi- pound ($220 per kilogram). (If you do notify
plied by 60 cents per pound. For example, if your mover, you will be entitled to full re-
a 10-pound stereo component valued at $1,000 covery up to the declared value of the article
were lost or destroyed, the mover would be or articles, not to exceed the declared value
liable for no more than $6.00 (10 pounds × 60 of the entire shipment.)
cents per pound). Obviously, you should
WHAT ARE DANGEROUS OR HAZARDOUS MATE-
think carefully before agreeing to such an
RIALS THAT MAY LIMIT OR REDUCE MY MOV-
arrangement. There is no extra charge for
ER’S NORMAL LIABILITY?
this minimal protection, but you must sign a
specific statement on the bill of lading Federal law forbids you to ship hazardous
agreeing to it. If you do not select this Alter- materials in your household goods boxes or
native Level of Liability, your shipment will luggage without informing your mover. A
be transported at the Full (Replacement) violation can result in 5 years’ imprisonment
Value level of liability and you will be as- and penalties of $250,000 or more (49 U.S.C.
sessed the applicable valuation charge. 5124). You could also lose or damage your
These two levels of liability are not insur- household goods by fire, explosion, or con-
ance agreements governed by State insur- tamination.
ance laws but instead are contractual tariff If you offer hazardous materials to your
levels of liability authorized under Released mover, you are considered a hazardous mate-
Rates Orders of the Surface Transportation rials shipper and must comply with the haz-
Board of the U.S. Department of Transpor- ardous materials requirements in 49 CFR
tation. parts 171, 172, and 173, including but not lim-
kpayne on VMOFRWIN702 with $$_JOB
In addition to these options, some movers ited to package labeling and marking, ship-
may also offer to sell, or procure for you, ping papers, and emergency response infor-
separate liability insurance from a third- mation. Your mover must comply with 49
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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
CFR parts 171, 172, 173, and 177 as a hazardous HOW MUST MY MOVER HANDLE COMPLAINTS
materials carrier. AND INQUIRIES?
Hazardous materials include explosives, All movers are expected to respond
compressed gases, flammable liquids and sol- promptly to complaints or inquiries from
ids, oxidizers, poisons, corrosives, and radio- you, the customer. Should you have a com-
active materials. Examples: Nail polish re- plaint or question about your move, you
mover, paints, paint thinners, lighter fluid, should first attempt to obtain a satisfactory
gasoline, fireworks, oxygen bottles, propane response from the mover’s local agent, the
cylinders, automotive repair and mainte- sales representative who handled the ar-
nance chemicals, and radio-pharmaceuticals. rangements for your move, or the driver as-
There are special exceptions for small signed to your shipment.
quantities (up to 70 ounces total) of medic- If for any reason you are unable to obtain
inal and toilet articles carried in your house- a satisfactory response from one of these
hold goods and certain smoking materials persons, you should then contact the mover’s
principal office. When you make such a call,
carried on your person. For further informa-
be sure to have available your copies of all
tion, contact your mover.
documents relating to your move. Particu-
MAY MY MOVER HAVE AGENTS? larly important is the number assigned to your
shipment by your mover.
Yes, your mover may have agents. If your Interstate movers are also required to offer
mover has agents, your mover must have neutral arbitration as a means of resolving
written agreements with its prime agents. consumer disputes involving loss of or dam-
Your mover and its retained prime agent age to your household goods shipment and
must sign their agreements. Copies of your disputes regarding charges that your mover
mover’s prime agent agreements must be in billed in addition to those collected at deliv-
your mover’s files for a period of at least 24 ery. Your mover is required to provide you
months following the date of termination of with information regarding its arbitration
each agreement. program. You have the right to pursue court
action under 49 U.S.C. 14706 to seek judicial
WHAT ITEMS MUST BE IN MY MOVER’S redress directly rather than participate in
ADVERTISEMENTS? your mover’s arbitration program.
All interstate moving companies are re-
Your mover must publish and use only quired to maintain a complaint and inquiry
truthful, straightforward, and honest adver- procedure to assist their customers. At the
tisements. Your mover must include certain time you make the arrangements for your
information in all advertisements for all move, you should ask the mover’s represent-
services (including any accessorial services ative for a description of the mover’s proce-
incidental to or part of interstate transpor- dure, the telephone number to be used to
tation). Your mover must require each of its contact the mover, and whether the mover
agents to include the same information in its will pay for such telephone calls. Your mov-
advertisements. The information must in- er’s procedure must include the following
clude the following two pieces of information four things:
about your mover: (1) A communications system allowing you
to communicate with your mover’s principal
(1) Name or trade name of the mover under
place of business by telephone.
whose U.S. DOT number the advertised serv- (2) A telephone number.
ice will originate. (3) A clear and concise statement about
(2) U.S. DOT number assigned by FMCSA who must pay for complaint and inquiry
authorizing your mover to operate. Your telephone calls.
mover must display the information as: U.S. (4) A written or electronic record system
DOT No. (assigned number). for recording all inquiries and complaints re-
You should compare the name or trade ceived from you by any means of commu-
name of the mover and its U.S. DOT number nication.
to the name and U.S. DOT number on the Your mover must give you a clear and con-
sides of the truck(s) that arrive at your resi- cise written description of its procedure. You
dence. The names and numbers should be may want to be certain that the system is in
identical. If the names and numbers are not place.
identical, you should ask your mover imme- DO I HAVE THE RIGHT TO INSPECT MY MOVER’S
diately why they are not. You should not TARIFFS (SCHEDULES OF CHARGES) APPLICA-
allow the mover to load your household BLE TO MY MOVE?
goods on its truck(s) until you obtain a sat-
isfactory response from the mover’s local Federal law requires your mover to advise
agent. The discrepancies may warn of prob- you of your right to inspect your mover’s
kpayne on VMOFRWIN702 with $$_JOB
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Pt. 375, App. A 49 CFR Ch. III (10–1–20 Edition)
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-
lected at delivery of your shipment. You MUST MY MOVER INFORM ME ABOUT MY
have the right not to participate in the arbi- RIGHTS AND RESPONSIBILITIES UNDER FED-
tration program. You may pursue court ac- ERAL LAW?
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
(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.
special advantage because you live or work
in a place distant from the mover’s principal WHAT OTHER INFORMATION MUST MY MOVER
or other place of business. PROVIDE ME?
(2) Before your household goods are ten-
dered for transport, your mover must pro- At the time your mover provides a written
vide notice to you of the availability of neu- estimate, it must provide you with a copy of
tral arbitration, including the following the U.S. Department of Transportation pub-
three things: lication FMCSA–ESA–03–005 entitled ‘‘Ready
(a) A summary of the arbitration proce- to Move?’’ (or its successor publication). Be-
dure. fore your mover executes an order for service
(b) Any applicable costs. for a shipment of household goods, your
(c) A disclosure of the legal effects of elect- mover must furnish you with the following
ing to use arbitration. four documents:
(3) Upon your request, your mover must 1. The contents of Appendix A, ’’Your
provide information and forms it considers Rights and Responsibilities When You
necessary for initiating an action to resolve Move’’—this booklet.
a dispute under arbitration. 2. A concise, easy-to-read, and accurate
(4) Each person authorized to arbitrate summary of your mover’s arbitration pro-
must be independent of the parties to the gram.
dispute and capable of resolving such dis- 3. A notice of availability of the applicable
putes fairly and expeditiously. Your mover sections of your mover’s tariff for the esti-
must ensure the arbitrator is authorized and mate of charges, including an explanation
able to obtain from you or your mover any that you may examine the tariff sections or
material or relevant information to carry have copies sent to you upon request.
out a fair and expeditious decision-making 4. A concise, easy-to-read, accurate sum-
process. mary of your mover’s customer complaint
kpayne on VMOFRWIN702 with $$_JOB
(5) You must not be required to pay more and inquiry handling procedures. Included in
than one-half of the arbitration’s cost. The this summary must be the following two
arbitrator may determine the percentage of items:
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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
(a) The main telephone number you may See also ‘‘May my mover accept charge or
use to communicate with your mover. credit cards for my payments?’’
(b) A clear and concise statement con- You must be prepared to pay 10 percent
cerning who must pay for telephone calls. more than the estimated amount, if your
Your mover may, at its discretion, provide goods are moving under a non-binding esti-
additional information to you. mate. Every collect-on-delivery shipper must
have available 110 percent of the estimate at
HOW MUST MY MOVER COLLECT CHARGES? the time of delivery. In addition, your mover
Your mover must issue you an honest, may also collect at the time of delivery the
truthful freight or expense bill for each ship- charges for any additional services you re-
ment transported. Your mover’s freight or quested after the contract with your mover
expense bill must contain the following 17 was executed (charges therefore not included
items: in the estimate) and any charges for imprac-
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).
(9) Exact rate(s) assessed. MAY MY MOVER EXTEND CREDIT TO ME?
(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.
rendered. The credit period must begin on the day
(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,
(16) Transfer points where shipments the standard credit period is 7 days, exclud-
moved. ing Saturdays, Sundays, and Federal holi-
(17) Address where you must pay or address days. Your mover must also extend the cred-
of bill issuer’s principal place of business. it period to a total of 30 calendar days if the
Your mover must present its freight or ex- freight bill is not paid within the 7-day pe-
pense bill to you within 15 days of the date riod. A service charge equal to one percent of
of delivery of a shipment at its destination. the amount of the freight bill, subject to a
The computation of time excludes Satur- $20 minimum, will be assessed for this exten-
days, Sundays, and Federal holidays. If your sion and for each additional 30-day period
mover lacks sufficient information to com- the charges go unpaid.
pute its charges, your mover must present Your failure to pay within the credit pe-
its freight bill for payment within 15 days of riod will require your mover to determine
the date when sufficient information does whether you will comply with the Federal
become available. household goods transportation credit regu-
lations in good faith in the future before ex-
MAY MY MOVER COLLECT CHARGES UPON tending credit again.
DELIVERY?
MAY MY MOVER ACCEPT CHARGE OR CREDIT
Yes. Your mover must specify the form of
CARDS FOR MY PAYMENTS?
payment acceptable at delivery when the
mover prepares an estimate and order for Your mover may allow you to use a charge
service. The mover and its agents must or credit card for payment of the freight
honor the form of payment at delivery, ex- charges. Your mover may accept charge or
cept when you mutually agree to a change in credit cards whenever you ship with it under
kpayne on VMOFRWIN702 with $$_JOB
writing. The mover must also specify the an agreement and tariff requiring payment
same form of payment when it prepares your by cash or cash equivalents. Cash equiva-
bill of lading, unless you agree to a change. lents are a certified check, money order, or
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Pt. 375, App. A 49 CFR Ch. III (10–1–20 Edition)
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
Express TM, Discover TM, MasterCard TM, or Although all movers try to move each
Visa TM. 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
PROVIDE? If it is important for you to avoid this in-
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-
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
cial service, you should have a clear under- cubic feet (meters) than a non-binding esti-
standing with your mover of what the addi- mate. If the mover offers space reservation
tional cost will be. You should always con- service, consider purchasing this service for
sider whether other movers might provide the necessary amount of space plus some
the services you need without requiring you margin for error. In any case, you would be
to pay the additional charges. prudent to ‘‘prioritize’’ your goods in ad-
One service option is a space reservation. If vance of the move so the driver will load the
you agree to have your shipment transported more essential items on the first truck if
under a space reservation agreement, you some are left behind.
will pay for a minimum number of cubic feet
of space in the moving van regardless of how IF MY MOVER SELLS LIABILITY INSURANCE
much space in the van your shipment actu- COVERAGE, WHAT MUST MY MOVER DO?
ally occupies.
A second option is expedited service. This If your mover provides the service of sell-
aids you if you must have your shipments ing additional liability insurance, your
transported on or between specific dates mover must follow certain regulations.
when the mover could not ordinarily agree Your mover, its employees, or its agents
to do so in its normal operations. may sell, offer to sell, or procure additional
A third customary service option is exclu- liability insurance coverage for you for loss
sive use of a vehicle. If for any reason you of or damage to your shipment if you release
desire or require that your shipment be the shipment for transportation at a value
moved by itself on the mover’s truck or not exceeding 60 cents per pound ($1.32 per
trailer, most movers will provide such serv- kilogram) per article.
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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
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
operations. Impracticable operations are de-
MUST MY MOVER ESTIMATE THE TRANSPOR-
fined in your mover’s tariff. You should ask
TATION AND ACCESSORIAL CHARGES FOR MY
to see the mover’s tariff to determine what
MOVE?
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
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.
If the location you are moving from is When you receive a binding estimate, you
within a 50-mile radius of your mover’s (or cannot be required to pay any more than the
its agent’s) place of business, the estimate estimated amount at delivery. If you have
that your mover provides you must be based requested the mover provide more services
on a physical survey of your goods. You have than those included in the estimate, your
the right to waive the requirement for a mover will collect the charges for those serv-
physical survey if you choose, but your waiv- ices when your shipment is delivered. How-
er must be in the form of a written agree- ever, charges for impracticable operations
ment signed by you before your shipment is due at delivery must not exceed 15 percent of
loaded. all other charges due at delivery.
You should be aware that if you receive an A binding estimate must be in writing, and
estimate from a household goods broker, the a copy must be made available to you before
mover may not be required to accept the es- you move.
timate. Be sure to obtain a written estimate If you agree to a binding estimate, you are
from a mover who tells you orally that it responsible for paying the charges due by
will accept the broker’s estimate. cash, certified check, money order, or cash-
Your mover must specify the form of pay- ier’s check. The charges are due your mover
ment the mover and its delivering agent will at the time of delivery unless your mover
honor at delivery. Payment forms may in- agrees, before you move, to extend credit or
clude but are not limited to cash, certified to accept payment by a specific charge card
check, money order, cashier’s check, a spe- such as American Express TM or a specific
cific charge card such as American Ex- credit card such as Visa TM. If you are unable
press TM, a specific credit card such as to pay at the time the shipment is delivered,
kpayne on VMOFRWIN702 with $$_JOB
Visa TM, and your mover’s own credit. the mover may place your shipment in stor-
Before loading your household goods, and age at your expense until you pay the
upon mutual agreement between you and charges.
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Pt. 375, App. A 49 CFR Ch. III (10–1–20 Edition)
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-
dicate on its face that the charges shown are Your mover is not permitted to charge you
the charges to be assessed for only those for giving a non-binding estimate.
services specifically identified in the esti- A non-binding estimate is not a bid or con-
mate. tract. Your mover provides it to you to give
(3) Your mover must clearly describe bind- you a general idea of the cost of the move,
ing estimate shipments and all services to be but it does not bind your mover to the esti-
provided. mated cost. You should expect the final cost
(4) If, before loading your shipment, your to be more than the estimate. The actual
mover believes you are tendering additional cost will be in accordance with your mover’s
household goods or are requiring additional tariffs. Federal law requires your mover to
services not identified in the binding esti- collect the charges shown in its tariffs, re-
mate, and you and your mover cannot reach gardless of what your mover writes in its
an agreement, your mover may refuse to non-binding estimates. That is why it is im-
service the shipment. If your mover agrees portant to ask for copies of the applicable
to service the shipment, your mover must do portions of the mover’s tariffs before decid-
one of the following three things: ing on a mover. The charges contained in
(a) Reaffirm the binding estimate. movers’ tariffs are essentially the same for
(b) Negotiate a revised written binding es- shipments of equal weight moving equal dis-
timate listing the additional household tances. Even if you obtain different non-
goods or services. binding estimates from different movers, you
(c) Add an attachment to the contract, in must pay only the amount specified in your
writing, stating you both will consider the mover’s tariff. Therefore, a non-binding esti-
original binding estimate as a non-binding mate may differ substantially from the
estimate. Before you agree to this option, amount that you ultimately will pay.
read the information about non-binding esti-
You must be prepared to pay 10 percent
mates in the next section of this pamphlet.
more than the estimated amount at the time
Accepting a non-binding estimate may seri-
of delivery. Every collect-on-delivery shipper
ously affect how much you may pay for the
must have available 110 percent of the esti-
entire move.
mate at the time of delivery. If you order ad-
(5) Once your mover loads your shipment,
ditional services from your mover after the
your mover’s failure to execute a new bind-
mover issues the bill of lading, the mover
ing estimate or to agree with you to treat
will collect the charges for those additional
the original estimate as a non-binding esti-
services when your shipment is delivered.
mate signifies it has reaffirmed the original
binding estimate. Your mover may not col- Non-binding estimates must be in writing
lect more than the amount of the original and clearly describe the shipment and all
binding estimate, except as provided in the services provided. Any time a mover pro-
next two paragraphs. vides such an estimate, the amount of the
(6) If you request additional services after charges estimated must be on the order for
the bill of lading is executed, your mover service and bill of lading related to your
will collect the charges for these additional shipment. When you are given a non-binding
services when your shipment is delivered. estimate, do not sign or accept the order for
(7) If your mover must perform impracti- service or bill of lading unless the mover en-
cable operations, as defined in its tariff, to ters the amount estimated on each form it
accomplish the delivery of your shipment, prepares.
your mover will collect the charges for these Other requirements of non-binding esti-
services when your shipment is delivered. mates include the following 10 elements:
However, charges for impracticable oper- (1) Your mover must provide reasonably
ations collected at delivery must not exceed accurate non-binding estimates based upon
15 percent of all other charges due at deliv- the estimated weight of the shipment and
ery. Any remaining impracticable operations services required.
charges must be paid within 30 days after (2) Your mover must explain to you that
you receive the mover’s freight bill. all charges on shipments moved under non-
(8) Failure of your mover to relinquish pos- binding estimates will be those appearing in
session of a shipment upon your offer to pay your mover’s tariffs applicable to the trans-
kpayne on VMOFRWIN702 with $$_JOB
the binding estimate amount plus the cost of portation. If your mover provides a non-bind-
any additional services you requested after ing estimate of approximate costs, your
the bill of lading was executed and any mover is not bound by such an estimate.
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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
(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
collect more than 110 percent of the amount your cargo delay claims under 49 CFR part
of this estimate at destination for the serv- 370.
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
will collect the charges for these additional MUST MY MOVER WRITE UP AN ORDER FOR
services when your shipment is delivered. SERVICE?
(10) If your mover must perform impracti-
cable operations, as defined in its tariff, to We require your mover to prepare an order
accomplish the delivery of your shipment, for service on every shipment transported for
your mover will collect the charges for these you. You are entitled to a copy of the order
services when your shipment is delivered. for service when your mover prepares it.
However, charges for impracticable oper- The order for service is not a contract.
ations collected at delivery must not exceed Should you cancel or delay your move or de-
15 percent of all other charges due at deliv- cide not to use the mover, you should
ery. Any remaining impracticable operations promptly cancel the order.
charges must be paid within 30 days after If you or your mover change any agreed-
you receive the mover’s freight bill. upon dates for pickup or delivery of your
If your mover furnishes a non-binding esti- shipment, or agree to any change in the non-
mate, your mover must enter the estimated binding estimate, your mover may prepare a
charges upon the order for service and the written change to the order for service. The
bill of lading. Your mover must retain a written change must be attached to the
record of all estimates of charges for each order for service.
move performed for at least one year from The order for service must contain the fol-
the date your mover made the estimate. lowing 15 elements:
(1) Your mover’s name and address and the
WHAT PAYMENT ARRANGEMENTS MUST MY U.S. DOT number assigned to your mover.
MOVER HAVE IN PLACE TO SECURE DELIV- (2) Your name, address and, if available,
ERY OF MY HOUSEHOLD GOODS SHIPMENT?
telephone number(s).
If your total bill is 110 percent or less of (3) The name, address, and telephone num-
the non-binding estimate, the mover can re- ber of the delivering mover’s office or agent
quire payment in full upon delivery. If the at or nearest to the destination of your ship-
kpayne on VMOFRWIN702 with $$_JOB
135
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Pt. 375, App. A 49 CFR Ch. III (10–1–20 Edition)
(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
(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
(13) For non-binding estimated charges, to purchase the special or accessorial serv-
your mover’s reasonably accurate estimate ice. Your mover must make a written note if
of the amount of the charges, the method of you refuse any special or accessorial services
payment of total charges, and the maximum that your mover reasonably expects to be
amount (110 percent of the non-binding esti- necessary.
mate) your mover will demand at the time of
delivery for you to obtain possession of the MUST MY MOVER WRITE UP AN INVENTORY OF
THE SHIPMENT?
shipment.
(14) For binding estimated charges, the Yes. Your mover must prepare an inven-
amount of charges your mover will demand tory of your shipment before or at the time
based upon the binding estimate and the of loading. If your mover’s driver fails to pre-
terms of payment under the estimate. pare an inventory, you should write a de-
(15) An indication of whether you request tailed inventory of your shipment listing
notification of the charges before delivery. any damage or unusual wear to any items.
You must provide your mover with the tele- The purpose is to make a record of the exist-
phone number(s) or address(es) where your ence and condition of each item.
mover will transmit such communications. After completing the inventory, you
You and your mover must sign the order should sign each page and ask the mover’s
for service. Your mover must provide a dated driver to sign each page. Before you sign it,
copy of the order for service to you at the it is important you make sure that the in-
time your mover signs the order. Your mover ventory lists every item in the shipment and
kpayne on VMOFRWIN702 with $$_JOB
must provide you the opportunity to rescind that the entries regarding the condition of
the order for service without any penalty for each item are correct. You have the right to
a 3-day period after you sign the order for note any disagreement. If an item is missing
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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
or damaged when your mover delivers the the order for service or a proper amendment
shipment, your subsequent ability to dispute to the order for service.
the items lost or damaged may depend upon (7) For guaranteed service, the dates for
your notations. pickup and delivery and any penalty or per
You should retain a copy of the inventory. diem entitlements due you under the agree-
Your mover may keep the original if the ment.
driver prepared it. If your mover’s driver (8) The actual date of pickup.
completed an inventory, the mover must at- (9) The identification number(s) of the ve-
tach the complete inventory to the bill of hicle(s) in which your mover loads your ship-
lading as an integral part of the bill of lad- ment.
ing. (10) The terms and conditions for payment
of the total charges including notice of any
MUST MY MOVER WRITE UP A BILL OF minimum charges.
LADING? (11) The maximum amount your mover,
The bill of lading is the contract between based on the estimate, will demand from you
you and the mover. The mover is required by at the time of delivery for you to obtain pos-
law to prepare a bill of lading for every ship- session of your shipment, when your mover
ment it transports. The information on a bill transports under a collect-on-delivery basis.
of lading is required to be the same information (12) If not provided for in the Order for
shown on the order for service. The driver who Service, the Surface Transportation Board’s
loads your shipment must give you a copy of required released rates valuation statement,
the bill of lading before or at the time of and the charges, if any, for optional valu-
loading your furniture and other household ation coverage. The Board’s required re-
goods. 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. (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
(1) Your mover’s name and address, or the in the possession of your mover or its
name and address of the motor carrier agent(s). When your mover loads the ship-
issuing the bill of lading. ment on a vehicle for transportation, the bill
(2) The names and addresses of any other of lading must be in the possession of the
motor carriers, when known, who will par- driver responsible for the shipment. Your
ticipate in the transportation of the ship- mover must retain bills of lading for ship-
ment. ments it transported for at least one year
(3) The name, address, and telephone num- from the date your mover created the bill of
ber of the office of the motor carrier you lading.
must contact in relation to the transpor-
SHOULD I REACH AN AGREEMENT WITH MY
tation of the shipment. MOVER ABOUT PICKUP AND DELIVERY TIMES?
(4) The form of payment your mover will
honor at delivery. The payment information You and your mover should reach an agree-
must be the same that was entered on the es- ment for pickup and delivery times. It is
timate and order for service. your responsibility to determine on what
(5) When your mover transports your ship- date, or between what dates, you need to
ment under a collect-on-delivery basis, your have the shipment picked up and on what
name, address, and telephone number where date, or between what dates, you require de-
the mover will notify you about the charges. livery. It is your mover’s responsibility to
(6) For non-guaranteed service, the agreed- tell you if it can provide service on or be-
upon date or period of time for pickup of the tween those dates, or, if not, on what other
shipment and the agreed-upon date or period dates it can provide the service.
of time for the delivery of the shipment. The In the process of reaching an agreement
agreed-upon dates or periods for pickup and with your mover, you may find it necessary
kpayne on VMOFRWIN702 with $$_JOB
delivery entered upon the bill of lading must to alter your moving and travel plans if no
conform to the agreed-upon dates or periods mover can provide service on the specific
of time for pickup and delivery entered upon dates you desire.
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Pt. 375, App. A 49 CFR Ch. III (10–1–20 Edition)
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
trucks must follow at your new location, the Weighing)—The mover is also permitted to
mover may not be able to take its truck determine the weight of your shipment at
down the street of your residence and may the destination after it delivers your load.
need to shuttle the shipment using another Weighing your shipment at destination in-
type of vehicle. stead of at origin will not affect the accu-
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-
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
the shipment will not affect the charges you to obtain the tare weight. The net weight of
will pay. your shipment will then be obtained by sub-
Your mover must determine the weight of tracting the tare weight after delivery from
your shipment before requesting you to pay the gross weight.
for any charges dependent upon your ship- Gross Weight less the Tare Weight After
ment’s weight. Delivery = Net Weight.
Most movers have a minimum weight At the time of both weighings, your mov-
charge for transporting a shipment. Gen- er’s truck must have installed or loaded all
erally, the minimum is the charge for trans- pads, dollies, hand trucks, ramps, and other
porting a shipment of at least 3,000 pounds equipment required in the transportation of
(1,362 kilograms). your shipment. The driver and other persons
If your shipment appears to weigh less must be off the vehicle at the time of both
than the mover’s minimum weight, your weighings. The fuel tanks on the vehicle
mover must advise you on the order for serv- must be full at the time of each weighing; or,
ice of the minimum cost before transporting if the fuel tanks are not full, your mover
your shipment. Should your mover fail to ad- must not add fuel between the two weighings
vise you of the minimum charges and your when the tare weighing is the first weighing
shipment is less than the minimum weight, performed.
your mover must base your final charges Your mover may detach the trailer of a
upon the actual weight, not upon the min- tractor-trailer vehicle combination from the
imum weight. tractor and have the trailer weighed sepa-
rately at each weighing, provided the length
HOW MUST MY MOVER DETERMINE THE
of the scale platform is adequate to accom-
WEIGHT OF MY SHIPMENT?
modate and support the entire trailer.
Your mover must weigh your shipment Your mover may use an alternative meth-
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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
shipment upon a platform or warehouse cer- your mover informs you of the billing weight
tified scale before loading your shipment for and total charges, you have the right to de-
transportation or after unloading. mand a reweigh of your shipment. If you be-
Your mover must use the net weight of lieve the weight is not accurate, you have
shipments transported in large containers, the right to request your mover reweigh
such as ocean or railroad containers. Your your shipment before unloading.
mover will calculate the difference between You have the right, and your mover must
the tare weight of the container (including inform you of your right, to observe all
all pads, blocking and bracing used in the reweighings of your shipment. Your mover
transportation of your shipment) and the must tell you where and when each re-
gross weight of the container with your ship- weighing will occur. Your mover must give
ment loaded in the container. you a reasonable opportunity to be present
You have the right, and your mover must to observe the reweighing. You may waive
inform you of your right, to observe all your right to observe any reweighing; how-
weighings of your shipment. Your mover ever, you must waive that right in writing.
must tell you where and when each weighing You may send the written waiver via fax or
will occur. Your mover must give you a rea- e-mail, as well as by overnight courier or
sonable opportunity to be present to observe certified mail, return receipt requested. This
the weighings. does not affect any of your other rights
You may waive your right to observe any under Federal law.
weighing or reweighing. This does not affect Your mover is prohibited from charging
any of your other rights under Federal law. you for the reweighing. If the weight of your
Your mover may request that you waive shipment at the time of the reweigh is dif-
your right to have a shipment weighed upon ferent from the weight determined at origin,
a certified scale. Your mover may want to your mover must recompute the charges
weigh the shipment upon a trailer’s on- based upon the reweigh weight.
board, non-certified scale. You should de- Before requesting a reweigh, you may find
mand your right to have a certified scale it to your advantage to estimate the weight
used. The use of a non-certified scale may of your shipment using the following three-
cause you to pay a higher final bill for your step method:
move, if the non-certified scale does not ac- 1. Count the number of items in your ship-
curately weigh your shipment. Remember ment. Usually there will be either 30 or 40
that certified scales are inspected and ap- items listed on each page of the inventory.
proved for accuracy by a government inspec- For example, if there are 30 items per page
tion or licensing agency. Non-certified scales and your inventory consists of four complete
are not inspected and approved for accuracy pages and a fifth page with 15 items listed,
by a government inspection or licensing the total number of items will be 135. If an
agency. automobile is listed on the inventory, do not in-
Your mover must obtain a separate weight clude this item in the count of the total items.
ticket for each weighing. The weigh master 2. Subtract the weight of any automobile
must sign each weight ticket. Each weight included in your shipment from the total
ticket must contain the following six items: weight of the shipment. If the automobile
(1) The complete name and location of the was not weighed separately, its weight can
scale. be found on its title or license receipt.
(2) The date of each weighing. 3. Divide the number of items in your ship-
(3) Identification of the weight entries as ment into the weight. If the average weight
being the tare, gross, or net weights. resulting from this exercise ranges between
(4) The company or mover identification of 35 and 45 pounds (16 and 20 kilograms) per ar-
the vehicle. ticle, it is unlikely a reweigh will prove ben-
(5) Your last name as it appears on the Bill eficial to you. In fact, it could result in your
of Lading. paying higher charges.
(6) Your mover’s shipment registration or Experience has shown that the average
Bill of Lading number. shipment of household goods will weigh
Your mover must retain the original about 40 pounds (18 kilograms) per item. If a
weight ticket or tickets relating to the de- shipment contains a large number of heavy
termination of the weight of your shipment items, such as cartons of books, boxes of
as part of its file on your shipment. When tools or heavier than average furniture, the
both weighings are performed on the same average weight per item may be 45 pounds or
scale, one weight ticket may be used to more (20 kilograms or more).
record both weighings.
WHAT MUST MY MOVER DO IF I WANT TO
Your mover must present all freight bills
KNOW THE ACTUAL WEIGHT OR CHARGES FOR
with true copies of all weight tickets. If your
MY SHIPMENT BEFORE DELIVERY?
mover does not present its freight bill with
all weight tickets, your mover is in violation If you request notification of the actual
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Pt. 375, App. A 49 CFR Ch. III (10–1–20 Edition)
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
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,
specified in the order for service, your mover you may take your mover to court under 49
must notify you of the delay, at the mover’s U.S.C. 14706. The Federal Motor Carrier Safety
expense. As soon as the delay becomes appar- Administration (FMCSA) has no authority to
ent to your mover, it must give you notifica- order your mover to pay such claims.
tion it will be unable to provide the service While we hope your mover delivers your
specified in the terms of the order for serv- shipment in a timely manner, you should
ice. Your mover may notify you of the delay consider the possibility your shipment may
in any of the following ways: By telephone; be delayed, and find out what payment you
fax transmissions; e-mail; overnight courier; can expect if a mover delays service through
certified mail, return receipt requested; or in its own fault, before you agree with the
person. mover to transport your shipment.
When your mover notifies you of a delay, it
also must advise you of the dates or periods WHAT MUST MY MOVER DO IF IT IS ABLE TO
of time it may be able to pick up and/or de- DELIVER MY SHIPMENT MORE THAN 24
liver the shipment. Your mover must con- HOURS BEFORE I AM ABLE TO ACCEPT DE-
LIVERY?
sider your needs in its advisement. Your
mover must prepare a written record of the At your mover’s discretion, it may place
date, time, and manner of its notification. your shipment in storage. This will be under
Your mover must prepare a written record its own account and at its own expense in a
of its amended date or period for delivery. warehouse located in proximity to the des-
Your mover must retain these records as a tination of your shipment. Your mover may
part of its file on your shipment. The reten- do this if you fail to request or concur with
tion period is one year from the date of noti- an early delivery date, and your mover is
fication. Your mover must furnish a copy of able to deliver your shipment more than 24
the notification to you either by first class hours before your specified date or the first
mail or in person, if you request a copy of day of your specified period.
the notice. If your mover exercises this option, your
kpayne on VMOFRWIN702 with $$_JOB
Your mover must tender your shipment for mover must immediately notify you of the
delivery on the agreed-upon delivery date or name and address of the warehouse where
within the period specified on the bill of lad- your mover places your shipment. Your
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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. A
mover must make and keep a record of its purporting to release or discharge it or its
notification as a part of its shipment agents from liability.
records. Your mover has full responsibility Your mover may include a statement
for the shipment under the terms and condi- about your receipt of your property in appar-
tions of the bill of lading. Your mover is re- ent good condition, except as noted on the
sponsible for the charges for redelivery, han- shipping documents.
dling, and storage until it makes final deliv-
Do not sign the delivery receipt if it con-
ery. Your mover may limit its responsibility
tains any language purporting to release or
to the agreed-upon delivery date or the first
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
signing, or refuse delivery if the driver or
WHAT MUST MY MOVER DO FOR ME WHEN I mover refuses to provide a proper delivery
STORE HOUSEHOLD GOODS IN TRANSIT? receipt.
If you request your mover to hold your
WHAT IS THE MAXIMUM COLLECT-ON-DELIVERY
household goods in storage-in-transit and
AMOUNT MY MOVER MAY DEMAND I PAY AT
the storage period is about to expire, your
THE TIME OF DELIVERY?
mover must notify you, in writing, about the
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
your mover for loss or damage occurring to estimate) and any charges for impracticable
your goods while in transit or during the operations (not to exceed 15 percent of all
storage-in-transit period. other charges due at delivery). Your mover
(3) The date your mover’s liability will must specify on the estimate, order for serv-
end. ice, and bill of lading the form of payment
(4) Your property will be subject to the acceptable to it (for example, a certified
rules, regulations, and charges of the ware- check).
houseman. On a non-binding estimate, the maximum
Your mover must make this notification at amount is 110 percent of the approximate
least 10 days before the expiration date of costs, plus the charges for any additional
one of the following two periods of time: services you requested after the bill of lading
(1) The specified period of time when your was executed (charges therefore not included
mover is to hold your goods in storage. in the estimate) and any charges for imprac-
(2) The maximum period of time provided
ticable operations (not to exceed 15 percent
in its tariff for storage-in-transit.
Your mover must notify you by facsimile of all other charges due at delivery). Your
transmission; overnight courier; e-mail; or mover must specify on the estimate, order
certified mail, return receipt requested. for service, and bill of lading the form of
If your mover holds your household goods payment acceptable to it (for example, cash).
in storage-in-transit for less than 10 days,
your mover must notify you, one day before IF MY SHIPMENT IS TRANSPORTED ON MORE
the storage-in-transit period expires, of the THAN ONE VEHICLE, WHAT CHARGES MAY
same information specified above. MY MOVER COLLECT AT DELIVERY?
Your mover must maintain a record of all Although all movers try to move each
notifications to you as part of the records of
shipment on one truck, it becomes necessary
your shipment. Under the applicable tariff
at times to divide a shipment among two or
provisions regarding storage-in-transit, your
mover’s failure or refusal to notify you will more trucks. This frequently occurs when an
automatically extend your mover’s liability automobile is included in the shipment and
until the end of the day following the date transported on a specially designed vehicle.
when your mover actually gives you notice. When this occurs, your transportation
charges are the same as if the entire ship-
SUBPART G—DELIVERY OF MY SHIPMENT ment moved on one truck.
If your shipment is divided for transpor-
MAY MY MOVER ASK ME TO SIGN A DELIVERY
RECEIPT PURPORTING TO RELEASE IT FROM tation on two or more trucks, the mover
LIABILITY? may require payment for each portion as it
is delivered.
At the time of delivery, your mover will Your mover may delay the collection of all
expect you to sign a receipt for your ship- the charges until the entire shipment is de-
ment. Normally, you will sign each page of livered, at its discretion, not yours. When
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Pt. 375, App. A 49 CFR Ch. III (10–1–20 Edition)
IF MY SHIPMENT IS PARTIALLY LOST OR DE- ment contains perishable live plants. Your
STROYED, WHAT CHARGES MAY MY MOVER mover may disregard its loss or destruction
COLLECT AT DELIVERY? of your plants because you failed to inform
your mover you were transporting live
Movers customarily make every effort to
plants.
avoid losing, damaging, or destroying any of
Your mover must determine, at its own ex-
your items while your shipment is in their
pense, the proportion of the shipment, based
possession for transportation. However, de-
on actual or constructive weight, not lost or
spite the precautions taken, articles are
destroyed in transit.
sometimes lost or destroyed during the
Your rights are in addition to, and not in
move.
lieu of, any other rights you may have with
In addition to any money you may recover
respect to your shipment of household goods
from your mover to compensate for lost or
your mover lost or destroyed, or partially
destroyed articles, you also may recover the
lost or destroyed, in transit. This applies
transportation charges represented by the
whether or not you have exercised your
portion of the shipment lost or destroyed.
rights provided above.
Your mover may apply this paragraph only
to the transportation of household goods. SUBPART H—COLLECTION OF CHARGES
Your mover may disregard this paragraph if
loss or destruction was due to an act or DOES THIS SUBPART APPLY TO MOST
omission by you. Your mover must require SHIPMENTS?
you to pay any specific valuation charge due. It applies to all shipments of household
For example, if you pack a hazardous ma- goods that involve a balance due freight or
terial (i.e., gasoline, aerosol cans, motor oil, expense bill or are shipped on credit.
etc.) and your shipment is partially lost or
destroyed by fire in storage or in the mover’s HOW MUST MY MOVER PRESENT ITS FREIGHT
trailer, your mover may require you to pay OR EXPENSE BILL TO ME?
for the full cost of transportation.
If your shipment is partially lost or de- At the time of payment of transportation
stroyed, your mover is permitted to collect charges, your mover must give you a freight
bill identifying the service provided and the
at delivery only a prorated percentage based
charge for each service. It is customary for
on the freight charges for the goods actually
most movers to use a copy of the bill of lad-
delivered, plus the charges for any additional
ing as a freight bill; however, some movers
services you requested after the bill of lading
use an entirely separate document for this
was executed and any charges for impracti-
purpose.
cable operations. Charges for impracticable
Except in those instances where a ship-
operations collected at delivery must not ex-
ment is moving on a binding estimate, the
ceed 15 percent of the total charges your
freight bill must specifically identify each
mover collects at delivery. service performed, the rate or charge per
Your mover is forbidden from collecting,
service performed, and the total charges for
or requiring you to pay, any freight charges each service. If this information is not on the
(including any charges for accessorial or ter- freight bill, do not accept or pay the freight bill.
minal services) when your household goods Movers’ tariffs customarily specify that
shipment is totally lost or destroyed in transit, freight charges must be paid in cash, by cer-
unless the loss or destruction was due to an tified check, or by cashier’s check. When this
act or omission by you. requirement exists, the mover will not ac-
HOW MUST MY MOVER CALCULATE THE cept personal checks. At the time you order
CHARGES APPLICABLE TO THE SHIPMENT AS your move, you should ask your mover about
DELIVERED? the form of payment your mover requires.
Some movers permit payment of freight
Your mover must multiply the percentage charges by use of a charge or credit card.
equal to the weight of the portion of the However, do not assume your nationally rec-
shipment delivered to the total weight of the ognized charge, credit, or debit card will be
shipment times the total charges applicable acceptable for payment. Ask your mover at
to the shipment tendered by you to obtain the time you request an estimate. Your
the total charges it must collect from you. mover must specify the form of payment it
If your mover’s computed charges exceed will accept at delivery.
the charges otherwise applicable to the ship- If you do not pay the transportation
ment as delivered, the lesser of those charges charges at the time of delivery, your mover
must apply. This will apply only to the has the right, under the bill of lading, to
transportation of your household goods. refuse to deliver your goods. The mover may
Your mover must require you to pay any place them in storage, at your expense, until
specific valuation charge due. the charges are paid. However, the mover
Your mover may not refund the freight must deliver your goods upon payment of 100
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charges if the loss or destruction was due to percent of a binding estimate, plus the
an act or omission by you. For example, you charges for any additional services you re-
fail to disclose to your mover that your ship- quested after the bill of lading was executed
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Federal Motor Carrier Safety Administration, DOT Pt. 375, App. 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-
must present its freight bill for all transpor- LECT-ON-DELIVERY SHIPMENT BEFORE THE
tation charges within 15 days of the date PAYMENT OF ALL CHARGES, HOW MUST MY
your mover received the shipment. This pe- MOVER COLLECT THE BALANCE?
riod excludes Saturdays, Sundays, and Fed-
eral holidays. On ‘‘collect-on-delivery’’ shipments, your
On ‘‘collect’’ shipments, your mover must mover must present its freight bill for trans-
present its freight bill for all transportation portation charges within 15 days, calculated
charges on the date of delivery, or, at its dis- from the date the shipment was delivered at
cretion, within 15 days, calculated from the your destination. This period excludes Satur-
date the shipment was delivered at your des- days, Sundays, and Federal holidays. (Bills
tination. This period excludes Saturdays, for additional charges based on the weight of
Sundays, and Federal holidays. (Bills for ad- the shipment will be presented 30 days after
ditional charges based on the weight of the delivery; charges for impracticable oper-
shipment will be presented 30 days after de- ations not paid at delivery are due within 30
livery; charges for impracticable operations days of the invoice.)
not paid at delivery are due within 30 days of
the invoice.) Your mover’s freight bills and WHAT ACTIONS MAY MY MOVER TAKE TO COL-
accompanying written notices must state LECT FROM ME THE CHARGES IN ITS FREIGHT
the following five items: BILL?
(1) Penalties for late payment.
Your mover must present a freight bill
(2) Credit time limits.
within 15 days (excluding Saturdays, Sun-
(3) Service or finance charges.
days, and Federal holidays) of the date of de-
(4) Collection expense charges.
(5) Discount terms. livery of a shipment at your destination.
If your mover extends credit to you, (Bills for additional charges based on the
freight bills or a separate written notice ac- weight of the shipment will be presented 30
companying a freight bill or a group of days after delivery; charges for impracti-
freight bills presented at one time must cable operations not paid at delivery are due
state, ‘‘You may be subject to tariff pen- within 30 days of the invoice.)
alties for failure to timely pay freight Your mover must provide in its tariffs the
charges,’’ or a similar statement. Your following three things:
mover must state on its freight bills or other (1) A provision indicating its credit period
notices when it expects payment and any ap- is a total of 30 calendar days.
plicable service charges, collection expense (2) A provision indicating you will be as-
charges, and discount terms. sessed a service charge by your mover equal
When your mover lacks sufficient informa- to one percent of the amount of the freight
tion to compute its tariff charges at the time bill, subject to a $20 minimum charge, for
of billing, your mover must present its the extension of the credit period. The mover
freight bill for payment within 15 days fol- will assess the service charge for each 30-day
lowing the day when sufficient information extension that the charges go unpaid.
becomes available. This period excludes Sat- (3) A provision that your mover must deny
urdays, Sundays, and Federal holidays. credit to you if you fail to pay a duly pre-
Your mover must not extend additional sented freight bill within the 30-day period.
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credit to you if you fail to furnish sufficient Your mover may grant credit to you, at its
information to your mover. Your mover discretion, when you satisfy your mover’s
must have sufficient information to render a condition that you will pay all future freight
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Pt. 376 49 CFR Ch. III (10–1–20 Edition)
bills duly presented. Your mover must en- SUBPART I—RESOLVING DISPUTES WITH MY
sure all your payments of freight bills are MOVER
strictly in accordance with Federal rules and
regulations for the settlement of its rates WHAT MAY I DO TO RESOLVE DISPUTES WITH
MY MOVER?
and charges.
The Federal Motor Carrier Safety Administra-
DO I HAVE A RIGHT TO FILE A CLAIM TO RE- tion Does Not Help You Settle Your Dispute
COVER MONEY FOR PROPERTY MY MOVER With Your Mover
LOST OR DAMAGED?
Generally, you must resolve your own loss
Should your move result in the loss of or and damage disputes with your mover. You
damage to any of your property, you have enter a contractual arrangement with your
the right to file a claim with your mover to mover. You are bound by each of the fol-
recover money for such loss or damage. lowing three things:
You should file a claim as soon as possible. (1) The terms and conditions you nego-
If you fail to file a claim within 9 months, tiated before your move.
your mover may not be required to accept (2) The terms and conditions you accepted
your claim. If you institute a court action when you signed the bill of lading.
and win, you may be entitled to attorney’s (3) The terms and conditions you accepted
fees if you submitted your claim to the car- when you signed for delivery of your goods.
You have the right to take your mover to
rier within 120 days after delivery or the
court. We require your mover to offer you ar-
scheduled date of delivery (whichever is
bitration to settle your disputes with it.
later), and (1) the mover did not advise you
during the claim settlement process of the [72 FR 36775, July 5, 2007, as amended at 77
availability of arbitration as a means for re- FR 59824, Oct. 1, 2012; 80 FR 59071, Oct. 1, 2015]
solving the dispute; (2) a decision was not
rendered through arbitration within the PART 376—LEASE AND
time required by law; or (3) you are insti- INTERCHANGE OF VEHICLES
tuting a court action to enforce an arbitra-
tion decision with which the mover has not
Subpart A—General Applicability and
complied.
Definitions
While the Federal Government maintains
regulations governing the processing of loss Sec.
and damage claims (49 CFR part 370), it can- 376.1 Applicability.
not resolve those claims. If you cannot settle 376.2 Definitions.
a claim with the mover, you may file a civil
action to recover your claim in court under Subpart B—Leasing Regulations
49 U.S.C. 14706. You may obtain the name
376.11 General leasing requirements.
and address of the mover’s agent for service
376.12 Lease requirements.
of legal process in your State by contacting
the Federal Motor Carrier Safety Adminis- Subpart C—Exemptions for the Leasing
tration. You may also obtain the name of a Regulations
process agent via the Internet. Go to http.//
www.fmcsa.dot.gov then click on Licensing 376.21 General exemptions.
and Insurance (L&I) section. 376.22 Exemption for private carrier leasing
In addition, your mover must participate and leasing between authorized carriers.
in an arbitration program. As described ear- 376.26 Exemption for leases between author-
lier in this pamphlet, an arbitration program ized carriers and their agents.
gives you the opportunity to settle, through
a neutral arbitrator, certain types of unre- Subpart D—Interchange Regulations
solved loss or damage claims and disputes re- 376.31 Interchange of equipment.
garding charges that were billed to you by
your mover after your shipment was deliv- Subpart E—Private Carriers and Shippers
ered. You may find submitting your claim to
arbitration under such a program to be a less 376.42 Lease of equipment by regulated car-
expensive and more convenient way to seek riers.
recovery of your claim. Your mover is re- AUTHORITY: 49 U.S.C. 13301 and 14102; and 49
quired to provide you with information CFR 1.87.
about its arbitration program before you
SOURCE: 44 FR 4681, Jan. 23, 1979, unless
move. If your mover fails to do so, ask the
otherwise noted. Redesignated at 61 FR 54707,
mover for details of its program.
Oct. 21, 1996.
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Federal Motor Carrier Safety Administration, DOT § 376.11
ing the use of equipment, with or with- specifically identifying the equipment
out driver, to another. to be leased and stating the date and
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§ 376.12 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 376.12
(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
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.
enue, a flat rate per mile, a variable (f) Payment period. The lease shall
rate depending on the direction trav- specify that payment to the lessor
eled or the type of commodity trans- shall be made within 15 days after sub-
ported, or by any other method of com- mission of the necessary delivery docu-
pensation mutually agreed upon by the ments concerning a trip in the service
parties to the lease. The compensation of the authorized carrier. The docu-
stated on the lease or in the attached mentation required before the lessor
addendum may apply to equipment and can receive payment is limited to log
driver’s services either separately or as books required by the Department of
a combined amount. Transportation and those documents
(e) Items specified in lease. The lease necessary for the authorized carrier to
shall clearly specify which party is re- secure payment from the shipper. In
sponsible for removing identification addition, the lease may provide that,
devices from the equipment upon the upon termination of the lease agree-
termination of the lease and when and ment, as a condition precedent to pay-
how these devices, other than those ment, the lessor shall remove all iden-
painted directly on the equipment, will tification devices of the authorized car-
be returned to the carrier. The lease rier and, except in the case of identi-
shall clearly specify the manner in fication painted directly on equipment,
which a receipt will be given to the au- return them to the carrier. If the iden-
thorized carrier by the equipment tification device has been lost or sto-
owner when the latter retakes posses- len, a letter certifying its removal will
sion of the equipment upon termi- satisfy this requirement. Until this re-
nation of the lease agreement, if a re- quirement is complied with, the carrier
ceipt is required at all by the lease. may withhold final payment. The au-
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The lease shall clearly specify the re- thorized carrier may require the sub-
sponsibility of each party with respect mission of additional documents by the
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§ 376.12 49 CFR Ch. III (10–1–20 Edition)
which gives the authorized carrier the (2) The specific items to which the es-
right to make deductions from the les- crow fund can be applied.
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Federal Motor Carrier Safety Administration, DOT § 376.21
(3) That while the escrow fund is equipment shall keep a copy of the
under the control of the authorized lease.
carrier, the authorized carrier shall (m) This paragraph applies to owners
provide an accounting to the lessor of who are not agents but whose equip-
any transactions involving such fund. ment is used by an agent of an author-
The carrier shall perform this account- ized carrier in providing transportation
ing in one of the following ways: on behalf of that authorized carrier. In
(i) By clearly indicating in individual this situation, the authorized carrier is
settlement sheets the amount and de- obligated to ensure that these owners
scription of any deduction or addition receive all the rights and benefits due
made to the escrow fund; or an owner under the leasing regulations,
(ii) By providing a separate account- especially those set forth in paragraphs
ing to the lessor of any transactions in- (d)–(k) of this section. This is true re-
volving the escrow fund. This separate gardless of whether the lease for the
accounting shall be done on a monthly equipment is directly between the au-
basis. thorized carrier and its agent rather
(4) The right of the lessor to demand than directly between the authorized
to have an accounting for transactions carrier and each of these owners. The
involving the escrow fund at any time. lease between an authorized carrier
(5) That while the escrow fund is and its agent shall specify this obliga-
under the control of the carrier, the tion.
carrier shall pay interest on the escrow
fund on at least a quarterly basis. For [44 FR 4681, Jan. 23, 1979, as amended at 45
purposes of calculating the balance of FR 13092, Feb. 28, 1980; 47 FR 28398, June 30,
the escrow fund on which interest must 1982; 47 FR 51140, Nov. 12, 1982; 47 FR 54083,
be paid, the carrier may deduct a sum Dec. 1, 1982; 49 FR 47851, Dec. 7, 1984; 51 FR
37406, 37407, Oct. 22, 1986; 52 FR 2412, Jan. 22,
equal to the average advance made to
1987; 57 FR 32905, July 24, 1992; 62 FR 15424,
the individual lessor during the period
Apr. 1, 1997; 83 FR 16224, Apr. 16, 2018; 83 FR
of time for which interest is paid. The 24228, May 25, 2018]
interest rate shall be established on
the date the interest period begins and
shall be at least equal to the average Subpart C—Exemptions for the
yield or equivalent coupon issue yield Leasing Regulations
on 91-day, 13-week Treasury bills as es-
tablished in the weekly auction by the § 376.21 General exemptions.
Department of Treasury. Except for § 376.11(c) which requires
(6) The conditions the lessor must the identification of equipment, the
fulfill in order to have the escrow fund leasing regulations in this part shall
returned. At the time of the return of not apply to:
the escrow fund, the authorized carrier (a) Equipment used in substituted
may deduct monies for those obliga- motor-for-rail transportation of rail-
tions incurred by the lessor which have road freight moving between points
been previously specified in the lease, that are railroad stations and on rail-
and shall provide a final accounting to road billing.
the lessor of all such final deductions (b) Equipment used in transportation
made to the escrow fund. The lease performed exclusively within any com-
shall further specify that in no event mercial zone as defined by the Sec-
shall the escrow fund be returned later retary.
than 45 days from the date of termi-
(c) Equipment leased without drivers
nation.
from a person who is principally en-
(l) Copies of the lease. The parties
gaged in such a business.
must sign the lease. The authorized
(d) Any type of trailer not drawn by
carrier shall keep a copy and shall
place another copy of the lease on the a power unit leased from the same les-
equipment during the period of the sor.
lease unless a statement as provided
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§ 376.22 49 CFR Ch. III (10–1–20 Edition)
§ 376.22 Exemption for private carrier under this section without complying
leasing and leasing between author- with the requirements of paragraph (a)
ized carriers. of this section pertaining to identifica-
Regardless of the leasing regulations tion of equipment, and the require-
set forth in this part, an authorized ments of paragraphs (c)(2) and (c)(4) of
carrier may lease equipment to or from this section pertaining to equipment
another authorized carrier, or a private receipts. The leasing of equipment be-
carrier may lease equipment to an au- tween such carriers will be subject to
thorized carrier under the following all other requirements of this section.
conditions: [49 FR 9570, Mar. 14, 1984, as amended at 49
(a) The identification of equipment FR 47269, Dec. 3, 1984; 49 FR 47851, Dec. 7,
requirements in § 376.11(c) must be com- 1984; 62 FR 15424, Apr. 1, 1997; 63 FR 40838,
plied with; July 31, 1998]
(b) The lessor must own the equip-
ment or hold it under a lease; § 376.26 Exemption for leases between
(c) There must be a written agree- authorized carriers and their
ment between the authorized carriers agents.
or between the private carrier and au- The leasing regulations set forth in
thorized carrier, as the case may be, § 376.12(e) through (l) do not apply to
concerning the equipment as follows: leases between authorized carriers and
(1) It must be signed by the parties or their agents.
their authorized representatives. [47 FR 28398, June 30, 1982, as amended at 62
(2) It must provide that control and FR 15424, Apr. 1, 1997]
responsibility for the operation of the
equipment shall be that of the lessee
from the time possession is taken by Subpart D—Interchange
the lessee and the receipt required Regulations
under § 376.11(b) is given to the lessor
§ 376.31 Interchange of equipment.
until:
(i) Possession of the equipment is re- Authorized for-hire motor carriers
turned to the lessor and the receipt re- may interchange equipment under the
quired under § 376.11(b) is received by following conditions:
the authorized carrier; or (a) Interchange agreement. There shall
(ii) In the event that the agreement be a written contract, lease, or other
is between authorized carriers, posses- arrangement providing for the inter-
sion of the equipment is returned to change and specifically describing the
the lessor or given to another author- equipment to be interchanged. This
ized carrier in an interchange of equip- written agreement shall set forth the
ment. specific points of interchange, how the
(3) A copy of the agreement must be equipment is to be used, and the com-
carried in the equipment while it is in pensation for such use. The inter-
the possession of the lessee. change agreement shall be signed by
(4) Nothing in this section shall pro- the parties or by their authorized rep-
hibit the use, by authorized carriers, resentatives.
private carriers, and all other entities (b) Operating authority. The carriers
conducting lease operations pursuant participating in the interchange shall
to this section, of a master lease if a be registered with the Secretary to
copy of that master lease is carried in provide the transportation of the com-
the equipment while it is in the posses- modities at the point where the phys-
sion of the lessee, and if the master ical exchange occurs.
lease complies with the provisions of (c) Through bills of lading. The traffic
this section and receipts are exchanged transported in interchange service
in accordance with § 376.11(b), and if must move on through bills of lading
records of the equipment are prepared issued by the originating carrier. The
and maintained in accordance with rates charged and the revenues col-
§ 376.11(d). lected must be accounted for in the
(d) Authorized and private carriers same manner as if there had been no
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under common ownership and control interchange. Charges for the use of the
may lease equipment to each other interchanged equipment shall be kept
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Federal Motor Carrier Safety Administration, DOT § 377.101
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§ 377.103 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 377.203
(e) Service charges. (1) Service charges (g)(1) Collection expense charges. Car-
shall not apply when credit is extended riers may, by tariff rule, assess reason-
and payments are made within the able and certain liquidated damages for
standard credit period. The term stand- all costs incurred in the collection of
ard credit period, as used in the pre- overdue freight charges. Carriers may
ceding sentence, means— use one of two methods in their tariffs:
(i) The credit period prescribed in (i) The first method is to assess liq-
paragraph (c) of this section, or uidated damages as a separate addi-
(ii) A substitute credit period pub- tional charge to the unpaid freight bill.
lished in a tariff rule pursuant to the In doing so, the tariff rule shall dis-
authorization in paragraph (d) of this close the exact amount of the charges
section. by stating either a dollar or specified
(2) Carriers may, by tariff rule, ex- percentage amount (or a combination
tend credit for an additional time pe- of both) of the unpaid freight bill. The
riod, subject if they wish to a service tariff shall further specify the time pe-
charge for that additional time. The riod (which shall at least allow for the
combined length of the carrier’s stand- authorized credit period) within which
ard credit period (as defined in para- the shipper must pay to avoid such liq-
graph (e)(1) of this section) and its ad- uidated damages.
ditional credit period shall not exceed (ii) The second method is to require
the 30-day maximum credit period pre- payment of the full, nondiscounted
scribed in paragraph (d) of this section. rate instead of the discounted rate oth-
When such a tariff rule is in effect, erwise applicable. The difference be-
shippers may elect to postpone pay- tween the discount and the full rate
ment until the end of the extended constitutes a carrier’s liquidated dam-
credit period if, in consideration there- ages for its collection effort. Under this
for, they include any published service method the tariff shall identify the dis-
charges when making their payment. count rates that are subject to the con-
(3) Carriers may, by tariff rule, estab- dition precedent and which require the
lish service charges for payments made shipper to make payment by a date
after the expiration of an authorized certain. The date certain may not be
credit period. Such a rule shall— set to occur by the carrier until at
(i) Institute such charges on the day least after the expiration of the car-
following the last day of an authorized rier’s authorized credit period.
credit period, and (2) The damages, the timing of their
(ii) Notify shippers— applicability, and the conditions, if
(A) That its only purpose is to pre- any, as provided by the tariff-rule
vent a shipper who does not pay on methods allowed under paragraphs
time from having free use of funds due (g)(1) (i) and (ii) of this section also:
to the carrier, (i) Shall be clearly described in the
(B) That it does not sanction pay- tariff rule;
ment delays, and (ii) Shall be applied without unlawful
(C) That failure to pay within the au- prejudice and/or unjust discrimination
thorized credit period will, despite this between similarly situated shippers
provision for such charges, continue to and/or consignees;
require the carrier, before again ex- (iii) Shall be applied only to the non-
tending credit, to determine in good payment of original, separate and inde-
faith whether the shipper will comply pendent freight bills and shall not
with the credit regulations in the fu- apply to aggregate balance-due claims
ture. sought for collection on past shipments
(4) Tariff rules that establish charges by a bankruptcy trustee, or any other
pursuant to paragraph (e) (2) or (3) of person or agent;
this section may establish minimum (iv) Shall not apply to instances of
charges. clear clerical or ministerial error such
(f) Discounts. Carriers may, by tariff as non-receipt of a carrier’s freight
rule, authorize discounts for early bill, or shipper’s payment check lost in
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freight bill payments when credit is ex- the mail, or carrier mailing of the
tended. freight bill to the wrong address;
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§ 377.205 49 CFR Ch. III (10–1–20 Edition)
(v) Shall not apply in any way to a (ii) As otherwise excepted in this
charge for a transportation service if part.
the carrier’s bill of lading independ- (2) The time period for a carrier to
ently provides that the shipper is liable present its freight bill for all transpor-
for fees incurred by the carrier in the tation charges shall be 7 days, meas-
collection of freight charges on that ured from the date the shipment was
same transportation service; delivered at its destination. This time
(vi) shall be applied only after the period does not include Saturdays,
authorized credit period, and when the Sundays, or legal holidays.
carrier has issued a revised freight bill (c) Bills or accompanying written no-
or notice of imposition of collection ex- tices shall state penalties for late pay-
pense charges for late payment within ment, credit time limits and service charge
90 days after expiration of the author- and/or collection expense charge and dis-
ized credit period. count terms. When credit is extended,
(3) As an alternative to the tariff-rule freight bills or a separate written no-
methods allowed under paragraphs tice accompanying a freight bill or a
(g)(1) (i) and (ii) of this section, a car- group of freight bills presented at one
rier may, wholly outside of its tariff, time shall state that ‘‘failure timely to
assess collection charges though con- pay freight charges may be subject to
tract terms in a bill of lading. By using tariff penalties’’ (or a statement of
the carrier and its bill of lading, the similar import). The bills or other no-
shipper accepts the bill of lading tice shall also state the time by which
terms. payment must be made and any appli-
(h) Discrimination prohibited. Tariff cable service charge and/or collection
rules published pursuant to paragraphs expense charge and discount terms.
(d), (e), and (f) of this section shall not (d) When the carrier lacks sufficient in-
result in unreasonable discrimination formation to compute tariff charges. (1)
among shippers. When information sufficient to enable
the carrier to compute the tariff
[50 FR 2290, Jan. 16, 1985, as amended at 53 charges is not then available to the
FR 6991, Mar. 4, 1988; 54 FR 30748, July 24, carrier at its billing point, the carrier
1989]
shall present its freight bill for pay-
ment within 7 days following the day
§ 377.205 Presentation of freight bills.
upon which sufficient information be-
(a) ‘‘To be prepaid’’ shipments. (1) On comes available at the billing point.
‘‘to be prepaid’’ shipments, the carrier This time period does not include Sat-
shall present its freight bill for all urdays, Sundays, or legal holidays.
transportation charges within the time (2) A carrier shall not extend further
period prescribed in paragraph (a)(2) of credit to any shipper which fails to fur-
this section, except— nish sufficient information to allow the
(i) As noted in paragraph (d) of this carrier to render a freight bill within a
section, or reasonable time after the shipment is
(ii) As otherwise excepted in this tendered to the origin carrier.
part. (3) As used in this paragraph, the
(2) The time period for a carrier to term ‘‘shipper’’ includes, but is not
present its freight bill for all transpor- limited to, freight forwarders, and
tation charges shall be 7 days, meas- shippers’ associations and shippers’
ured from the date the carrier received agents.
the shipment. This time period does [50 FR 2290, Jan. 16, 1985, as amended at 54
not include Saturdays, Sundays, or FR 30748, July 24, 1989; 62 FR 15424, Apr. 1,
legal holidays. 1997]
(b) ‘‘Collect’’ shipments. (1) On ‘‘col-
lect’’ shipments, the carrier shall § 377.207 Effect of mailing freight bills
present its freight bill for all transpor- or payments.
tation charges within the time period (a) Presentation of freight bills by mail.
prescribed in paragraph (b)(2) and of When carriers present freight bills by
this section, except— mail, the time of mailing shall be
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§ 378.3 49 CFR Ch. III (10–1–20 Edition)
(a) Claims for overcharge, duplicate vestigation and establish a file, as re-
payment, or overcollection shall be ac- quired by § 378.6.
156
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Federal Motor Carrier Safety Administration, DOT § 378.9
claimant and the carrier agree in writ- cable to particular freight charges law-
ing to a specific extension based upon fully due the carrier. Where no refund
157
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Pt. 379 49 CFR Ch. III (10–1–20 Edition)
is made by the carrier, the carrier shall (b) This part applies also to the pres-
advise the payor of its right to file a ervation of accounts, records and
formal claim for refund with the car- memoranda of traffic associations,
rier in accordance with the regular weighing and inspection bureaus, and
claims procedure under this part. other joint activities maintained by or
(b) When a carrier which participates on behalf of companies listed in para-
in a transportation movement, but did graph (a) of this section.
not collect the transporation charges,
finds that an overpayment has been § 379.3 Records required to be re-
made, that carrier shall immediately tained.
notify the collecting carrier. When the Companies subject to this part shall
collecting carrier (when single or joint retain records for the minimum reten-
line haul) discovers or is notified by tion periods provided in appendix A to
such a participating carrier that an this part. After the required retention
overcharge, duplicate payment, or periods, the records may be destroyed
overcollection exists for any at the discretion of each company’s
tranportation charge which has not management. It shall be the obligation
been the subject of a claim, the carrier of the subject company to maintain
shall create a file as if a claim had records that adequately support finan-
been submitted and shall record in the cial and operational data required by
file the date it discovered or was noti- the Secretary. The company may re-
fied of the overpayment. The carrier quest a ruling from the Secretary on
that collected the charges shall then the retention of any record. The provi-
refund the amount of the overpayment sions of this part shall not be con-
to the person who paid the transpor- strued as excusing compliance with the
tation charges or to the person that lawful requirements of any other gov-
made duplicate payment within 30 days ernmental body prescribing longer re-
from the date of such discovery or noti- tention periods for any category of
fication. records.
[43 FR 41040, Sept. 14, 1978, as amended at 44
FR 66832, Nov. 21, 1979] § 379.5 Protection and storage of
records.
PART 379—PRESERVATION OF (a) The entity shall protect records
RECORDS subject to this part from destruction,
deterioration, unauthorized access,
Sec. modification and/or data corruption.
379.1 Applicability. (b) The entity shall notify the Sec-
379.3 Records required to be retained. retary if prescribed records are sub-
379.5 Protection and storage of records. stantially destroyed, damaged,
379.7 Preservation of records.
379.9 Companies going out of business. accessed and modified without author-
379.11 Waiver of requirements of the regula- ization, or otherwise corrupted.
tions in this part.
[83 FR 16225, Apr. 16, 2018]
379.13 Disposition and retention of records.
APPENDIX A TO PART 379—SCHEDULE OF § 379.7 Preservation of records.
RECORDS AND PERIODS OF RETENTION
(a) All records may be preserved by
AUTHORITY: 49 U.S.C. 13301, 14122 and 14123;
and 49 CFR 1.87. any technology that accurately re-
flects all of the information in the
SOURCE: 62 FR 32044, June 12, 1997, unless record and remains accessible in a form
otherwise noted.
that can be accurately reproduced later
§ 379.1 Applicability. for reference.
(b) Common information, such as in-
(a) The preservation of record rules structions, need not be preserved for
contained in this part shall apply to each record as long as it is common to
the following: all such forms and an identified speci-
(1) Motor carriers and brokers; men of the form is maintained for ref-
(2) Water carriers; and
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erence.
(3) Household goods freight for-
warders. [83 FR 16225, Apr. 16, 2018]
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Federal Motor Carrier Safety Administration, DOT Pt. 379, App. A
§ 379.9 Companies going out of busi- ture from prescribed retention periods,
ness. procedures, or techniques, or that com-
The records referred to in the regula- pliance with such prescribed require-
tions in this part may be destroyed ments would impose an unreasonable
after business is discontinued and the burden on the company.
company is completely liquidated. The
records may not be destroyed until dis- § 379.13 Disposition and retention of
solution is final and all pending trans- records.
actions and claims are completed. The schedule in appendix A to this
When a company is merged with an- part shows periods that designated
other company under jurisdiction of records shall be preserved. The descrip-
the Secretary, the successor company tions specified under the various gen-
shall preserve records of the merged eral headings are for convenient ref-
company in accordance with the regu-
erence and identification, and are in-
lations in this part.
tended to apply to the items named re-
§ 379.11 Waiver of requirements of the gardless of what the records are called
regulations in this part. in individual companies and regardless
A waiver from any provision of the of the record media. The retention pe-
regulations in this part may be made riods represent the prescribed number
by the Secretary upon his/her own ini- of years from the date of the document
tiative or upon submission of a written and not calendar years. Records not
request by the company. Each request listed in appendix A to this part shall
for waiver shall demonstrate that un- be retained as determined by the man-
usual circumstances warrant a depar- agement of each company.
B. Treasury
1. Capital stock records:
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Pt. 379, App. A 49 CFR Ch. III (10–1–20 Edition)
(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.
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Federal Motor Carrier Safety Administration, DOT Pt. 379, App. A
(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
charges to other carriers:
(1) Bus express freight bills provided no claim has been filed .... 1 year.
(2) All other freight bills ................................................................ 1 year.
(c) Records of unsettled freight bills and supporting documents ............... 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:
(a) Cash books ............................................................................................ 1 year.
(b) Remittance records, bank deposit slips and supporting documents .... 1 year.
(c) Balance sheets and supporting documents .......................................... 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
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Pt. 380 49 CFR Ch. III (10–1–20 Edition)
(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 6 months.
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.
[62 FR 32044, June 12, 1997, as amended at 66 FR 49871, Oct. 1, 2001; 77 FR 59824, Oct. 1, 2012;
83 FR 16225, Apr. 16, 2018]
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Federal Motor Carrier Safety Administration, DOT § 380.107
380.723 Removal from Training Provider involve the actual operation of a longer
Registry: procedure. combination vehicle or its components.
380.725 Documentation and record reten- Instruction may take place in a park-
tion.
ing lot, garage, or any other facility
APPENDIX A TO PART 380—CLASS A—CDL suitable for instruction.
TRAINING CURRICULUM
APPENDIX B TO PART 380—CLASS B—CDL Longer combination vehicle (LCV)
TRAINING CURRICULUM means any combination of a truck-
APPENDIX C TO PART 380—PASSENGER EN- tractor and two or more trailers or
DORSEMENT TRAINING CURRICULUM semi-trailers, which operate on the Na-
APPENDIX D TO PART 380—SCHOOL BUS EN- tional System of Interstate and De-
DORSEMENT TRAINING CURRICULUM fense Highways with a gross vehicle
APPENDIX E TO PART 380—HAZARDOUS MATE-
weight (GVW) greater than 36,288 kilo-
RIALS ENDORSEMENT TRAINING CUR-
RICULUM
grams (80,000 pounds).
APPENDIX F TO PART 380—LCV DRIVER TRAIN- LCV Double means an LCV consisting
ING PROGRAMS, REQUIRED KNOWLEDGE AND of a truck-tractor in combination with
SKILLS two trailers and/or semi-trailers.
AUTHORITY: 49 U.S.C. 31133, 31136, 31305, LCV Triple means an LCV consisting
31307, 31308, and 31502; sec. 4007(a) and (b) of of a truck-tractor in combination with
Pub. L. 102–240 (105 Stat. 2151–2152); sec. 32304 three trailers and/or semi-trailers.
of Pub. L.112–141; and 49 CFR 1.87. Qualified LCV driver-instructor means
SOURCE: 69 FR 16732, Mar. 30, 2004, unless an instructor meeting the require-
otherwise noted. ments contained in subpart C of this
part. There are two types of qualified
Subpart A—Longer Combination LCV driver-instructors: (1) classroom
Vehicle (LCV) Driver-Training instructor and (2) skills instructor.
and Driver-Instructor Require- Skills instructor means a qualified
ments—General LCV driver-instructor who provides be-
hind-the-wheel instruction involving
§ 380.101 Purpose and scope. the actual operation of a longer com-
(a) Purpose. The purpose of this part bination vehicle or its components out-
is to establish minimum requirements side a classroom.
for operators of longer combination ve- Training institution means any tech-
hicles (LCVs) and LCV driver-instruc- nical or vocational school accredited
tors. by an accrediting institution recog-
(b) Scope. This part establishes: nized by the U.S. Department of Edu-
(1) Minimum training requirements cation. A motor carrier’s training pro-
for operators of LCVs; gram for its drivers or an entity that
(2) Minimum qualification require- exclusively offers services to a single
ments for LCV driver-instructors; and motor carrier is not a training institu-
(3) Procedures for determining com- tion.
pliance with this part by operators, in-
structors, training institutions, and § 380.107 General requirements.
employers. (a) Except as provided in § 380.111, a
driver who wishes to operate an LCV
§ 380.103 Applicability. shall first take and successfully com-
The rules in this part apply to all op- plete an LCV driver-training program
erators of LCVs in interstate com- that provides the knowledge and skills
merce, employers of such persons, and necessary to operate an LCV. The spe-
LCV driver-instructors. cific types of knowledge and skills that
a training program shall include are
§ 380.105 Definitions. outlined in Appendix F to this part.
(a) The definitions in part 383 of this (b) Before a person receives training:
subchapter apply to this part, except (1) That person shall present evidence
where otherwise specifically noted. to the LCV driver-instructor showing
(b) As used in this part: that he/she meets the general require-
Classroom instructor means a qualified ments set forth in subpart B of this
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LCV driver-instructor who provides part for the specific type of LCV train-
knowledge instruction that does not ing to be taken.
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§ 380.109 49 CFR Ch. III (10–1–20 Edition)
(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 Ap-
(c) Upon successful completion of the pendix F 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-
ance with the requirements specified in driver-student must meet the following
subpart D of this part. conditions to be certified as an LCV
driver:
[69 FR 16732, Mar. 30, 2004, as amended at 83 (1) Answer correctly at least 80 per-
FR 22874, May 17, 2018]
cent of the questions on each knowl-
§ 380.109 Driver testing. edge test; and
(a) Testing methods. The driver-stu- (2) Demonstrate that he/she can suc-
dent must pass knowledge and skills cessfully perform all of the skills ad-
tests in accordance with the following dressed in paragraph (a)(7) of this sec-
requirements, to determine whether a tion.
driver-student has successfully com- (c) Automatic test failure. Failure to
pleted an LCV driver-training program obey traffic laws or involvement in a
as specified in subpart B of this part. preventable crash during the skills por-
The written knowledge test may be ad- tion of the test will result in automatic
ministered by any qualified driver-in- failure. Automatic test failure deter-
structor. The skills tests, based on ac- minations are made at the sole discre-
tual operation of an LCV, must be ad- tion of the qualified LCV driver-in-
ministered by a qualified LCV skills in- structor.
structor.
(1) All tests shall be constructed to [69 FR 16732, Mar. 30, 2004, as amended at 83
determine if the driver-student pos- FR 22874, May 17, 2018]
sesses the required knowledge and
§ 380.111 Substitute for driver train-
skills set forth in Appendix F to this ing.
part for the specific type of LCV train-
ing program being taught. (a) Grandfather clause. The LCV driv-
(2) Instructors shall develop their er-training requirements specified in
own tests for the specific type of LCV- subpart B of this part do not apply to
training program being taught, but an individual who meets the conditions
those tests must be at least as strin- set forth in paragraphs (b), (c), and (d)
gent as the requirements set forth in of this section. A motor carrier must
paragraph (b) of this section. ensure that an individual claiming eli-
(3) LCV driver-instructors shall es- gibility to operate an LCV on the basis
tablish specific methods for scoring the of this section meets these conditions
knowledge and skills tests. before allowing him/her to operate an
(4) Passing scores must meet the re- LCV.
quirements of paragraph (b) of this sec- (b) An individual must certify that,
tion. during the 2-year period immediately
(5) Knowledge and skills tests shall preceding the date of application for a
be based upon the information taught
Certificate of Grandfathering, he/she
in the LCV training programs as set
had:
forth in Appendix F to this part.
(6) Each knowledge test shall address (1) A valid Class A CDL with a ‘‘dou-
the training provided during both theo- ble/triple trailers’’ endorsement;
retical and behind-the-wheel instruc- (2) No more than one driver’s license;
tion, and include at least one question (3) No suspension, revocation, or can-
from each of the units listed in the cellation of his/her CDL;
table to Appendix F to this part, for (4) No convictions for a major offense
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the specific type of LCV training pro- while operating a CMV as defined in
gram being taught. § 383.51(b) of this subchapter;
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Federal Motor Carrier Safety Administration, DOT § 380.113
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§ 380.201 49 CFR Ch. III (10–1–20 Edition)
not apply to individuals who are eligi- least 6 months immediately preceding
ble for the substitute for driver train- application, operated a Group A vehicle
ing provision in § 380.111. while under his/her employ;
(2) Allow, require, permit, or author- (3) No more than one driver’s license;
ize an individual to operate an LCV (4) No suspension, revocation, or can-
which the LCV driver-training certifi- cellation of his/her CDL;
cate, CDL, and CDL endorsement(s) do (5) No convictions for a major of-
not authorize the driver to operate. fense, as defined in § 383.51(b) of this
This provision applies to individuals subchapter, while operating a CMV;
employed by or under contract to the (6) No convictions for a railroad-high-
motor carrier. way grade crossing offense, as defined
(b) A motor carrier that employs or in § 383.51(d) of this subchapter, while
has under contract LCV drivers shall operating a CMV;
provide evidence of the certifications
(7) No convictions for violating an
required by § 380.401 or § 380.111 of this
out-of-service order as defined in
part when requested by an authorized
§ 383.51(e) of this subchapter;
FMCSA, State, or local official in the
course of a compliance review. (8) No more than one conviction for a
serious traffic violation, as defined in
§ 383.5 of this subchapter, while oper-
Subpart B—LCV Driver-Training ating a CMV; and
Program (9) No convictions for a violation of
§ 380.201 General requirements. State or local law relating to motor ve-
hicle traffic control arising in connec-
(a) The LCV Driver-Training Pro- tion with any traffic crash while oper-
gram that is described in Appendix F ating a CMV.
to this part requires training using an (b) Driver-students meeting the pre-
LCV Double or LCV Triple and must liminary requirements in paragraph (a)
include the following general cat- of this section shall successfully com-
egories of instruction: plete a training program that meets
(1) Orientation; the minimum unit requirements for
(2) Basic operation; LCV Doubles as set forth in Appendix F
(3) Safe operating practices; to this part.
(4) Advanced operations; and
(c) Driver-students who successfully
(5) Nondriving activities.
complete the Driver Training Program
(b) The LCV Driver-Training Pro-
for LCV Doubles shall be issued a cer-
gram must include the minimum top-
tificate, in accordance with subpart D
ics of training set forth in Appendix F
of this part, indicating the driver is
to this part and behind-the-wheel in-
struction that is designed to provide an qualified to operate an LCV Double.
opportunity to develop the skills out- [69 FR 16732, Mar. 30, 2004, as amended at 83
lined under the Proficiency Develop- FR 22874, May 17, 2018]
ment unit of the training program.
§ 380.205 LCV Triples.
[69 FR 16732, Mar. 30, 2004, as amended at 83
FR 22874, May 17, 2018] (a) To qualify for the training nec-
essary to operate an LCV Triple, a
§ 380.203 LCV Doubles. driver-student shall, during the 6
(a) To qualify for the training nec- months immediately preceding applica-
essary to operate an LCV Double, a tion for training, have:
driver-student shall, during the 6 (1) A valid Class A CDL with a dou-
months immediately preceding applica- ble/triple trailer endorsement;
tion for training, have: (2) Experience operating the vehicle
(1) A valid Class A CDL with a dou- listed under paragraph (a)(2)(i) or
ble/triple trailer endorsement; (a)(2)(ii) of this section. Evidence of
(2) Driving experience in a Group A driving experience shall be an employ-
vehicle as described in § 383.91 of this er’s written statement that the driver
subchapter. Evidence of driving experi- has, during the 6 months immediately
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Federal Motor Carrier Safety Administration, DOT § 380.303
an LCV Classroom instructor, a person (3) Has experience during the pre-
shall: vious 2 years in teaching the operation
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§ 380.305 49 CFR Ch. III (10–1–20 Edition)
of the type of LCV that is the subject (iii) Is in compliance with all applica-
of the training course to be provided; ble State training school requirements;
and and
(4) If employed by a training institu- (iv) Identifies drivers certified under
tion, meets all State requirements for § 380.401 of this part, when requested by
a vocational instructor. employers and/or an authorized
[69 FR 16732, Mar. 30, 2004, as amended at 83 FMCSA, State, or local official in the
FR 22874, May 17, 2018] course of a compliance review.
(b) A motor carrier that employs or
§ 380.305 Employer responsibilities. has under contract qualified LCV driv-
(a) No motor carrier shall: (1) Know- er-instructors shall provide evidence of
ingly allow, require, permit or author- the certifications required by § 380.301
ize a driver-instructor in its employ, or or § 380.303 of this part, when requested
under contract to the motor carrier, to by an authorized FMCSA, State, or
provide LCV driver training unless local official in the course of a compli-
such person is a qualified LCV driver- ance review.
instructor under the requirements of
this subpart; or
(2) Contract with a training institu-
Subpart D—Driver-Training
tion to provide LCV driver training un- Certification
less the institution:
§ 380.401 Certification document.
(i) Uses instructors who are qualified
LCV driver-instructors under the re- (a) A student who successfully com-
quirements of this subpart; pletes LCV driver training shall be
(ii) Is accredited by an accrediting issued a Driver-Training Certificate
institution recognized by the U.S. De- that is substantially in accordance
partment of Education; with the following form.
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Federal Motor Carrier Safety Administration, DOT § 380.502
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§ 380.503 49 CFR Ch. III (10–1–20 Edition)
otherwise noted.
within two business days after a re-
quest has been made by an authorized
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Federal Motor Carrier Safety Administration, DOT § 380.605
§ 380.600 Compliance date for training (3) Except for individuals seeking the
requirements for entry-level driv- H endorsement, individuals must com-
ers. plete the theory and BTW (range and
Compliance with the provisions of public road) portions of entry-level
this subpart is required on or after driver training within one year of com-
February 7, 2022. pleting the first portion.
[81 FR 88790, Dec. 8, 2016, as amended at 85 [81 FR 88790, Dec. 8, 2016, as amended at 83
FR 6100, Feb. 4, 2020] FR 48725, Sept. 27, 2018; 85 FR 6100, Feb. 4,
2020]
§ 380.601 Purpose and scope.
§ 380.605 Definitions.
This subpart establishes training re- The definitions in parts 383 and 384 of
quirements for entry-level drivers, as this subchapter apply to this subpart,
defined in this subpart, and minimum except as stated below. As used in this
content for theory and Behind-the- subpart:
Wheel (BTW) training curricula. Entry- Behind-the-wheel (BTW) instructor
level driver training, as defined in this means an individual who provides BTW
subpart, applies only to those individ- training involving the actual operation
uals who apply for a commercial driv- of a CMV by an entry-level driver on a
er’s license (CDL) or a CDL upgrade or range or a public road and meets one of
endorsement and does not otherwise these qualifications:
amend substantive CDL requirements (1) Holds a CDL of the same (or high-
in part 383 of this chapter. er) class and with all endorsements
necessary to operate the CMV for
§ 380.603 Applicability.
which training is to be provided and
(a) The rules in this subpart apply to has at least 2 years of experience driv-
all entry-level drivers, as defined in ing a CMV requiring a CDL of the same
this subpart, who intend to drive CMVs or higher class and/or the same en-
as defined in § 383.5 of this chapter in dorsement and meets all applicable
interstate and/or intrastate commerce, State qualification requirements for
except: CMV instructors; or
(1) Drivers excepted from the CDL re- (2) Holds a CDL of the same (or high-
quirements under § 383.3(c), (d), and (h) er) class and with all endorsements
of this chapter; necessary to operate the CMV for
(2) Drivers applying for a restricted which training is to be provided and
CDL under § 383.3(e) through (g) of this has at least 2 years of experience as a
chapter; BTW CMV instructor and meets all ap-
(3) Veterans with military CMV expe- plicable State qualification require-
rience who meet all the requirements ments for CMV instructors.
and conditions of § 383.77 of this chap- Exception applicable to paragraphs (1)
ter; and and (2) of this definition: A BTW in-
(4) Drivers applying for a removal of structor who provides training solely
a restriction in accordance with on a range which is not a public road is
§ 383.135(b)(7). not required to hold a CDL of the same
(b) Drivers issued a Class A CDL, (or higher) class and with all endorse-
Class B CDL, or a passenger (P), school ments necessary to operate the CMV
bus (S), or hazardous materials (H) en- for which training is to be provided, as
dorsement before February 7, 2022, are long as the instructor previously held a
not required to comply with this sub- CDL of the same (or higher) class and
part pertaining to that CDL or en- with all endorsements necessary to op-
dorsement. erate the CMV for which training is to
(c)(1) Individuals who obtain a CLP be provided, and complies with the
before February 7, 2022, are not re- other requirements set forth in para-
quired to comply with this subpart if graphs (1) or (2) of this definition.
they obtain a CDL before the CLP or (3) If an instructor’s CDL has been
renewed CLP expires. cancelled, suspended, or revoked due to
(2) Individuals who obtain a CLP on any of the disqualifying offenses iden-
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or after February 7, 2022, are required tified in § 383.51 of this subchapter, the
to comply with this subpart. instructor is prohibited from engaging
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§ 380.605 49 CFR Ch. III (10–1–20 Edition)
ference from other vehicles and haz- Provider Registry, as required by sub-
ards, and has adequate sight lines. part G of this part. Training providers
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Federal Motor Carrier Safety Administration, DOT § 380.707
include, but are not limited to, train- ing in accordance with the applicable
ing schools, educational institutions, laws and regulations of any State
rural electric cooperatives, motor car- where in-person training is conducted.
riers, State/local governments, school (ii) Exception: State qualification re-
districts, joint labor management pro- quirements otherwise applicable to
grams, owner-operators, and individ- theory instruction do not apply to pro-
uals. viders offering such instruction only
online.
[83 FR 22874, May 17, 2018]
(6) Allow FMCSA or its authorized
§ 380.609 General entry-level driver representative to audit or investigate
training requirements. the training provider’s operations to
ensure that the provider meets the cri-
(a) An individual who applies, for the
teria set forth in this section.
first time, for a Class A or Class B
(7) Electronically transmit an Entry-
CDL, or who upgrades to a Class A or B
Level Driver Training Provider Reg-
CDL, must complete driver training
istration Form through the TPR Web
from a provider listed on the Training
site maintained by FMCSA, which at-
Provider Registry (TPR), as set forth
tests that the training provider meets
in subpart G.
all the applicable requirements of this
(b) An individual seeking to obtain a
section, to obtain a unique TPR num-
passenger (P), school bus (S), or haz-
ber. If a training provider has more
ardous materials (H) endorsement for
than one campus or training location,
the first time, must complete the
the training provider must electroni-
training related to that endorsement
cally transmit an Entry-Level Driver
from a training provider listed on the
Training Provider Registration Form
TPR, as set forth in subpart G.
for each campus or training location in
order to obtain a unique TPR number
Subpart G—Registry of Entry-Level for each location.
Driver Training Providers (b) When a provider meets the re-
quirements of §§ 380.703 and 380.707,
SOURCE: 81 FR 88791, Dec. 8, 2016, unless FMCSA will issue the provider a
otherwise noted. unique TPR number and, as applicable,
add the provider’s name and/or contact
§ 380.700 Scope. information to the TPR Web site.
The rules in this subpart establish
the eligibility requirements for listing § 380.707 Entry-level training provider.
on FMCSA’s Training Provider Reg- (a) Training providers must require
istry (TPR). In order to provide entry- all accepted applicants for behind-the-
level driver training in compliance wheel (BTW) training to certify that
with this part, training providers must they will comply U.S. Department of
be listed on the TPR. Transportation regulations in parts 40,
382, 383, and 391, as well as State and/or
§ 380.703 Requirements for listing on local laws, related to controlled sub-
the training provider registry stances testing, age, medical certifi-
(TPR). cation, licensing, and driving record.
(a) To be eligible for listing on the Training providers must verify that all
TPR, an entity must: accepted BTW applicants or Class A
(1) Follow a curriculum that meets theory instruction upgrade curriculum
the applicable criteria set forth in ap- applicants hold a valid commercial
pendices A through E of part 380, learner’s permit or commercial driver’s
(2) Utilize facilities that meet the license, as applicable.
criteria set forth in § 380.709; (b) Training providers offering online
(3) Utilize vehicles that meet the cri- training must ensure that the content
teria set forth in § 380.711; is prepared and/or delivered by a theory
(4) Utilize driver training instructors instructor, as defined in § 380.605.
that meet the criteria set forth in (c) Separate training providers may
§ 380.713; deliver the theory and BTW portions of
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(5)(i) Be licensed, certified, reg- the training, but both portions (range
istered, or authorized to provide train- and public road) of the BTW training
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§ 380.709 49 CFR Ch. III (10–1–20 Edition)
must be delivered by the same training the TPR Web site including the fol-
provider. lowing:
(a) Driver-trainee name, number of
[81 FR 88791, Dec. 8, 2016, as amended at 84
FR 8040, Mar. 6, 2019; 84 FR 10437, Mar. 21, driver’s license/commercial learner’s
2019] permit/commercial driver’s license, as
applicable, and State of licensure;
§ 380.709 Facilities. (b) Commercial driver’s license class
The training provider’s classroom and/or endorsement and type of train-
and range facilities must comply with ing (theory and/or BTW) the driver-
all applicable Federal, State, and/or trainee completed;
local statutes and regulations. (c) Total number of clock hours the
driver-trainee spent to complete BTW
§ 380.711 Equipment. training, as applicable;
(d) Name of the training provider and
(a) All vehicles used in the behind- its unique TPR identification number;
the-wheel training must comply with and
applicable Federal and State safety re-
(e) Date(s) of successful training
quirements.
completion.
(b) Training vehicles must be in the
same group and type that driver-train- § 380.719 Requirements for continued
ees intend to operate for their CDL listing on the training provider reg-
skills test. istry (TPR).
(a) To be eligible for continued list-
§ 380.713 Instructor requirements.
ing on the TPR, a provider must:
(a) Theory training providers must (1) Meet the requirements of this sub-
utilize instructors who are theory in- part and the applicable requirements of
structors as defined in § 380.605. § 380.703.
(b) BTW training providers must uti- (2) Biennially update the Entry-Level
lize instructors who are BTW instruc- Driver Training Provider Registration
tors as defined in § 380.605. Form.
[83 FR 22875, May 17, 2018] (3) Report to FMCSA changes to key
information, as identified in paragraph
§ 380.715 Assessments. (a)(3)(i) of this section, within 30 days
of the change.
(a) Training providers must use writ-
(i) Key information is defined as
ten assessments to determine driver-
training provider name, address, phone
trainees’ proficiency in the knowledge
number, type(s) of training offered,
objectives in the theory portion of each
training provider status, and, if appli-
unit of instruction in appendices A
cable, any change in State licensure,
through E of part 380, as applicable.
certification, or accreditation status.
The driver-trainee must receive an
(ii) Changes must be reported by elec-
overall minimum score of 80 percent on
tronically transmitting an updated
the theory assessment.
Entry-Level Driver Training Provider
(b) Training instructors must evalu-
Registration Form.
ate and document a driver-trainee’s
(4) Maintain documentation of State
proficiency in BTW skills in accord-
licensure, registration, or certification
ance with the curricula in appendices A
verifying that the provider is author-
through D of part 380, as applicable.
ized to provide training in that State,
[81 FR 88791, Dec. 8, 2016, as amended at 83 if applicable.
FR 16225, Apr. 16, 2018] (5) Allow an audit or investigation of
the training provider to be completed
§ 380.717 Training certification. by FMCSA or its authorized represent-
After an individual completes train- ative, if requested.
ing administered by a provider listed (6) Ensure that all required docu-
on the TPR, that provider must, by mentation, as set forth in § 380.725, is
midnight of the second business day available to FMCSA or its authorized
after the driver-trainee completes the representative, upon request. The pro-
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Federal Motor Carrier Safety Administration, DOT § 380.723
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§ 380.723 49 CFR Ch. III (10–1–20 Edition)
from the TPR, the Director will with- ministrator for Policy (Associate Ad-
draw the notice of proposed removal ministrator) no later than 30 days after
and notify the provider of the with- the effective date of the removal. The
drawal in writing. request must explain the alleged
(ii) If the Director finds that FMCSA error(s) committed in removing the
has not relied on erroneous informa- provider from the TPR, and include all
tion in proposing removal, the Director factual, legal, and procedural issues in
will affirm the notice of proposed re- dispute, as well as any supporting doc-
moval and notify the provider in writ- umentation.
ing of the determination. No later than (1) Additional procedures for adminis-
60 days after the date the Director af- trative review. The Associate Adminis-
firms the notice of proposed removal, trator may ask the provider to submit
or as otherwise agreed to by the pro- additional information or attend a con-
vider and the Director, the provider ference to discuss the removal. If the
must comply with this subpart and cor- provider does not provide the informa-
rect the deficiencies identified in the tion requested, or does not attend the
notice of proposed removal as described scheduled conference, the Associate
in paragraph (c)(2) of this section. Administrator may dismiss the request
(iii) If the provider does not respond for administrative review.
in writing within 30 days of the date of (2) Decision on administrative review.
issuance of a notice of proposed re- The Associate Administrator will com-
moval, the removal becomes effective plete the administrative review and no-
immediately and the provider will be tify the provider in writing of the deci-
removed from the TPR. Any training sion. The decision constitutes final
conducted after the removal date is in- Agency action. If the Associate Admin-
valid. istrator deems the removal to be in-
(2) Corrective action. (i) The provider valid, FMCSA will reinstate the pro-
must comply with this subpart and vider’s listing on the TPR.
complete the corrective actions speci- (e) Emergency removal. In cases of
fied in the notice of proposed removal fraud, criminal behavior, or willful dis-
no later than 60 days after either the regard of the regulations in this sub-
date of issuance of the notice of pro- part or in which public health, inter-
posed removal or the date the Director est, or safety requires, the provisions
subsequently affirms or modifies the of paragraph (b) of this section are not
notice of proposed removal. The pro- applicable. In these cases, the Director
vider must provide documentation of may immediately remove a provider
completion of the corrective action(s) from the TPR. In instances of fraud or
to the Director. The Director may con- other criminal behavior by a training
duct an investigation and request any provider in which driver-trainees have
documentation necessary to verify that knowingly participated, FMCSA re-
the provider has complied with this serves the right to retroactively invali-
subpart and completed the required date training conducted under this sub-
corrective action(s). The Director will part. A provider who has been removed
notify the provider in writing whether under the provisions of this paragraph
it has met the requirements for contin- may request an administrative review
ued listing on the TPR. of that decision as described under
(ii) If the provider fails to complete paragraph (d) of this section.
the proposed corrective action(s) with- (f) Reinstatement to the Training Pro-
in the 60-day period, the provider will vider Registry. (1) Any time after a
be removed from the TPR. The Direc- training provider’s voluntary removal
tor will notify the provider in writing from the TPR, the provider may apply
of the removal. to the Director to be reinstated.
(d) Request for administrative review. If (2) No sooner than 30 days after the
a provider has been removed from the date of a provider’s involuntary re-
TPR under paragraph (c)(1)(iii), moval from the TPR, the provider may
(c)(2)(ii), or (e) of this section, the pro- apply to the Director to be reinstated.
vider may request an administrative The provider must submit documenta-
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review. The request must be submitted tion showing completion of any correc-
in writing to the FMCSA Associate Ad- tive action(s) identified in the notice of
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Federal Motor Carrier Safety Administration, DOT Pt. 380, App. A
proposed removal or final notice of re- retention periods for any category of
moval, as applicable. records described herein.
[81 FR 88791, Dec. 8, 2016, as amended at 84
§ 380.725 Documentation and record FR 51432, Sept. 30, 2019]
retention.
(a) Applicability. The documentation APPENDIX A TO PART 380—CLASS A—
and retention of records required by CDL TRAINING CURRICULUM
this subpart apply to entities that Class A CDL applicants must complete the
meet the requirements of subpart G of Class A CDL curriculum outlined in this Ap-
this part and are eligible for listing on pendix. The curriculum for Class A appli-
the Training Provider Registry (TPR). cants pertains to combination vehicles
(Group A) as defined in 49 CFR 383.91(a)(1).
(b) Document retention. All training
Class A CDL applicants who possess a valid
providers on the TPR must retain the Class B CDL may complete the Theory In-
following: struction Upgrade Curriculum in lieu of the
(1) Self-certifications by all accepted Theory Instruction Standard Curriculum.
applicants for behind-the-wheel (BTW) There is no required minimum number of in-
training attesting that they will com- struction hours for theory training, but the
training instructor must cover all topics set
ply with U.S. Department of Transpor- forth in the curriculum. There is no required
tation regulations in parts 40, 382, 383 minimum number of instruction hours for
and 391, as well as State and/or local BTW (range and public road) training, but
laws, related to alcohol and controlled the training instructor must cover all topics
substances testing, age, medical cer- set forth in the BTW curriculum. BTW train-
tification, licensing, and driver ing must be conducted in a CMV for which a
Class A CDL is required. The instructor must
records, as required in 380.707(a). determine and document that each driver-
(2) A copy of the driver-trainee’s trainee has demonstrated proficiency in all
commercial learner’s permit(s) or com- elements of the BTW curriculum, unless oth-
mercial driver’s license, as applicable, erwise noted. Consistent with the definitions
as required in 380.707(a). of BTW range training and BTW public road
training in § 380.605, a simulation device can-
(3) Instructor qualification docu- not be used to conduct such training or to
mentation indicating driving and/or demonstrate proficiency. Training instruc-
training experience, as applicable, for tors must document the total number of
each instructor and copies of commer- clock hours each driver-trainee spends to
cial driver’s licenses and applicable en- complete the BTW curriculum. The Class A
dorsements held by BTW instructors or curriculum must, at a minimum, include the
following:
theory instructors, as applicable.
(4) The Training Provider Registra- THEORY INSTRUCTION STANDARD CURRICULUM
tion Form submitted to the TPR.
Section A1.1 Basic Operation
(5) The lesson plans for theory and
BTW (range and public road) training This section must cover the interaction be-
tween driver-trainees and the CMV. Driver-
curricula, as applicable.
trainees will receive instruction in the Fed-
(6) Records of individual entry-level eral Motor Carrier Safety Regulations
driver training assessments as de- (FMCSRs) and will be introduced to the basic
scribed in § 380.715. CMV instruments and controls. Training
(c) Retention of records. Training pro- providers will teach driver-trainees the basic
viders listed on the TPR must retain operating characteristics of a CMV. This sec-
tion must also teach driver-trainees how to
the records identified in paragraph (b) properly perform vehicle inspections, control
of this section for a minimum of three the motion of CMVs under various road and
years from the date each required traffic conditions, employ shifting and back-
record is generated or received, unless ing techniques, and properly couple and un-
a record, such as a BTW instructor’s couple combination vehicles. Driver-trainees
CDL, has expired or been canceled, in must familiarize themselves with the basic
operating characteristics of a CMV.
which case the most recent, valid CDL
should be retained, if applicable. The Unit A1.1.1 Orientation
provisions of this part do not affect a This unit must introduce driver-trainees to
training provider’s obligation to com-
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Pt. 380, App. A 49 CFR Ch. III (10–1–20 Edition)
teach the safety fundamentals, essential reg- Unit A1.1.6 Backing and Docking
ulatory requirements (e.g., overview of
This unit must teach driver-trainees to
FMCSRs and Hazardous Materials Regula-
back and dock the combination vehicle safe-
tions), and driver-trainees’ responsibilities
ly. This unit must cover ‘‘Get Out and Look’’
not directly related to CMV driving, such as
(GOAL), evaluation of backing/loading facili-
proper cargo securement. This unit must
ties, knowledge of backing set ups, as well as
also cover the ramifications, including driv-
instruction in how to back with the use of
er disqualification provisions and fines, for
spotters.
non-compliance with parts 380, 382, 383, and
390 through 399 of the FMCSRs. This unit Unit A1.1.7 Coupling and Uncoupling
must also include an overview of the applica-
bility of State and local laws relating to the This unit must provide instruction for
safe operation of the CMV, stopping at weigh driver-trainees to develop the skills nec-
stations/scales, hazard awareness of vehicle essary to conduct the procedures for safe
size and weight limitations, low clearance coupling and uncoupling of combination ve-
areas (e.g., CMV height restrictions), and hicle units, as applicable.
bridge formulas.
Section A1.2 Safe Operating Procedures
Unit A1.1.2 Control Systems/Dashboard This section must teach the practices re-
This unit must introduce driver-trainees to quired for safe operation of the combination
vehicle instruments, controls, and safety vehicle on the highway under various road,
components. The training providers must weather, and traffic conditions. The training
teach driver-trainees to read gauges and in- providers must teach driver-trainees the
struments correctly and the proper use of ve- Federal rules governing the proper use of
hicle safety components, including safety seat belt assemblies (§ 392.16).
belts and mirrors. The training providers
must teach driver-trainees to identify, lo- Unit A1.2.1 Visual Search
cate, and explain the function of each of the This unit must teach driver-trainees to
primary and secondary controls including visually search the road for potential haz-
those required for steering, accelerating, ards and critical objects, including instruc-
shifting, braking systems (e.g., ABS, hydrau- tion on recognizing distracted pedestrians or
lic, air), as applicable, and parking. distracted drivers.
Unit A1.1.3 Pre- and Post-Trip Inspections Unit A1.2.2 Communication
This unit must teach the driver-trainees to This unit must instruct driver-trainees on
conduct pre-trip and post-trip inspections as how to communicate their intentions to
specified in §§ 392.7 and 396.11, including ap- other road users. Driver-trainees must be in-
propriate inspection locations. Instruction structed in techniques for different types of
must also be provided on enroute vehicle in- communication on the road, including proper
spections. use of headlights, turn signals, four-way
flashers, and horns. This unit must cover in-
Unit A1.1.4 Basic Control struction in proper utilization of eye contact
This unit must introduce basic vehicular techniques with other drivers, bicyclists, and
control and handling as it applies to com- pedestrians.
bination vehicles. This unit must include in-
Unit A1.2.3 Distracted Driving
struction addressing basic combination vehi-
cle controls in areas such as executing sharp This unit must instruct driver-trainees in
left and right turns, centering the vehicle, FMCSRs related to distracted driving and
maneuvering in restricted areas, and enter- other key driver distraction driving issues,
ing and exiting the interstate or controlled including improper cell phone use, texting,
access highway. and use of in-cab technology (e.g., §§ 392.80
and 392.82). This instruction will include
Unit A1.1.5 Shifting/Operating training in the following aspects: visual at-
Transmissions tention (keeping eyes on the road); manual
This unit must introduce shifting patterns control (keeping hands on the wheel); and
and procedures to driver-trainees to prepare cognitive awareness (keeping mind on the
them to safely and competently perform task and safe operation of the CMV).
basic shifting maneuvers. This unit must in-
Unit A1.2.4 Speed Management
clude training driver-trainees to execute up
and down shifting techniques on multi-speed This unit must teach driver-trainees how
dual range transmissions, if appropriate. The to manage speed effectively in response to
training providers must teach the impor- various road, weather, and traffic conditions.
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tance of increased vehicle control and im- The instruction must include methods for
proved fuel economy achieved by utilizing calibrating safe following distances taking
proper shifting techniques. into account CMV braking distances under
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Federal Motor Carrier Safety Administration, DOT Pt. 380, App. A
an array of conditions including traffic, avoiding and recovering from them. The
weather, and CMV weight and length. training providers must teach the impor-
tance of maintaining directional control and
Unit A1.2.5 Space Management bringing the CMV to a stop in the shortest
This unit must teach driver-trainees about possible distance while operating over a slip-
the importance of managing the space sur- pery surface. This unit must provide instruc-
rounding the vehicle under various traffic tion in appropriate responses when faced
and road conditions. with CMV emergencies. This instruction
must include evasive steering, emergency
Unit A1.2.6 Night Operation braking, and off-road recovery, as well as the
proper response to brake failures, tire blow-
This unit must instruct driver-trainees in
outs, hydroplaning, and rollovers. The in-
the factors affecting the safe operation of
struction must include a review of unsafe
CMVs at night and in darkness. Addition-
acts and the role the acts play in producing
ally, driver-trainees must be instructed in
or worsening hazardous situations.
changes in vision, communications, speed
space management, and proper use of lights, Unit A1.3.3 Railroad-Highway Grade
as needed, to deal with the special problems Crossings
night driving presents.
This unit must teach driver-trainees to
Unit A1.2.7 Extreme Driving Conditions recognize potential dangers and the appro-
This unit must teach driver-trainees about priate safety procedures to utilize at railroad
the specific problems presented by extreme (RR)-highway grade crossings. This instruc-
driving conditions. The training provider tion must include an overview of various
will emphasize the factors affecting the oper- Federal/State RR grade crossing regulations,
ation of CMVs in cold, hot, and inclement RR grade crossing environments, obstructed
weather and on steep grades and sharp view conditions, clearance around the
curves. The training provider must teach tracks, and rail signs and signals. The train-
proper tire chaining procedures. ing providers must instruct driver-trainees
that railroads have personnel available
Section A1.3 Advanced Operating Practices (‘‘Emergency Notification Systems’’) to re-
ceive notification of any information relat-
This section must introduce higher-level
ing to an unsafe condition at the RR-high-
skills that can be acquired only after the
way grade crossing or a disabled vehicle or
more fundamental skills and knowledge
other obstruction blocking a railroad track
taught in the prior two sections have been
at the RR-highway grade crossing.
mastered. The training providers must teach
driver-trainees about the advanced skills Section A1.4 Vehicle Systems and Reporting
necessary to recognize potential hazards and Malfunctions
must teach the driver-trainees the proce-
dures needed to handle a CMV when faced This section must provide entry-level driv-
with a hazard. er-trainees with sufficient knowledge of the
combination vehicle and its systems and sub-
Unit A1.3.1 Hazard Perception systems to ensure that they understand and
The unit must teach driver-trainees to rec- respect their role in vehicle inspection, oper-
ognize potential hazards in the driving envi- ation, and maintenance and the impact of
ronment in order to reduce the severity of those factors upon highway safety and oper-
the hazard and neutralize possible emer- ational efficiency.
gency situations. The training providers Unit A1.4.1 Identification and Diagnosis of
must teach driver-trainees to identify road Malfunctions
conditions and other road users that are a
potential threat to the safety of the com- This unit must teach driver-trainees to
bination vehicle and suggest appropriate ad- identify major combination vehicle systems.
justments. The instruction must emphasize The goal is to explain their function and how
hazard recognition, visual search, adequate to check all key vehicle systems, (e.g., en-
surveillance, and response to possible emer- gine, engine exhaust auxiliary systems,
gency-producing situations encountered by brakes, drive train, coupling systems, and
CMV drivers in various traffic situations. suspension) to ensure their safe operation.
The training providers must teach driver- Driver-trainees must be provided with a de-
trainees to recognize potential dangers and tailed description of each system, its impor-
the safety procedures that must be utilized tance to safe and efficient operation, and
while driving in construction/work zones. what is needed to keep the system in good
operating condition.
Unit A1.3.2 Skid Control/Recovery,
Jackknifing, and Other Emergencies Unit A1.4.2 Roadside Inspections
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This unit must teach the causes of skid- This unit must instruct driver-trainees on
ding and jackknifing and techniques for what to expect during a standard roadside
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Pt. 380, App. A 49 CFR Ch. III (10–1–20 Edition)
inspection conducted by authorized per- health maintenance information that affect
sonnel. The training providers must teach a driver’s ability to safely operate a CMV.
driver-trainees on what vehicle and driver
violations are classified as out-of-service Unit A1.5.5 Post-Crash Procedures
(OOS), including the ramifications and pen- This unit must teach driver-trainees ap-
alties for operating a CMV when subject to propriate post-crash procedures, including
an OOS order as defined in section 390.5. the requirement that the driver, if possible,
assess his or her physical condition imme-
Unit A1.4.3 Maintenance diately after the crash and notify authorities
This unit must introduce driver-trainees to or assign the task to other individuals at the
the basic servicing and checking procedures crash scene. The training providers must
for various engine and vehicle components teach driver-trainees how to protect the
and to help develop their ability to perform area; obtain emergency medical assistance;
preventive maintenance and simple emer- move on-road vehicles off the road in minor
gency repairs. crashes so as to avoid subsequent crashes or
injuries; engage flashers; place reflective tri-
Section A1.5 Non-Driving Activities angles and other warning devices for stopped
This section must teach driver-trainees the vehicles; and properly use a fire extin-
activities that do not involve actually oper- guisher, if necessary. The training providers
must instruct driver-trainees in post-crash
ating the CMV.
testing requirements related to controlled
Unit A1.5.1 Handling and Documenting substances and alcohol.
Cargo
Unit A1.5.6 External Communications
This unit must teach the basic theory of
This unit must teach driver-trainees the
cargo weight distribution, cargo securement
value of effective interpersonal communica-
on the vehicle, cargo covering, and tech-
tion techniques/skills to interact with en-
niques for safe and efficient loading/unload-
forcement officials. The training providers
ing. The training providers must teach driv-
must teach driver-trainees the specifics of
er-trainees the basic cargo security/cargo
the roadside vehicle inspection process, and
theft prevention procedures. The training what to expect during this activity. Driver-
provider must teach driver-trainees the basic trainees who are not English speakers must
information regarding the proper handling be instructed in FMCSA English language
and documentation of HM cargo. proficiency requirements. The training pro-
Unit A1.5.2 Environmental Compliance viders must teach driver-trainees the impact
Issues that violating Federal and state regulations
has on their driving records and their em-
This unit must teach driver-trainees to ploying motor carrier’s records.
recognize environmental hazards and issues
related to the CMV and load, and also make Unit A1.5.7 Whistleblower/Coercion
the driver-trainee aware that city, county, This unit must teach the driver-trainees
State, and Federal requirements may apply about the right of an employee to question
to such circumstances. the safety practices of an employer without
incurring the risk of losing a job or being
Unit A1.5.3 Hours of Service Requirements
subject to reprisals simply for stating a safe-
This unit must teach driver-trainees to un- ty concern. The training providers must in-
derstand that there are different hours-of- struct driver-trainees in the whistleblower
service (HOS) requirements applicable to dif- protection regulations in 29 CFR part 1978.
ferent industries. The training providers The training providers must teach the proce-
must teach driver-trainees all applicable dures for reporting to FMCSA incidents of
HOS regulatory requirements. The training coercion from motor carriers, shippers, re-
providers must teach driver-trainees to com- ceivers, or transportation intermediaries.
plete a Driver’s Daily Log (electronic and
paper), timesheet, and logbook recap, as ap- Unit A1.5.8 Trip Planning
propriate. The training providers must teach This unit must address the importance of
driver-trainees the consequences (safety, and requirements for planning routes and
legal, and personal) of violating the HOS reg- trips. This instruction must address plan-
ulations, including the fines and penalties ning the safest route, planning for rest stops,
imposed for these types of violations. heavy traffic areas, railroad-highway grade
crossing safe clearance and ground clearance
Unit A1.5.4 Fatigue and Wellness Awareness
(i.e., ‘‘high center’’), the importance of Fed-
This unit must teach driver-trainees about eral and State requirements on the need for
the issues and consequences of chronic and permits, and vehicle size and weight limita-
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acute driver fatigue and the importance of tions. The training providers must teach
staying alert. The training providers must driver-trainees in the correct identification
teach driver-trainees wellness and basic of restricted routes, the pros and cons of
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Federal Motor Carrier Safety Administration, DOT Pt. 380, App. A
Global Positioning System (GPS)/trip rout- Unit A2.6 Parallel Parking Sight Side
ing software, and the importance of selecting
fuel-efficient routes. Driver-trainees must demonstrate pro-
ficiency in proper techniques for performing
Unit A1.5.9 Drugs/Alcohol sight side parallel parking maneuvers to ap-
propriate criteria/acceptable tolerances.
This unit must teach driver-trainees the
rules applicable to controlled substances (in- Unit A2.7 Coupling and Uncoupling
cluding prescription drugs) and alcohol use
and testing related to the operation of a Driver-trainees must demonstrate pro-
CMV. ficiency in proper techniques for coupling,
inspecting, and uncoupling combination ve-
Unit A1.5.10 Medical Requirements hicle units, as applicable.
This unit must teach driver-trainees the
BEHIND-THE-WHEEL—PUBLIC ROAD
Federal rules on medical certification, med-
ical examination procedures, general quali- The instructor must engage in active two-
fications, responsibilities, and disqualifica- way communication with the driver-trainees
tions based on various offenses, orders, and during all active BTW public road training
loss of driving privileges (49 CFR part 391, sessions. Skills described in paragraphs A3.8
subparts B and E). through 3.12 of this section must be dis-
cussed during public road training, but not
BEHIND-THE-WHEEL—RANGE necessarily performed. Driver-trainees are
BTW range training must teach driving ex- not required to demonstrate proficiency in
ercises related to basic vehicle control skills the skills described in paragraphs A3.8
and mastery of basic maneuvers, as covered through 3.12.
in §§ 383.111 and 383.113 of this chapter, nec-
essary to operate the vehicle safely. The Unit A3.1 Vehicle Controls Including: Left
training providers will teach activities in Turn, Right Turns, Lane Changes, Curves at
this unit on a driving range as defined in Highway Speeds, and Entry and Exit on the
§ 380.605. The training provider must teach Interstate or Controlled Access Highway
‘‘Get Out and Look’’ (GOAL) to the driver- Driver-trainees must demonstrate pro-
trainee as it applies to units A2.2–2.6. ficiency in proper techniques for initiating
Unit A2.1 Vehicle Inspection Pre-Trip/Enroute/ vehicle movement, executing left and right
Post-Trip turns, changing lanes, navigating curves at
speed, entry and exit on the interstate or
Driver-trainees must demonstrate pro- controlled access highway, and stopping the
ficiency in conducting pre-trip and post-trip vehicle in a controlled manner.
inspections as specified in §§ 392.7 and 396.11,
including appropriate inspection locations. Unit A3.2 Shifting/Transmission
Instruction must also be provided on enroute
vehicle inspections. Driver-trainees must demonstrate pro-
ficiency in proper techniques for performing
Unit A2.2 Straight Line Backing safe and fuel-efficient shifting.
Driver-trainees must demonstrate pro- Unit A3.3 Communications/Signaling
ficiency in proper techniques for performing
various straight line backing maneuvers to Driver-trainees must demonstrate pro-
appropriate criteria/acceptable tolerances. ficiency in proper techniques for signaling
intentions and effectively communicating
Unit A2.3 Alley Dock Backing (45/90 Degree) with other drivers.
Driver-trainees must demonstrate pro- Unit A3.4 Visual Search
ficiency in proper techniques for performing
45/90 degree alley dock maneuvers to appro- Driver-trainees must demonstrate pro-
priate criteria/acceptable tolerances. ficiency in proper techniques for visually
searching the road for potential hazards and
Unit A2.4 Off-Set Backing critical objects.
Driver-trainees must demonstrate pro-
ficiency in proper techniques for performing Unit A3.5 Speed and Space Management
off-set right and left backing maneuvers to Driver-trainees must demonstrate pro-
appropriate criteria/acceptable tolerances. ficiency in proper habits and techniques for
adjusting and maintaining vehicle speed,
Unit A2.5 Parallel Parking Blind Side
taking into consideration various factors
Driver-trainees must demonstrate pro- such as traffic and road conditions. Driver-
ficiency in proper techniques for performing trainees must demonstrate proficiency in
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parallel parking blind side positions/maneu- maintaining proper speed to keep appro-
vers to appropriate criteria/acceptable toler- priate spacing between the driver-trainee’s
ances. CMV and other vehicles. Instruction must
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Pt. 380, App. A 49 CFR Ch. III (10–1–20 Edition)
include methods for calibrating safe fol- Unit A3.12 Skid Control/Recovery, Jackknifing,
lowing distances under an array of condi- and Other Emergencies
tions including traffic, weather, and CMV Driver-trainees must know the causes of
weight and length. skidding and jackknifing and techniques for
avoiding and recovering from them. Driver-
Unit A3.6 Safe Driver Behavior trainees must know how to maintain direc-
Driver-trainees must demonstrate pro- tional control and bring the CMV to a stop
ficiency in safe driver behavior during their in the shortest possible distance while oper-
operation of the CMV. ating over a slippery surface. Driver-trainees
must be familiar with proper techniques for
Unit A3.7 Hours of Service (HOS) responding to CMV emergencies, such as eva-
Requirements sive steering, emergency braking, and off-
road recovery. They must also know how to
Driver-trainees must demonstrate pro- prevent or respond to brake failures, tire
ficiency in the basic activities required by blowouts, hydroplaning, and rollovers.
the HOS regulations, such as completing a
Driver’s Daily Log (electronic and paper), THEORY INSTRUCTION UPGRADE CURRICULUM
timesheet, and logbook recap, as appro- Section BA1.1 Basic Operation
priate.
This section must cover the interaction be-
Unit A3.8 Hazard Perception tween driver-trainees and the CMV. Driver-
trainees will receive instruction in the Fed-
Driver-trainees must demonstrate their eral Motor Carrier Safety Regulations
ability to recognize potential hazards in the (FMCSRs) and will be introduced to the basic
driving environment in time to reduce the CMV instruments and controls. Training
severity of the hazard and neutralize possible providers will teach driver-trainees the basic
emergency situations. Driver-trainees must operating characteristics of a CMV. This sec-
demonstrate the ability to identify road con- tion must also teach driver-trainees how to
ditions and other road users that are a po- properly perform vehicle inspections, control
tential threat to the safety of the combina- the motion of CMVs under various road and
tion vehicle and suggest appropriate adjust- traffic conditions, employ shifting and back-
ments. ing techniques, and properly couple and un-
couple combination vehicles. Driver-trainees
Unit A3.9 Railroad (RR)-Highway Grade must familiarize themselves with the basic
Crossing operating characteristics of a CMV.
ed to deal with the specific challenges pre- teach driver-trainees to read gauges and in-
sented by these extreme driving conditions. struments correctly and the proper use of ve-
hicle safety components, including safety
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Federal Motor Carrier Safety Administration, DOT Pt. 380, App. A
belts and mirrors. The training providers Unit BA1.2.1 Visual Search
must teach driver-trainees to identify, lo-
This unit must teach driver-trainees to
cate, and explain the function of each of the
visually search the road for potential haz-
primary and secondary controls including
ards and critical objects, including instruc-
those required for steering, accelerating,
tion on recognizing distracted pedestrians or
shifting, braking systems (e.g., ABS, hydrau- distracted drivers.
lic, air), as applicable, and parking.
Unit BA1.2.2 Communication
Unit BA1.1.3 Pre- and Post-Trip Inspections
This unit must instruct driver-trainees on
This unit must teach the driver-trainees to how to communicate their intentions to
conduct pre-trip and post-trip inspections as other road users. Driver-trainees must be in-
specified in §§ 392.7 and 396.11, including ap- structed in techniques for different types of
propriate inspection locations. Instruction communication on the road, including proper
must also be provided on en route vehicle in- use of headlights, turn signals, four-way
spections. flashers, and horns. This unit must cover in-
Unit BA1.1.4 Basic Control struction in proper utilization of eye contact
techniques with other drivers, bicyclists, and
This unit must introduce basic vehicular pedestrians.
control and handling as it applies to com-
bination vehicles. This unit must include in- Unit BA1.2.3 Distracted Driving
struction addressing basic combination vehi- This unit must instruct driver-trainees in
cle controls in areas such as executing sharp FMCSRs related to distracted driving and
left and right turns, centering the vehicle, other key driver distraction driving issues,
maneuvering in restricted areas, and enter- including improper cell phone use, texting,
ing and exiting the interstate or controlled and use of in-cab technology (e.g., §§ 392.80
access highway. and 392.82). This instruction will include
training in the following aspects: visual at-
Unit BA1.1.5 Shifting/Operating
tention (keeping eyes on the road); manual
Transmissions control (keeping hands on the wheel); and
This unit must introduce shifting patterns cognitive awareness (keeping mind on the
and procedures to driver-trainees to prepare task and safe operation of the CMV).
them to safely and competently perform
basic shifting maneuvers. This unit must in- Unit BA1.2.4 Speed Management
clude training driver-trainees to execute up This unit must teach driver-trainees how
and down shifting techniques on multi-speed to manage speed effectively in response to
dual range transmissions, if appropriate. The various road, weather, and traffic conditions.
training providers must teach the impor- The instruction must include methods for
tance of increased vehicle control and im- calibrating safe following distances taking
proved fuel economy achieved by utilizing into account CMV braking distances under
proper shifting techniques. an array of conditions including traffic,
weather, and CMV weight and length.
Unit BA1.1.6 Backing and Docking
This unit must teach driver-trainees to Unit BA1.2.5 Space Management
back and dock the combination vehicle safe- This unit must teach driver-trainees about
ly. This unit must cover ‘‘Get Out and Look’’ the importance of managing the space sur-
(GOAL), evaluation of backing/loading facili- rounding the vehicle under various traffic
ties, knowledge of backing set ups, as well as and road conditions.
instruction in how to back with the use of
spotters. Unit BA1.2.6 Night Operation
This unit must instruct driver-trainees in
Unit BA1.1.7 Coupling and Uncoupling
the factors affecting the safe operation of
This unit must provide instruction for CMVs at night and in darkness. Addition-
driver-trainees to develop the skills nec- ally, driver-trainees must be instructed in
essary to conduct the procedures for safe changes in vision, communications, speed
coupling and uncoupling of combination ve- space management, and proper use of lights,
hicle units, as applicable. as needed, to deal with the special problems
night driving presents.
Section BA1.2 Safe Operating Procedures
Unit BA1.2.7 Extreme Driving Conditions
This section must teach the practices re-
quired for safe operation of the combination This unit must teach driver-trainees about
vehicle on the highway under various road, the specific problems presented by extreme
weather, and traffic conditions. The training driving conditions. The training provider
kpayne on VMOFRWIN702 with $$_JOB
providers must teach driver-trainees the will emphasize the factors affecting the oper-
Federal rules governing the proper use of ation of CMVs in cold, hot, and inclement
seat belt assemblies (§ 392.16). weather and on steep grades and sharp
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Pt. 380, App. A 49 CFR Ch. III (10–1–20 Edition)
curves. The training provider must teach ing providers must instruct driver-trainees
proper tire chaining procedures. that railroads have personnel available
(‘‘Emergency Notification Systems’’) to re-
Section BA1.3 Advanced Operating Practices ceive notification of any information relat-
This section must introduce higher-level ing to an unsafe condition at the RR-high-
skills that can be acquired only after the way grade crossing or a disabled vehicle or
more fundamental skills and knowledge other obstruction blocking a railroad track
taught in the prior two sections have been at the RR-highway grade crossing.
mastered. The training providers must teach
driver-trainees about the advanced skills Section BA1.4 Vehicle Systems and Reporting
necessary to recognize potential hazards and Malfunctions
must teach the driver-trainees the proce- This section must provide entry-level driv-
dures needed to handle a CMV when faced er-trainees with sufficient knowledge of the
with a hazard. combination vehicle and its systems and sub-
systems to ensure that they understand and
Unit BA1.3.1 Hazard Perception respect their role in vehicle inspection, oper-
The unit must teach driver-trainees to rec- ation, and maintenance and the impact of
ognize potential hazards in the driving envi- those factors upon highway safety and oper-
ronment in order to reduce the severity of ational efficiency.
the hazard and neutralize possible emer-
gency situations. The training providers Unit BA1.4.1 Identification and Diagnosis of
must teach driver-trainees to identify road Malfunctions
conditions and other road users that are a This unit must teach driver-trainees to
potential threat to the safety of the com- identify major combination vehicle systems.
bination vehicle and suggest appropriate ad- The goal is to explain their function and how
justments. The instruction must emphasize to check all key vehicle systems, (e.g., en-
hazard recognition, visual search, adequate gine, engine exhaust auxiliary systems,
surveillance, and response to possible emer- brakes, drive train, coupling systems, and
gency-producing situations encountered by suspension) to ensure their safe operation.
CMV drivers in various traffic situations. Driver-trainees must be provided with a de-
The training providers must teach driver- tailed description of each system, its impor-
trainees to recognize potential dangers and tance to safe and efficient operation, and
the safety procedures that must be utilized what is needed to keep the system in good
while driving in construction/work zones. operating condition.
Unit BA1.3.2 Skid Control/Recovery, Unit BA1.4.2 Roadside Inspections
Jackknifing, and Other Emergencies
This unit must instruct driver-trainees on
This unit must teach the causes of skid- what to expect during a standard roadside
ding and jackknifing and techniques for
inspection conducted by authorized per-
avoiding and recovering from them. The
sonnel. The training providers must teach
training providers must teach the impor-
driver-trainees on what vehicle and driver
tance of maintaining directional control and
violations are classified as out-of-service
bringing the CMV to a stop in the shortest
(OOS), including the ramifications and pen-
possible distance while operating over a slip-
alties for operating a CMV when subject to
pery surface. This unit must provide instruc-
an OOS order as defined in section 390.5.
tion in appropriate responses when faced
with CMV emergencies. This instruction Unit BA1.4.3 Maintenance
must include evasive steering, emergency
braking, and off-road recovery, as well as the This unit must introduce driver-trainees to
proper response to brake failures, tire blow- the basic servicing and checking procedures
outs, hydroplaning, and rollovers. The in- for various engine and vehicle components
struction must include a review of unsafe and to help develop their ability to perform
acts and the role the acts play in producing preventive maintenance and simple emer-
or worsening hazardous situations. gency repairs.
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Federal Motor Carrier Safety Administration, DOT Pt. 380, App. B
HOS regulatory requirements. The training under various road and traffic conditions,
providers must teach driver-trainees to com- employ shifting and backing techniques, and
plete a Driver’s Daily Log (electronic and couple and uncouple, as applicable. Driver-
paper), timesheet, and logbook recap, as ap- trainees must familiarize themselves with
propriate. The training providers must teach the basic operating characteristics of a CMV.
driver-trainees the consequences (safety,
legal, and personal) of violating the HOS reg- Unit B1.1.1 Orientation
ulations, including the fines and penalties This unit must introduce driver-trainees to
imposed for these types of violations. the commercial motor vehicle driver train-
ing curriculum and the components of a
Unit BA1.5.2 Fatigue and Wellness
commercial motor vehicle. The training pro-
Awareness viders must teach driver-trainees the safety
This unit must teach driver-trainees about fundamentals, essential regulatory require-
the issues and consequences of chronic and ments (i.e., overview of FMCSRs/hazardous
acute driver fatigue and the importance of materials (HM) regulations), and driver-
staying alert. The training providers must trainees’ responsibilities not directly related
teach driver-trainees wellness and basic to driving. This unit must also cover the
health maintenance information that affect ramifications and driver disqualification
a driver’s ability to safely operate a CMV. provisions and fines for non-compliance with
parts 380, 382, 383, and 390 through 399 of the
[81 FR 88794, Dec. 8, 2016, as amended at 83 FMCSRs. This unit must also include an
FR 22875, May 17, 2018; 84 FR 8040, Mar. 6, overview of the applicability of State and
2019] local laws relating to the safe operation of
the CMV, stopping at weigh stations/scales,
APPENDIX B TO PART 380—CLASS B— hazard awareness of vehicle size and weight
CDL TRAINING CURRICULUM limitations, low clearance areas (e.g., CMV
height restrictions), and bridge formulas.
Class B CDL applicants must complete the
Class B CDL curriculum outlined in this Ap- Unit B1.1.2 Control Systems/Dashboard
pendix. The curriculum for Class B appli-
cants pertains to heavy straight vehicles This unit must introduce driver-trainees to
(Group B) as defined in 49 CFR 383.91(a)(2). vehicle instruments, controls, and safety
There is no required minimum number of in- components. The training providers must
struction hours for theory training, but the teach driver-trainees to read gauges and in-
training instructor must cover all the topics struments correctly and the proper use of ve-
in curriculum. There is no required min- hicle safety components, including safety
imum number of instruction hours required belts and mirrors. The training providers
for BTW (range and public road) training, must teach driver-trainees to identify, lo-
but the training instructor must cover all cate, and explain the function of each of the
primary and secondary controls including
topics set forth in the BTW curriculum. BTW
those required for steering, accelerating,
training must be conducted in a CMV for
shifting, braking systems (e.g., ABS, hydrau-
which a Class B CDL is required. The in-
lic, air), as applicable, and parking.
structor must determine and document that
each driver-trainee has demonstrated pro- Unit B1.1.3 Pre- and Post-Trip Inspections
ficiency in all elements of the BTW cur-
riculum unless otherwise noted. Consistent The training provider must teach the driv-
with the definitions of BTW range training er-trainees to conduct pre-trip and post-trip
and BTW public road training in § 380.605, a inspections as specified in §§ 392.7 and 396.11,
simulation device cannot be used to conduct including appropriate inspection locations.
such training or to demonstrate proficiency. Instruction must also be provided on enroute
Training instructors must document the vehicle inspections.
total number of clock hours each driver- Unit B1.1.4 Basic Control
trainee spends to complete the BTW cur-
riculum. The Class B curriculum must, at a This unit must introduce basic vehicular
minimum, include the following: control and handling as it applies to com-
mercial motor vehicles. This unit must in-
THEORY INSTRUCTION clude instruction addressing basic CMV con-
trols in areas such as executing sharp left
Section B1.1 Basic Operation and right turns, centering the vehicle, ma-
This section must cover the interaction be- neuvering in restricted areas, and entering
tween driver-trainees and the CMV. Driver- and exiting the interstate or controlled ac-
trainees will receive instruction in the Fed- cess highway.
eral Motor Carrier Safety Regulations
Unit B1.1.5 Shifting/Operating
(FMCSRs) and will be introduced to the basic
Transmissions
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Pt. 380, App. B 49 CFR Ch. III (10–1–20 Edition)
them to safely and competently perform Unit B1.2.4 Speed Management
basic shifting maneuvers. This unit must
This unit must teach driver-trainees how
teach driver-trainees to execute up and down to manage speed effectively in response to
shifting techniques on multi-speed dual various road, weather, and traffic conditions.
range transmissions, if appropriate. The The instruction must include methods for
training providers must teach driver-train- calibrating safe following distances under an
ees the importance of increased fuel econ- array of conditions including traffic, weather
omy achieved by utilizing proper shifting and CMV weight and length.
techniques.
Unit B1.2.5 Space Management
Unit B1.1.6 Backing and Docking
This unit must teach driver-trainees about
This unit must teach driver-trainees to the importance of managing the space sur-
back and dock the combination vehicle safe- rounding the vehicle under various traffic
ly. This unit must cover ‘‘Get Out and Look’’ and road conditions.
(GOAL), evaluation of backing/loading facili-
Unit B1.2.6 Night Operation
ties, knowledge of backing set ups, as well as
instruction in how to back with use of spot- This unit must instruct driver-trainees in
ters. the factors affecting the safe operation of
CMVs at night and in darkness. Addition-
Section B1.2 Safe Operating Procedures ally, driver-trainees must be instructed in
changes in vision, communications, speed,
This section must teach the practices re-
space management, and proper use of lights,
quired for safe operation of the CMV on the
as needed, to deal with the special problems
highway under various road, weather, and
night driving presents.
traffic conditions. The training providers
must teach driver-trainees the Federal rules Unit B1.2.7 Extreme Driving Conditions
governing the proper use of seat belt assem-
blies (§ 392.16). This unit must teach driver-trainees the
specific problems presented by extreme driv-
Unit B1.2.1 Visual Search ing conditions. The training will emphasize
the factors affecting the operation of CMVs
This unit must teach driver-trainees to in cold, hot, and inclement weather and on
visually search the road for potential haz- steep grades and sharp curves. The training
ards and critical objects, including instruc- providers must teach driver-trainees the
tion on recognizing distracted pedestrians or proper tire chaining procedures in this unit.
distracted drivers. This unit must include in-
struction in how to ensure a driver-trainee’s Section B1.3 Advanced Operating Practices
personal security/general awareness in com- This section must introduce higher-level
mon surroundings such as truck stops and/or skills that can be acquired only after the
rest areas and at shipper/receiver locations. more fundamental skills and knowledge
taught in the prior two sections have been
Unit B1.2.2 Communication mastered. The training providers must teach
This unit must teach driver-trainees how driver-trainees the advanced skills necessary
to communicate their intentions to other to recognize potential hazards and must
road users. Driver-trainees must be in- teach driver-trainees the procedures needed
structed in techniques for different types of to handle a CMV when faced with a hazard.
communication on the road, including proper Unit B1.3.1 Hazard Perception
use of headlights, turn signals, four-way
flashers, and horns. This unit must cover in- The unit must provide instruction for rec-
struction in proper utilization of eye contact ognizing potential hazards in the driving en-
techniques with other drivers, bicyclists, and vironment in order to reduce the severity of
pedestrians. the hazard and neutralize possible emer-
gency situations. The training providers
Unit B1.2.3 Distracted Driving must teach driver-trainees to identify road
conditions and other road users that are a
This unit must instruct driver-trainees in potential threat to the safety of the CMV
FMCSRs related to distracted driving and and suggest appropriate adjustments. The in-
other key driver distraction driving issues, struction must emphasize hazard recogni-
including improper cell phone use, texting, tion, visual search, adequate surveillance,
and use of in-cab technology (e.g., §§ 392.80 and response to possible emergency-pro-
and 392.82). This instruction will include ducing situations encountered by CMV driv-
training in the following aspects: Visual at- ers in various traffic situations. The training
tention (keeping eyes on the road); manual providers must also teach driver-trainees to
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control (keeping hands on the wheel); and recognize potential dangers and the safety
cognitive awareness (keeping mind on the procedures that must be utilized while driv-
task and safe operation of the CMV). ing in construction/work zones.
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Unit B1.3.2 Skid Control/Recovery, Unit B1.4.2 Roadside Inspections
Jackknifing, and Other Emergencies
This unit must instruct driver-trainees on
This unit must teach the causes of skid- what to expect during a standard roadside
ding and jackknifing and techniques for inspection conducted by authorized per-
avoiding and recovering from them. The sonnel. The training providers must teach
training providers must teach the impor- driver-trainees on what vehicle and driver
tance of maintaining directional control and violations are classified as out-of-service
bringing the CMV to a stop in the shortest (OOS), including the ramifications and pen-
possible distance while operating over a slip- alties for operating a CMV when subject to
pery surface. This unit must provide instruc- an OOS order as defined in section 390.5.
tion in appropriate responses when faced
with CMV emergencies. This instruction Unit B1.4.3 Maintenance
must include evasive steering, emergency
braking, and off-road recovery, as well as the This unit must introduce driver-trainees to
proper response to brake failures, tire blow- the basic servicing and checking procedures
outs, hydroplaning, and rollovers. The in- for various engine and vehicle components
struction must include a review of unsafe and to help develop their ability to perform
acts and the role the acts play in producing preventive maintenance and simple emer-
or worsening hazardous situations. gency repairs.
tance to safe and efficient operation, and legal, and personal) of violating the HOS reg-
what is needed to keep the system in good ulations, including the fines and penalties
operating condition. imposed for these types of violations.
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Pt. 380, App. B 49 CFR Ch. III (10–1–20 Edition)
Unit B1.5.4 Fatigue and Wellness Awareness ning the safest route, planning for rest stops,
heavy traffic areas, railroad-highway grade
The issues and consequences of chronic and
crossing safe clearance and ground clearance
acute driver fatigue and the importance of
(i.e., ‘‘high center’’), the importance of Fed-
staying alert will be covered in this unit.
eral and State requirements on the need for
The training providers must teach driver-
permits, and vehicle size and weight limita-
trainees about wellness and basic health
tions. The training providers must teach
maintenance information that affect a driv-
driver-trainees the correct identification of
er’s ability to safely operate a CMV.
restricted routes, the pros and cons of Global
Unit B1.5.5 Post-Crash Procedures Positioning System (GPS)/trip routing soft-
ware, and the importance of selecting fuel-
This unit must teach driver-trainees the efficient routes.
appropriate post-crash procedures, including
the requirement that the driver, if possible, Unit B1.5.9 Drugs/Alcohol
assess his or her physical condition imme-
This unit must teach driver-trainees the
diately after the crash and notify authori-
rules applicable to controlled substances (in-
ties, or assign the task to other individuals
cluding prescription drugs) and alcohol use
at the crash scene. The training providers
and testing related to the operation of a
must teach driver-trainees how to protect
CMV.
the area; obtain emergency medical assist-
ance; move on-road vehicles off the road in Unit B1.5.10 Medical Requirements
minor crashes so as to avoid subsequent
crashes or injuries; engage flashers; place re- This unit must teach driver-trainees the
flective triangles and other warning devices Federal rules on medical certification, med-
for stopped vehicles; and properly use a fire ical examination procedures, general quali-
extinguisher, if necessary. The training pro- fications, responsibilities, and disqualifica-
viders must instruct driver-trainees in post- tions based on various offenses, orders, and
crash testing requirements related to con- loss of driving privileges (49 CFR part 391,
trolled substances and alcohol. subparts B and E).
This unit must instruct driver-trainees in This unit must teach driving exercises re-
the value of effective interpersonal commu- lated to basic vehicle control skills and mas-
nication techniques/skills to interact with tery of basic maneuvers, as covered in
enforcement officials. The training providers §§ 383.111 and 383.113 of this chapter necessary
must teach driver-trainees the specifics of to operate the vehicle safely. The training
the roadside vehicle inspection process, and providers must teach driver-trainees activi-
what to expect during this activity. Driver- ties in this unit on a driving range as defined
trainees who are not native English speakers in § 380.605. The training provider must teach
must be instructed in FMCSA English lan- ‘‘Get Out and Look’’ (GOAL) to the driver-
guage proficiency requirements and the con- trainee as it applies to units B2.2–2.6.
sequences for violations. The training pro- Unit B2.1 Vehicle Inspection Pre-Trip/Enroute/
viders must teach driver-trainees the impli- Post-Trip
cations of violating Federal and state regula-
tions will have on their driving records and Driver-trainees must demonstrate pro-
their employing motor carrier’s records. ficiency in conducting pre-trip and post-trip
inspections as specified in §§ 392.7 and 396.11,
Unit B1.5.7 Whistleblower/Coercion including appropriate inspection locations.
This unit must teach the driver-trainees Instruction must also be provided on enroute
about the right of an employee to question vehicle inspections.
the safety practices of an employer without Unit B2.2 Straight Line Backing
incurring the risk of losing a job or being
subject to reprisals simply for stating a safe- Driver-trainees must demonstrate pro-
ty concern. The training providers must in- ficiency in proper techniques for performing
struct driver-trainees in the whistleblower various straight line backing maneuvers to
protection regulations in 29 CFR part 1978. appropriate criteria/acceptable tolerances.
The training providers must teach driver-
Unit B2.3 Alley Dock Backing (45/90 Degree)
trainees the procedures for reporting to
FMCSA incidents of coercion from motor Driver-trainees must demonstrate pro-
carriers, shippers, receivers, or transpor- ficiency in proper techniques for performing
tation intermediaries. 45/90 degree alley dock maneuvers to appro-
priate criteria/acceptable tolerances.
Unit B1.5.8 Trip Planning
Unit B2.4 Off-Set Backing
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Federal Motor Carrier Safety Administration, DOT Pt. 380, App. B
off-set backing maneuvers to appropriate priate spacing between the driver-trainee’s
criteria/acceptable tolerances. CMV and other vehicles. Instruction must
include methods for calibrating safe fol-
Unit B2.5 Parallel Parking Blind Side
lowing distances under an array of condi-
Driver-trainees must demonstrate pro- tions including traffic, weather, and CMV
ficiency in proper techniques for performing weight and length.
parallel parking blind side positions/maneu-
vers to appropriate criteria/acceptable toler- Unit B3.6 Safe Driver Behavior
ances.
Driver-trainees must demonstrate pro-
Unit B2.6 Parallel Parking Sight Side ficiency in safe driver behavior during their
operation of the CMV.
Driver-trainees must demonstrate pro-
ficiency in proper techniques for performing Unit B3.7 Hours of Service (HOS)
sight side parallel parking maneuvers to ap- Requirements
propriate criteria/acceptable tolerances.
Driver-trainees must demonstrate pro-
BEHIND-THE-WHEEL PUBLIC ROAD ficiency in the basic activities required by
The instructor must engage in active two- the HOS regulations, such as completing a
way communication with the driver-trainees Driver’s Daily Log (electronic and paper),
during all active BTW public road training timesheet, and logbook recap, as appro-
sessions. Skills described in paragraphs B3.8 priate.
through 3.12 of this section must be dis-
cussed during public road training, but not Unit B3.8 Hazard Perception
necessarily performed. Driver-trainees are
Driver-trainees must demonstrate their
not required to demonstrate proficiency in
ability to recognize potential hazards in the
the skills described in paragraphs B3.8
through 3.12. driving environment in time to reduce the
severity of the hazard and neutralize possible
Unit B3.1 Vehicle Controls Including: Left emergency situations. Driver-trainees must
Turns, Right Turns, Lane Changes, Curves at demonstrate the ability to identify road con-
Highway Speeds, and Entry and Exit on the ditions and other road users that are a po-
Interstate or Controlled Access Highway tential threat to vehicle safety and suggest
Driver-trainees must demonstrate pro- appropriate adjustments.
ficiency in proper techniques for initiating
Unit B3.9 Railroad (RR)-Highway Grade
vehicle movement, executing left and right
Crossing
turns, changing lanes, navigating curves at
speed, exiting and entering the interstate, Driver-trainees must demonstrate the abil-
and stopping the vehicle in a controlled ity to recognize potential dangers and to
manner. demonstrate appropriate safety procedures
when RR-highway grade crossings are rea-
Unit B3.2 Shifting/Transmission
sonably available.
Driver-trainees must demonstrate pro-
ficiency in proper techniques for performing Unit B3.10 Night Operation
safe and fuel-efficient shifting.
Driver-trainees must be familiar with how
Unit B3.3 Communications/Signaling to operate a CMV safely at night. Training
providers must teach driver-trainees that
Driver-trainees must demonstrate pro- night driving presents specific circumstances
ficiency in proper techniques for signaling
that require heightened attention on the
intentions and effectively communicating
part of the driver. Driver-trainees must be
with other drivers.
taught special requirements for night vision,
Unit B3.4 Visual Search communications, speed, space management,
and proper use of lights.
Driver-trainees must demonstrate pro-
ficiency in proper techniques for visually Unit B3.11 Extreme Driving Conditions
searching the road for potential hazards and
critical objects. Driver-trainees must be familiar with the
special risks created by, and the heightened
Unit B3.5 Speed and Space Management precautions required by, driving CMVs under
Driver-trainees must demonstrate pro- extreme driving conditions, such as heavy
ficiency in proper habits and techniques for rain, high wind, high heat, fog, snow, ice,
adjusting and maintaining vehicle speed, steep grades, and curves. Training providers
taking into consideration various factors must teach driver-trainees the basic driving
kpayne on VMOFRWIN702 with $$_JOB
such as traffic and road conditions. Driver- habits needed to deal with the specific chal-
trainees must demonstrate proficiency in lenges presented by these extreme driving
maintaining proper speed to keep appro- conditions.
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Pt. 380, App. C 49 CFR Ch. III (10–1–20 Edition)
Unit B3.12 Skid Control/Recovery, Jackknifing, Unit C1.2 Other Emergency Procedures
and Other Emergencies
This unit must instruct driver-trainees in
Driver-trainees must know the causes of managing security breaches, on-board fires,
skidding and jackknifing and techniques for emergency exit and passenger evacuation
avoiding and recovering from them. Driver- training, medical emergencies, and emer-
trainees must know how to maintain direc- gency stopping procedures including the de-
tional control and bring the CMV to a stop ployment of various emergency hazard sig-
in the shortest possible distance while oper- nals. Instruction must also include proce-
ating over a slippery surface. Driver-trainees dures for dealing with mechanical break-
must be familiar with proper techniques for downs and vehicle defects while enroute.
responding to CMV emergencies, such as eva-
sive steering, emergency braking, and off- Unit C1.3 Vehicle Orientation
road recovery. They must also know how to This unit must teach driver-trainees the
prevent or respond to brake failures, tire basic physical and operational characteris-
blowouts, hydroplaning, and rollovers. tics of passenger-carrying CMV (e.g., bus and
[81 FR 88794, Dec. 8, 2016, as amended at 83 motor coach), including overall height,
FR 22875, May 17, 2018] length, width, ground clearances, rear over-
hang, Gross Vehicle Weight and Gross Vehi-
APPENDIX C TO PART 380—PASSENGER cle Weight Rating, axle weights, wheels and
rims, tires, tire ratings, mirrors, steer
ENDORSEMENT TRAINING CURRICULUM wheels, lighting, windshield, windshield wip-
Passenger (P) endorsement applicants ers, engine compartments, basic electrical
must complete the curriculum outlined in system, brake systems, as applicable, and
this section, which applies to driver-trainees spare tire storage. Additionally, training
who expect to operate CMVs in the any of providers must instruct driver-trainees in
the vehicle groups defined in § 383.91(a)(1)–(3) techniques for proper driver seat and mirror
adjustments.
for which a P endorsement is required.
There is no required minimum number of Unit C1.4 Pre-Trip, Enroute, and Post-Trip
instruction hours for theory training, but Inspection
the training provider must cover all the top-
ics set forth in the curriculum. There is no This unit must teach the driver-trainee the
required minimum number of instruction importance of pre-trip, enroute, and post-
hours for BTW training, but training pro- trip inspections; and provide instruction in
viders must determine whether driver-train- techniques for conducting such inspections
ees have demonstrated proficiency in all ele- as stated in §§ 392.7 and 396.11, and dem-
ments of the BTW curriculum. Training in- onstrate their ability to inspect the fol-
structors must document the total number lowing:
of clock hours each driver-trainee spends to (1) Emergency exits;
complete the BTW curriculum. The training (2) Passenger-carrying CMV interiors (in-
must be conducted in a passenger vehicle of cluding passenger seats as applicable);
the same vehicle group as the applicant in- (3) Restrooms and associated environ-
tends to drive. The passenger endorsement mental requirements;
training must, at a minimum, contain the (4) Temperature controls (for maintaining
following: passenger comfort);
(5) Driver and passenger seat belts.
THEORY INSTRUCTION Additionally, training providers must in-
struct driver-trainees in procedures, as appli-
Unit C1.1 Post-Crash Procedures cable, in security-related inspections, includ-
This unit must teach driver-trainees ap- ing inspections for unusual wires or other
propriate post-crash procedures, including abnormal visible materials, interior and ex-
the requirement that the driver, if possible, terior luggage compartments, packages or
assess his or her physical condition imme- luggage left behind, and signs of cargo or ve-
diately after the crash and notify authori- hicle tampering. Finally, training providers
ties, or assign the task to a passenger or must instruct driver-trainees in cycling-ac-
other individuals at the crash scene. Also, cessible lifts and procedures for inspecting
training providers must teach driver-train- them for functionality and defects.
ees how to obtain emergency medical assist-
Unit C1.5 Fueling
ance; move on-road vehicles off the road in
minor crashes so as to avoid subsequent This unit must instruct driver-trainees on
crashes or injuries; engage flashers, reflec- the significance of avoiding refueling a bus
kpayne on VMOFRWIN702 with $$_JOB
tive triangles and other warning devices for while passengers are onboard and the imper-
stopped vehicles; and properly use a fire ex- ative of avoiding refueling in an enclosed
tinguisher if necessary. space.
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Federal Motor Carrier Safety Administration, DOT Pt. 380, App. C
Unit C1.6 Idling viders must teach driver-trainees how to rec-
This unit must teach driver-trainees the ognize the signs of fatigue and basic fatigue
importance of compliance with State and countermeasures as a means to avoid crash-
local laws and regulations, including for ex- es.
ample, idling limits, fuel savings; and the
Unit C1.12 Safety Belt Safety
consequences of non-compliance, including
adverse health effects and penalties. This unit must teach driver-trainees the
Federal rules governing the proper use of
Unit C1.7 Baggage and/or Cargo Management
safety restraint systems by CMV drivers, as
In this unit, training providers must teach set forth in § 392.16.
driver-trainees:
(1) Proper methods for handling and secur- Unit C1.13 Distracted Driving
ing passenger baggage and containers, as ap-
This unit must teach driver-trainees
plicable.
(2) Procedures for identifying and inspect- FMCSA regulations that prohibit drivers
ing baggage and containers for prohibited from texting or using hand-held mobile
items, such as hazardous materials. phones while operating their vehicles (e.g.,
(3) Proper handling and securement of de- §§ 392.80 and 392.82); and must teach the seri-
vices associated with the Americans with ous consequences of violations, including
Disabilities Act (ADA) compliance, including crashes, heavy fines, and impacts on a motor
oxygen, wheeled mobility devices, and other carrier’s and/or driver’s safety records, such
associated apparatuses. as driver disqualification.
Unit C1.8 Passenger Safety Awareness Briefing Unit C1.14 Railroad (RR)-Highway Grade
This unit must teach driver-trainees how Crossings and Drawbridges
to brief passengers on safety topics including This unit must instruct driver-trainees in
fastening seat belts, emergency exits, emer- applicable regulations, techniques, and pro-
gency phone contact information, fire extin- cedures for navigating RR-highway grade
guisher location, safely walking in the aisle
crossings and drawbridges appropriate to
when the bus is moving, and restroom emer-
passenger buses.
gency push button or switch.
Unit C1.9 Passenger Management Unit C1.15 Weigh Stations
In this unit, training providers must teach This unit must teach driver-trainees the
driver-trainees: weigh-station regulations that apply to
(1) Proper procedures for safe loading and buses.
unloading of passengers prior to departure,
including rules concerning standing pas- Unit C1.16 Security and Crime
sengers and the standee line. This unit must teach driver-trainees the
(2) Procedures for dealing with disruptive basic techniques for recognizing and mini-
passengers.
mizing physical risks from criminal activi-
Unit C1.10 Americans With Disabilities Act ties.
(ADA) Compliance
Unit C1.17 Roadside Inspections
Along with addressing the proper operation
of accessibility equipment (e.g., lifts), this This unit must teach driver-trainees what
must teach driver-trainees the applicable to expect during a standard roadside inspec-
regulations and proper procedures for engag- tion conducted by authorized personnel.
ing persons with disabilities or special needs Training providers must teach driver-train-
under the ADA. Training must cover pas- ees what passenger-carrying vehicle and
sengers with mobility issues, engaging pas- driver violations are classified as out-of-
sengers with sight, hearing, or cognitive im- service (OOS), including the ramifications
pairments, and recognizing the permitted and penalties for operating a CMV when sub-
use of service animals. ject to an OOS order as defined in § 390.5.
Unit C1.11 Hours of Service (HOS) Unit C1.18 Penalties and Fines
Requirements
This unit must teach driver-trainees the
This unit must teach driver-trainees the potential consequences of violating driver-
HOS regulations that apply to drivers for
related regulations, including impacts on
interstate passenger carriers. Training pro-
driver and motor carrier safety records, ad-
viders must teach driver-trainees the basic
activities required by the HOS regulations, verse impacts on the driver’s Pre-employ-
ment Screening Program record; financial
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Pt. 380, App. D 49 CFR Ch. III (10–1–20 Edition)
BEHIND THE WHEEL—RANGE AND PUBLIC ROAD (2) Visually inspect baggage and containers
for prohibited items, such as hazardous ma-
This BTW training consists of exercises re-
terials and identify such items;
lated to basic vehicle control skills and mas-
(3) Properly handle and secure devices as-
tery of basic maneuvers necessary to operate sociated with ADA compliance including ox-
the vehicle safely. Activities in this unit will ygen, wheeled mobility devices, and other as-
take place on a driving range or a public sociated apparatuses.
road as defined in § 380.605. The instructor
must engage in active communication with Unit C2.4 Passenger Safety Awareness Briefing
the driver-trainees during all BTW training
sessions. Driver-trainees must demonstrate their
ability to brief passengers on safety on top-
Unit C2.1 Vehicle Orientation ics including: Fastening seat belts, emer-
gency exits, emergency phone contact infor-
Driver-trainees must demonstrate their fa- mation, fire extinguisher location, safely
miliarity with basic passenger-carrying CMV walking in the aisle when the bus is moving,
physical and operational characteristics in- and restroom emergency push button or
cluding overall height, length, width, ground switch.
clearances, rear overhang, gross vehicle
weight and gross vehicle weight rating, axle Unit C2.5 Passenger Management
weights, wheels and rims, tires, tire ratings,
In this unit, driver-trainees must dem-
mirrors, steer wheels, lighting, windshield, onstrate their ability to safely load and un-
windshield wipers, engine compartments, load passengers prior to departure and to
basic electric system, and spare tire storage. deal with disruptive passengers.
Additionally, driver-trainees must dem-
onstrate techniques for proper driver’s seat Unit C2.6 Railroad-Highway Grade Crossings
and mirror adjustments.
Driver-trainees must demonstrate proper
Unit C2.2 Pre-Trip, Enroute, and Post-Trip procedures for safely navigating railroad-
Inspection highway grade crossings in a passenger-car-
rying CMV.
Driver-trainees must demonstrate pro-
ficiency in conducting such pre-trip, enroute [81 FR 88794, Dec. 8, 2016]
and post-trip inspections of buses and key
components of §§ 392.7 and 396.11, and dem- APPENDIX D TO PART 380—SCHOOL BUS
onstrate their ability to inspect the fol- ENDORSEMENT TRAINING CURRICULUM
lowing:
School bus (S) endorsement applicants
(1) Emergency exits;
must complete the curriculum outlined in
(2) Passenger-carrying CMV interiors (in-
this section, which applies to driver-trainees
cluding passenger seats as applicable);
who expect to operate a ‘‘school bus’’ as de-
(3) Restrooms and associated environ-
fined in § 383.5. There is no required min-
mental requirements;
imum number of instruction hours for the-
(4) Temperature controls (for maintaining
ory training, but the training provider must
passenger comfort); and cover all the topics set forth in the cur-
(5) Driver and passenger seat belts. riculum. There is no required minimum
Additionally, driver-trainees must dem- number of instruction hours for BTW train-
onstrate their knowledge of procedures, as ing, but the training provider must deter-
applicable, in security-related inspections, mine whether driver-trainees have dem-
including inspections for unusual wires or onstrated proficiency in all elements of the
other abnormal visible materials, interior BTW curriculum. Training instructors must
and exterior luggage compartments, pack- document the total number of clock hours
ages or luggage left behind, and signs of each driver-trainee spends to complete the
cargo or vehicle tampering. Driver-trainees BTW curriculum. The training must be con-
must be familiar with the operation of cy- ducted in a school bus of the same vehicle
cling-accessible lifts and the procedures for group as the applicant intends to drive. The
inspecting them for functionality and de- school bus endorsement training must, at a
fects. For passenger-carrying vehicles minimum, include the following:
equipped with said lifts and tie-down posi-
tions, trainee must demonstrate their ability THEORY INSTRUCTION
to operate the cycling-accessible lifts.
Unit D1.1 Danger Zones and Use of Mirrors
Unit C2.3 Baggage and/or Cargo Management
This unit must teach driver-trainees the
In this unit, driver-trainees must dem- danger zones that exist around the school
onstrate their ability to: bus and the techniques to ensure the safety
(1) Properly handle passenger baggage and of those around the bus. These techniques in-
kpayne on VMOFRWIN702 with $$_JOB
containers to avoid worker, passenger, and clude correct mirror adjustment and usage.
non-passenger related injuries and property The types of mirrors and their use must be
damage; discussed, as well as the requirements found
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Federal Motor Carrier Safety Administration, DOT Pt. 380, App. D
in Federal Motor Vehicle Safety Standard Unit D1.6 Railroad-Highway Grade Crossings
(FMVSS) 111 (49 CFR 571.111). Training pro-
viders must teach driver-trainees the dan- This unit must teach driver-trainees the
gers of ‘‘dart-outs.’’ Training providers must dangers trains present and the importance of
teach driver-trainees the importance of the school bus driver and students strictly
training students how to keep out of the dan- following railroad crossing procedures. In-
ger zone when around school buses and the struction must be given on the types of
techniques for doing so. crossings, warning signs and devices, and
State and local procedures and regulations
Unit D1.2 Loading and Unloading for school buses when crossing railroad-high-
way grade crossings.
This unit must be instruct driver-trainees
on the laws and regulations for loading and Unit D1.7 Student Management
unloading, as well as the required procedures
for students waiting at a bus stop and cross- This unit must teach driver-trainees how
ing the roadway at a bus stop. Special dan- to manage student behavior on the bus to en-
gers involved in loading and unloading must sure that safety is maintained and the rights
be specifically discussed, including proce- of others are respected. Specific student
dures to ensure the danger zone is clear and management techniques must be discussed,
that no student has been caught in the door- including warning signs of bullying and the
way prior to moving the vehicle. Instruction techniques for managing student behavior
also must be included on the proper use of and administering discipline. Training pro-
lights, stop arms, crossing gates, and safe op- viders must teach driver-trainees to avoid
eration of the door during loading and un- becoming distracted by student behavior
loading; the risks involved with leaving stu- while driving, especially when crossing rail-
dents unattended on a school bus; and the road tracks and during loading and unload-
proper techniques for checking the bus for ing.
sleeping children and lost items at the end of
each route. Unit D1.8 Special Safety Considerations
Unit D1.3 Vehicle Orientation This unit must teach the driver-trainees
the special safety considerations and equip-
This unit must teach driver-trainees the ment in school bus operations. Topics dis-
basic physical and operational characteris- cussed must include use of strobe lights,
tics of school buses, including overall height, driving in high winds, safe backing tech-
length, width, ground clearances, rear over- niques, and preventing tail swing crashes.
hang, Gross Vehicle Weight and Gross Vehi-
cle Weight Rating, axle weights, wheels and Unit D1.9 Pre- and Post-Trip Inspections
rims, tires, tire ratings, mirrors, steer
wheels, lighting, windshield, windshield wip- This unit must teach the driver-trainees
ers, engine compartments, basic electrical the importance of pre-trip, enroute, and
system, brake systems, as applicable, and post-trip inspections; and provide instruc-
spare tire storage. Additionally, the training tion in techniques for conducting such in-
providers must instruct driver-trainees in spections of buses as stated in §§ 392.7 and
techniques for proper driver seat and mirror 396.11, and additionally demonstrate their
adjustments. ability to inspect the following:
(1) Stop arms,
Unit D1.4 Post-Crash Procedures (2) Crossing arms,
This unit must instruct driver-trainees on (3) Emergency exits,
the proper procedures following a school bus (4) Fire extinguishers,
crash. The instruction must include use of (5) Passenger seats,
fire extinguisher(s), first aid kit(s), tending (6) First aid kits,
to injured passengers, post-crash vehicle se- (7) Interior lights, and
curement, notification procedures, deciding (8) Temperature control (for maintaining
whether to evacuate the bus, data gathering, passenger comfort).
and interaction with law enforcement offi- Training providers must instruct driver-
cials. trainees in State and local requirements, as
applicable, for inspection of school bus
Unit D1.5 Emergency Exit and Evacuation equipment.
This unit must teach driver-trainees their
Unit D1.10 School Bus Security
role in safely evacuating the bus in an emer-
gency and planning for an emergency in ad- This unit must teach driver-trainees the
vance. Training must include proper evacu- security issues facing school bus drivers.
ation methods and procedures, such as the Training providers must also teach driver-
safe evacuation of students on field and ac- trainees potential security threats, tech-
kpayne on VMOFRWIN702 with $$_JOB
tivity trips who only occasionally ride niques for preventing and responding to se-
school buses and thus may not be familiar curity threats, how to recognize and report
with the procedures. suspicious behavior, and what to do in the
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Pt. 380, App. E 49 CFR Ch. III (10–1–20 Edition)
event of a hijacking or attack on a school Unit D2.6 Railroad-Highway Grade Crossings
bus. Driver-trainees must demonstrate proper
Unit D1.11 Route and Stop Reviews procedures for safely navigating railroad-
highway grade crossings in a school bus.
This unit must teach driver-trainees the [81 FR 88794, Dec. 8, 2016]
importance of planning their routes prior to
beginning driving in order to avoid distrac- APPENDIX E TO PART 380—HAZARDOUS
tion while on the road. The training provider MATERIALS ENDORSEMENT TRAINING
must also teach driver-trainees the tech- CURRICULUM
niques for reviewing routes and stops, as well
as State and local procedures for reporting Hazardous materials (H) endorsement ap-
hazards along the route and at bus stops. plicants must complete the Hazardous mate-
rials curriculum, which apply to driver-
BEHIND THE WHEEL—RANGE AND PUBLIC ROAD trainees who intend to operate CMVs used in
the transportation of hazardous materials
This unit must consist of exercises related
(HM) as defined in § 383.5. Driver-trainees
to basic vehicle control skills and mastery of seeking an H endorsement, as defined in
basic maneuvers. Activities in this unit will § 383.93(c)(4), must complete this curriculum
take place on a driving range or a public in order to take the State-administered
road as defined in § 380.605. The instructor knowledge test for the H endorsement. There
must engage in active communication with is no required minimum number of instruc-
the driver-trainees during all active training tion hours for theory training, but the train-
sessions. ing provider must cover all the topics in the
curriculum. The HM curriculum must, at a
Unit D2.1 Danger Zones and Use of Mirrors minimum, include the following:
Driver-trainees must demonstrate the THEORY INSTRUCTION
techniques necessary to ensure the safety of
persons in the danger zone around the bus. Unit E1.1 Basic Introductory HM
Driver-trainees must practice mirror adjust- Requirements
ment and usage. The types of mirrors and This unit must teach driver-trainees the
their use are shown, and cones used to dem- basic HM competencies, including applicable
onstrate the requirements of 49 CFR 571.111. FMCSR requirements when HM is being
transported. The training provider must also
Unit D2.2 Loading and Unloading teach driver-trainees HM communication re-
Driver-trainees must demonstrate the quirements including: Shipping paper re-
loading and unloading techniques learned in quirements, marking, labeling, placarding,
the theory portion of the training. Driver- emergency response information, and ship-
trainees must demonstrate checking the ve- per’s responsibilities.
hicle for sleeping children and lost items at Unit E1.2 Operational HM Requirements
the end of the route.
This unit must teach driver-trainees the
Unit D2.3 Emergency Exit and Evacuation basic competencies for transportation of HM.
Driver-trainees must demonstrate their Unit E1.3 Reporting HM Crashes and Releases
role in safely evacuating the bus in an emer- The unit must teach driver-trainees the
gency. proper procedures and contacts for the im-
mediate notification related to certain HM
Unit D2.4 Special Safety Considerations
incidents, including instruction in the proper
Driver-trainees must demonstrate safe completion and submission of HM Incident
backing techniques and demonstrate their Reports.
ability to avoid tail swing crashes by using
Unit E.4 Tunnels and Railroad (RR)-Highway
reference points when making turns.
Grade Crossing Requirements
Unit D2.5 Pre- and Post-Trip Inspections This unit must teach driver-trainees the
proper operation of an HM vehicle at RR-
Driver-trainees must demonstrate pro-
highway grade crossings and in vehicular
ficiency in conducting pre-and post-trip in- tunnels.
spections, as stated in §§ 392.7 and 396.11, and
of school bus-specific equipment, such as Unit E1.5 Loading and Unloading HM
mirrors, stop arms, crossing arms, emer-
This unit must teach driver-trainees the
gency exits, fire extinguishers, passenger proper loading and unloading procedures for
seats, first aid kits, interior lights, and tem-
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Federal Motor Carrier Safety Administration, DOT Pt. 380, App. F
of HM, and the prohibitions on transporting quired to follow for the transportation of ra-
certain solid and liquid poisons with food- dioactive and non-radioactive HM.
stuffs.
Unit E1.13 Hazardous Materials Safety Permits
Unit E1.6 HM on Passenger Vehicles (HMSP)
This unit must teach driver-trainees the This unit must teach driver-trainees the
various requirements for vehicles trans- proper procedures and operational require-
porting passengers and property, and the ments including communications, constant
types and quantities of HM that can and can- attendance, and parking that apply to the
not be transported in these vehicles/situa- transportation of HM for which an HMSP is
tions. required.
Unit E1.7 Bulk Packages [81 FR 88794, Dec. 8, 2016]
This unit must teach driver-trainees the
APPENDIX F TO PART 380—LCV DRIVER
specialized requirements for transportation
of cargo in bulk packages, including cargo TRAINING PROGRAMS, REQUIRED
tanks, intermediate bulk containers, bulk KNOWLEDGE AND SKILLS
cylinders and portable tanks. The unit must
The following table lists topics of instruc-
include training in the operation of emer-
tion required for drivers of longer combina-
gency control features, special vehicle han-
tion vehicles pursuant to 49 CFR part 380,
dling characteristics, rollover prevention,
subpart B. The training courses for operators
and the properties and hazards of the HM
of LCV Doubles and LCV Triples must be dis-
transported. Training providers must teach
tinct and tailored to address their unique op-
driver-trainees methods specifically designed
erating and handling characteristics. Each
to reduce cargo tank rollovers including, but
course must include the minimum topics of
not limited to, vehicle design and perform-
instruction, including behind-the-wheel
ance, load effects, highway factors, and driv-
training designed to provide an opportunity
er factors.
to develop the skills outlined under the Pro-
Unit E1.8 Operating Emergency Equipment ficiency Development unit of the training
program. Only a skills instructor may ad-
This unit must teach driver-trainees the minister behind-the-wheel training involving
applicable requirements of the FMCSRs and the operation of an LCV or one of its compo-
the procedures necessary for the safe oper- nents. A classroom instructor may admin-
ation of the motor vehicle. This includes ister only instruction that does not involve
training in special precautions for fires, the operation of an LCV or one of its compo-
loading and unloading, operation of cargo nents.
tank motor vehicle equipment, and shut-off/
shut-down equipment. TABLE TO THE APPENDIX—COURSE TOPICS FOR
Unit E1.9 Emergency Response Procedures LCV DRIVERS
This unit must teach driver-trainees the Section 1: Orientation
proper procedures and best practices for han-
dling an emergency response and post-re- 1.1 ......... LCVs in Trucking
sponse operations, including what to do in 1.2 ......... Regulatory Factors
the event of an unintended release of an HM. 1.3 ......... Driver Qualifications
1.4 ......... Vehicle Configuration Factors
All training, preparation, and response ef-
forts must focus on the hazards of the mate- Section 2: Basic Operation
rials that have been released and the protec-
tion of people, property, and the environ- 2.1 ......... Coupling and Uncoupling
ment. 2.2 ......... Basic Control and Handling
2.3 ......... Basic Maneuvers
Unit E1.10 Engine (Fueling) 2.4 ......... Turning, Steering and Tracking
2.5 ......... Proficiency Development
This unit must teach driver-trainees the
procedures for fueling a vehicle that con- Section 3: Safe Operating Practices
tains HM.
3.1 ......... Interacting with Traffic
Unit E1.11 Tire Check 3.2 ......... Speed and Space Management
3.3 ......... Night Operations
This unit must teach driver-trainees the 3.4 ......... Extreme Driving Conditions
proper procedures for checking the vehicle 3.5 ......... Security Issues
tires at the start of a trip and each time the 3.6 ......... Proficiency Development
vehicle is parked.
Section 4: Advanced Operations
Unit E1.12 Routes and Route Planning
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Pt. 380, App. F 49 CFR Ch. III (10–1–20 Edition)
TABLE TO THE APPENDIX—COURSE TOPICS FOR control the motion of LCVs under various
LCV DRIVERS—Continued road and traffic conditions.
During the driving exercises at off-highway
4.3 ......... Maintenance and Troubleshooting locations required by this section, the driv-
er-trainee must first familiarize himself/her-
Section 5: Non-Driving Activities
self with basic operating characteristics of
5.1 ......... Routes and Trip Planning an LCV. Utilizing an LCV, students must be
5.2 ......... Cargo and Weight Considerations able to perform the skills learned in each
unit to a level of proficiency required to per-
SECTION 1—ORIENTATION mit safe transition to on-street driving.
Unit 2.1—Coupling and uncoupling. This
The units in this section must provide an unit must provide instruction addressing the
orientation to the training curriculum and procedures for coupling and uncoupling
must cover the role LCVs play within the LCVs. While vehicle coupling and uncoupling
motor carrier industry, the factors that af- procedures are common to all truck-tractor/
fect their operations, and the role that driv- semi-trailer operations, some factors are pe-
ers play in the safe operation of LCVs. culiar to LCVs. Emphasis must be placed
Unit 1.1—LCVs in Trucking. This unit must upon preplanning and safe operating proce-
provide an introduction to the emergence of dures.
LCVs in trucking and must serve as an ori- Unit 2.2—Basic control and handling. This
entation to the course content. Emphasis unit must provide an introduction to basic
must be placed upon the role the driver plays vehicular control and handling as it applies
in transportation. to LCVs. This must include instruction ad-
Unit 1.2—Regulatory factors. This unit must dressing brake performance, handling char-
provide instruction addressing the Federal, acteristics and factors affecting LCV sta-
State, and local governmental bodies that bility while braking, turning, and cornering.
propose, enact, and implement the laws, Emphasis must be placed upon safe operating
rules, and regulations that affect the truck- procedures.
ing industry. Emphasis must be placed on Unit 2.3—Basic maneuvers. This unit must
those regulatory factors that affect LCVs, provide instruction addressing the basic ve-
including 23 CFR 658.23 and appendix C to hicular maneuvers that will be encountered
part 658. by LCV drivers. This must include instruc-
Unit 1.3—Driver qualifications. This unit tion relative to backing, lane positioning
must provide classroom instruction address- and path selection, merging situations, and
ing the Federal and State laws, rules, and parking LCVs. Emphasis must be placed
regulations that define LCV driver qualifica- upon safe operating procedures as they apply
tions. It also must include a discussion on to brake performance and directional sta-
medical examinations, drug and alcohol bility while accelerating, braking, merging,
tests, certification, and basic health and cornering, turning, and parking.
wellness issues. Emphasis must be placed Unit 2.4—Turning, steering, and tracking.
upon topics essential to physical and mental This unit must provide instruction address-
health maintenance, including (1) diet, (2) ing turning situations, steering maneuvers,
exercise, (3) avoidance of alcohol and drug and the tracking of LCV trailers. This must
abuse, and caution in the use of prescription include instruction related to trailer sway
and nonprescription drugs, (4) the adverse ef- and off-tracking. Emphasis must be placed
fects of driver fatigue, and (5) effective fa- on maintaining directional stability.
tigue countermeasures. Driver-trainees who Unit 2.5—Proficiency development: basic oper-
have successfully completed the Entry-level ations. The purpose of this unit is to enable
training segments at § 380.503(a) and (c) are driver-students to gain the proficiency in
considered to have satisfied the require- basic operation needed to safely undertake
ments of Unit 1.3. on-street instruction in the Safe Operations
Unit 1.4—Vehicle configuration factors. This Practices section of the curriculum.
unit must provide classroom instruction ad- The activities of this unit must consist of
dressing the key vehicle components used in driving exercises that provide practice for
the configuration of longer combination ve- the development of basic control skills and
hicles. It also must familiarize the driver- mastery of basic maneuvers. Driver-students
trainee with various vehicle combinations, practice skills and maneuvers learned in the
as well as provide instruction about unique Basic Control and Handling; Basic Maneu-
characteristics and factors associated with vers; and Turning, Steering and Tracking
LCV configurations. units. A series of basic exercises is practiced
SECTION 2—BASIC OPERATION at off-highway locations until students de-
velop sufficient proficiency for transition to
The units in this section must cover the on-street driving.
interaction between the driver and the vehi- Once the driver-student’s skills have been
kpayne on VMOFRWIN702 with $$_JOB
cle. They must teach driver-trainees how to measured and found adequate, the driver-stu-
couple and uncouple LCVs, ensure the vehi- dent must be allowed to move to on-the-
cles are in proper operating condition, and street driving.
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Federal Motor Carrier Safety Administration, DOT Pt. 380, App. F
Nearly all activity in this unit will take learned in the first three sections. Driver-
place on the driving range or on streets or student performance progress must be close-
roads that have low-density traffic condi- ly monitored to determine when the level of
tions. proficiency required for carrying out the
basic traffic maneuvers of stopping, turning,
SECTION 3—SAFE OPERATING PRACTICES merging, straight driving, curves, lane
The units in this section must cover the changing, passing, driving on hills, driving
interaction between student drivers, the ve- through traffic restrictions, and parking has
hicle, and the traffic environment. They been attained. The driver-student must also
must teach driver-students how to apply be assessed for regulatory compliance with
their basic operating skills in a way that en- all traffic laws.
sures their safety and that of other road Nearly all activity in this unit will take
users under various road, weather, and traf- place on public roadways in a full range of
fic conditions. traffic environments applicable to this vehi-
Unit 3.1—Interacting with traffic. This unit cle configuration. This must include urban
must provide instruction addressing the and rural uncontrolled roadways, express-
principles of visual search, communication, ways or freeways, under light, moderate, and
and sharing the road with other traffic. Em- heavy traffic conditions. There must be a
phasis must be placed upon visual search, brief classroom session to familiarize driver-
mirror usage, signaling and/or positioning students with the type of on-street maneu-
the vehicle to communicate, and under- vers they will perform and how their per-
standing the special situations encountered formance will be rated.
by LCV drivers in various traffic situations. The instructor must assess the level of
Unit 3.2—Speed and space management. This skill development of the driver-student and
unit must provide instruction addressing the must increase in difficulty, based upon the
principles of speed and space management. level of skill attained, the types of maneu-
Emphasis must be placed upon maintaining vers, roadways and traffic conditions to
safe vehicular speed and appropriate space which the driver-student is exposed.
surrounding the vehicle under various traffic
SECTION 4—ADVANCED OPERATIONS
and road conditions. Particular attention
must be placed upon understanding the spe- The units in this section must introduce
cial situations encountered by LCVs in var- higher level skills that can be acquired only
ious traffic situations. after the more fundamental skills and
Unit 3.3—Night operations. This unit must knowledge taught in sections two and three
provide instruction addressing the principles have been mastered. They must teach the
of Night Operations. Emphasis must be perceptual skills necessary to recognize po-
placed upon the factors affecting operation tential hazards, and must demonstrate the
of LCVs at night. Night driving presents spe- procedures needed to handle an LCV when
cific factors that require special attention faced with a hazard.
on the part of the driver. Changes in vehicle The Maintenance and Trouble-shooting
safety inspection, vision, communications, Unit must provide instruction that addresses
speed management, and space management how to keep the vehicle in safe and efficient
are needed to deal with the special problems operating condition. The purpose of this unit
night driving presents. is to teach the correct way to perform simple
Unit 3.4—Extreme driving conditions. This maintenance tasks, and how to troubleshoot
unit must provide instruction addressing the and report those vehicle discrepancies or de-
driving of LCVs under extreme driving con- ficiencies that must be repaired by a quali-
ditions. Emphasis must be placed upon the fied mechanic.
factors affecting the operation of LCVs in Unit 4.1—Hazard perception. This unit must
cold, hot, and inclement weather and in the provide instruction addressing the principles
mountains and desert. Changes in basic driv- of recognizing hazards in sufficient time to
ing habits are needed to deal with the spe- reduce the severity of the hazard and neu-
cific problems presented by these extreme tralize a possible emergency situation. While
driving conditions. hazards are present in all motor vehicle traf-
Unit 3.5—Security issues. This unit must in- fic operations, some are peculiar to LCV op-
clude a discussion of security requirements erations. Emphasis must be placed upon haz-
imposed by the Department of Homeland Se- ard recognition, visual search, and response
curity, Transportation Security Administra- to possible emergency-producing situations
tion; the U.S. Department of Transportation, encountered by LCV drivers in various traf-
Pipeline and Hazardous Materials Safety Ad- fic situations.
ministration; and any other State or Federal Unit 4.2—Hazardous situations. This unit
agency with responsibility for highway or must address dealing with specific proce-
motor carrier security. dures appropriate for LCV emergencies.
Unit 3.6—Proficiency development. This unit These must include evasive steering, emer-
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must provide driver-students an opportunity gency braking, off-road recovery, brake fail-
to refine, within the on-street traffic envi- ures, tire blowouts, rearward amplification,
ronment, their vehicle handling skills hydroplaning, skidding, jackknifing and the
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Pt. 381 49 CFR Ch. III (10–1–20 Edition)
rollover phenomenon. The discussion must 381.225 Who should I contact if I have ques-
include a review of unsafe acts and the role tions about the information I am re-
they play in producing hazardous situations. quired to submit to the FMCSA or about
Unit 4.3—Maintenance and trouble-shooting. the status of my request for a waiver?
This unit must introduce driver-students to
the basic servicing and checking procedures Subpart C—Procedures for Applying for
for the various vehicle components and pro- Exemptions
vide knowledge of conducting preventive
maintenance functions, making simple emer- 381.300 What is an exemption?
gency repairs, and diagnosing and reporting 381.305 How do I determine when I may
vehicle malfunctions. apply for an exemption?
381.310 How do I apply for an exemption?
SECTION 5—NON-DRIVING ACTIVITIES 381.315 What will the FMCSA do after the
agency receives my application for an ex-
The units in this section must cover activi- emption?
ties that are not directly related to the vehi- 381.317 May I resubmit my application for
cle itself but must be performed by an LCV exemption if it is denied?
driver. The units in this section must ensure 381.320 How long will it take the agency to
these activities are performed in a manner respond to my application for an exemp-
that ensures the safety of the driver, vehicle, tion?
cargo, and other road users. 381.325 Who should I contact if I have ques-
Unit 5.1—Routes and trip planning. This unit tions about the information I am re-
must address the importance of and require- quired to submit to the FMCSA or about
ments for planning routes and trips. This the status of my application for an ex-
must include classroom discussion of Federal emption?
and State requirements for a number of top- 381.330 What am I required to do if the
ics including permits, vehicle size and FMCSA grants my application for an ex-
weight limitations, designated highways, emption?
local access, the reasonable access rule, stag-
ing areas, and access zones. Subpart D—Initiation of Pilot Programs
Unit 5.2—Cargo and weight considerations.
This unit must address the importance of 381.400 What is a pilot program?
proper cargo documentation, loading, secur- 381.405 Who determines whether a pilot pro-
gram should be initiated?
ing and unloading cargo, weight distribution,
381.410 What may I do if I have an idea or
load sequencing and trailer placement. Em-
suggestion for a pilot program?
phasis must be placed on the importance of
381.415 Who should I contact if I have ques-
axle weight distribution, as well as on trailer
tions about the information to be in-
placement and its effect on vehicle handling.
cluded in my suggestion?
[69 FR 29404, May 21, 2004, as amended at 78 381.420 What will the FMCSA do after the
FR 58479, Sept. 24, 2013. Redesignated at 81 agency receives my suggestion for a pilot
FR 88794, Dec. 8, 2016] program?
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Federal Motor Carrier Safety Administration, DOT § 381.205
EDITORIAL NOTE: Nomenclature changes to sories. You also includes any interested
part 381 appear at 66 FR 49872, Oct. 1, 2001. party who would like to suggest or rec-
ommend that the FMCSA initiate a
Subpart A—General pilot program.
[63 FR 67608, Dec. 8, 1998, as amended at 80
§ 381.100 What is the purpose of this
FR 59072, Oct. 1, 2015]
part?
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 § 381.200 What is a waiver?
Safety Regulations (FMCSRs) which
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
activity that would be subject to the
§ 381.105 Who is required to comply regulations.
with the rules in this part? (b) A waiver provides the person with
relief from the regulations for up to
(a) You must comply with the rules
three months.
in this part if you are going to request
(c) A waiver is intended for unique,
a waiver or apply for an exemption.
non-emergency events and is subject to
(b) You should follow the instruc-
conditions imposed by the Adminis-
tions in subpart D of this part if you
trator.
would like to recommend the agency
(d) Waivers may only be granted from
initiate a pilot program. one or more of the requirements con-
§ 381.110 What definitions are applica- tained in the following parts and sec-
ble to this part? tions of the FMCSRs:
(1) Part 382—Controlled Substances
Commercial motor vehicle means any and Alcohol Use and Testing;
motor vehicle that meets the defini- (2) Part 383—Commercial Driver’s Li-
tion of ‘‘commercial motor vehicle’’ cense Standards; Requirements and
found at 49 CFR 382.107 concerning con- Penalties;
trolled substances and alcohol use and (3) § 390.19 Motor Carrier Identifica-
testing, 49 CFR 383.5 concerning com- tion Report;
mercial driver’s license standards, or 49 (4) § 390.21 Marking of commercial
CFR 390.5 concerning parts 390 through motor vehicles;
399 of the FMCSRs. (5) Part 391—Qualifications of Driv-
Federal Motor Carrier Safety Adminis- ers;
trator (the Administrator) means the (6) Part 392—Driving of Commercial
chief executive of the Federal Motor Motor Vehicles;
Carrier Safety Administration, an (7) Part 393—Parts and Accessories
agency within the Department of Necessary for Safe Operation;
Transportation. (8) Part 395—Hours of Service of Driv-
FMCSRs means Federal Motor Car- ers;
rier Safety Regulations (49 CFR parts (9) Part 396—Inspection, Repair, and
382 and 383, §§ 390.19, 390.21, and parts Maintenance (except § 396.25); and
391 through 393, 395, 396, and 399). (10) Part 399—Step, Handhold and
You means an individual or motor Deck Requirements.
carrier or other entity that is, or will
be, responsible for the operation of a § 381.205 How do I determine when I
CMV(s). The term includes a motor may request a waiver?
carrier’s agents, officers and represent- (a) You may request a waiver if one
atives as well as employees responsible or more FMCSR would prevent you
for hiring, supervising, training, as- from using or operating CMVs, or make
signing, or dispatching of drivers and it unreasonably difficult to do so, dur-
employees concerned with the installa- ing a unique, non-emergency event
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tion, inspection, and maintenance of that will take no more than three
motor vehicle equipment and/or acces- months to complete.
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§ 381.210 49 CFR Ch. III (10–1–20 Edition)
(b) Before you decide to request a the level of safety that would be ob-
waiver, you should carefully review the tained by complying with the regula-
regulation to determine whether there tion.
are any practical alternatives already
[72 FR 67608, Dec. 8, 1998, as amended at 72
available that would allow your use or FR 55699, Oct. 1, 2007]
operation of CMVs during the event.
You should also determine whether you § 381.215 What will the FMCSA do
need a waiver from all of the require- after the agency receives my re-
ments in one or more parts of the regu- quest for a waiver?
lations, or whether a more limited (a) The Federal Motor Carrier Safety
waiver of certain sections within one Administration will review your re-
or more of the parts of the regulations quest and make a recommendation to
would provide an acceptable level of the Administrator. The final decision
regulatory relief. For example, if you whether to grant or deny the applica-
need relief from one of the record- tion for a waiver will be made by the
keeping requirements concerning driv- Administrator.
er qualifications, you should not re- (b) After a decision is signed by the
quest relief from all of the require- Administrator, you will be sent a copy
ments of part 391. of the document, which will include the
§ 381.210 How do I request a waiver? terms and conditions for the waiver or
the reason for denying the application
(a) You must send a written request for a waiver.
(for example, a typed or handwritten
(printed) letter), which includes all of § 381.220 How long will it take the
the information required by this sec- agency to respond to my request for
tion, to the Administrator, Federal a waiver?
Motor Carrier Safety Administration, You should receive a response from
1200 New Jersey Ave., SE., Washington, the agency within 60 calendar days
DC 20590–0001. from the date the Administrator re-
(b) You must identify the person who ceives your request. However, depend-
would be covered by the waiver. The ing on the complexity of the issues dis-
application for a waiver must include: cussed in your application, and the
(1) Your name, job title, mailing ad- availability of staff to review the ma-
dress, and daytime telephone number; terial, a final decision may take up to
(2) The name of the individual, motor 120 days.
carrier, or other entity that would be
responsible for the use or operation of § 381.225 Who should I contact if I
CMVs during the unique, non-emer- have questions about the informa-
gency event; tion I am required to submit to the
(3) Principal place of business for the FMCSA or about the status of my
motor carrier or other entity (street request for a waiver?
address, city, State, and zip code); and You should contact the Federal
(4) The USDOT identification number Motor Carrier Safety Administration,
for the motor carrier, if applicable. Office of Bus and Truck Standards and
(c) You must provide a written state- Operations (MC–PS), 1200 New Jersey
ment that: Ave., SE., Washington, DC 20590–0001.
(1) Describes the unique, non-emer-
[63 FR 67608, Dec. 8, 1998, as amended at 72
gency event for which the waiver would
FR 55699, Oct. 1, 2007]
be used, including the time period dur-
ing which the waiver is needed;
(2) Identifies the regulation that you Subpart C—Procedures for
believe needs to be waived; Applying for Exemptions
(3) Provides an estimate of the total
number of drivers and CMVs that § 381.300 What is an exemption?
would be operated under the terms and (a) An exemption is temporary regu-
conditions of the waiver; and latory relief from one or more FMCSR
(4) Explains how you would ensure given to a person or class of persons
kpayne on VMOFRWIN702 with $$_JOB
that you could achieve a level of safety subject to the regulations, or who in-
that is equivalent to, or greater than, tend to engage in an activity that
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Federal Motor Carrier Safety Administration, DOT § 381.310
would make them subject to the regu- lief from all of the requirements of
lations. part 391.
(b) An exemption provides the person
or class of persons with relief from the § 381.310 How do I apply for an exemp-
regulations for up to 5 years, and may tion?
be renewed, upon request, for subse- (a) You must send a written request
quent 5-year periods. (for example, a typed or handwritten
(c) Exemptions may only be granted (printed) letter), which includes all of
from one or more of the requirements the information required by this sec-
contained in the following parts and tion, to the Administrator, Federal
sections of the FMCSRs: Motor Carrier Safety Administration,
(1) Part 382—Controlled Substances 1200 New Jersey Ave., SE., Washington,
and Alcohol Use and Testing; DC 20590–0001.
(2) Part 383—Commercial Driver’s Li- (b) You must identify the person or
cense Standards; Requirements and class of persons who would be covered
Penalties; by the exemption. The application for
(3) Part 391—Qualifications of Driv- an exemption must include:
ers; (1) Your name, job title, mailing ad-
(4) Part 392—Driving of Commercial dress, and daytime telephone number;
Motor Vehicles; (2) The name of the individual or
(5) Part 393—Parts and Accessories motor carrier that would be respon-
Necessary for Safe Operation; sible for the use or operation of CMVs;
(6) Part 395—Hours of Service of Driv- (3) Principal place of business for the
ers; motor carrier (street address, city,
(7) Part 396—Inspection, Repair, and State, and zip code); and
Maintenance (except for § 396.25); and (4) The USDOT identification number
(8) Part 399—Step, Handhold and for the motor carrier.
Deck Requirements. (c) You must provide a written state-
ment that:
[63 FR 67608, Dec. 8, 1998, as amended at 81
FR 47720, July 22, 2016]
(1) Describes the reason the exemp-
tion is needed, including the time pe-
§ 381.305 How do I determine when I riod during which it is needed;
may apply for an exemption? (2) Identifies the regulation from
(a) You may apply for an exemption which you would like to be exempted;
if one or more FMCSR prevents you (3) Provides an estimate of the total
from implementing more efficient or number of drivers and CMVs that
effective operations that would main- would be operated under the terms and
tain a level of safety equivalent to, or conditions of the exemption;
greater than, the level achieved with- (4) Assesses the safety impacts the
out the exemption. exemption may have;
(b) Before you decide to apply for an (5) Explains how you would ensure
exemption you should carefully review that you could achieve a level of safety
the regulation to determine whether that is equivalent to, or greater than,
there are any practical alternatives al- the level of safety that would be ob-
ready available that would allow you tained by complying with the regula-
to conduct your motor carrier oper- tion; and
ations. You should also determine (6) Describes the impacts (e.g., inabil-
whether you need an exemption from ity to test innovative safety manage-
all of the requirements in one or more ment control systems, etc.) you could
parts of the regulations, or whether a experience if the exemption is not
more limited exemption from certain granted by the FMCSA.
sections within one or more parts of (d) Your application must include a
the regulations would provide an ac- copy of all research reports, technical
ceptable level of regulatory relief. For papers, and other publications and doc-
example, if you need regulatory relief uments you reference.
from one of the recordkeeping require-
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§ 381.315 49 CFR Ch. III (10–1–20 Edition)
§ 381.315 What will the FMCSA do Please follow the instructions online
after the agency receives my appli- for more information and help.
cation for an exemption? [63 FR 67608, Dec. 8, 1998, as amended at 72
(a) The Federal Motor Carrier Safety FR 55700, Oct. 1, 2007]
Administration will review your appli-
§ 381.317 May I resubmit my applica-
cation and prepare, for the Administra- tion for exemption if it is denied?
tor’s signature, a FEDERAL REGISTER
notice requesting public comment on If the Administrator denies your ap-
your application for an exemption. The plication for exemption and you can
reasonably address the reasons for de-
notice will give the public an oppor-
nial, you may resubmit your applica-
tunity to review your request and your
tion following the procedures in
safety assessment or analysis (required § 381.310.
by § 381.310) and any other relevant in-
formation known to the agency. [81 FR 47720, July 22, 2016]
(b) After a review of the comments § 381.320 How long will it take the
received in response to the FEDERAL agency to respond to my applica-
REGISTER notice described in paragraph tion for an exemption?
(a) of this section, the Federal Motor The agency will attempt to issue a
Carrier Safety Administration will final decision within 180 days of the
make a recommendation(s) to the Ad- date it receives your application. How-
ministrator to either to grant or deny ever, if you leave out important details
the exemption. Notice of the Adminis- or other information necessary for the
trator’s decision will be published in FMCSA to prepare a meaningful re-
the FEDERAL REGISTER. quest for public comments, the agency
(c)(1) If the exemption is granted, the will attempt to issue a final decision
notice will identify the provisions of within 180 days of the date it receives
the FMCSRs from which you will be ex- the additional information.
empt, the effective period, and all
§ 381.325 Who should I contact if I
terms and conditions of the exemption. have questions about the informa-
(2) If the exemption is denied, the no- tion I am required to submit to the
tice will explain the reason for the de- FMCSA or about the status of my
nial. application for an exemption?
(d) A copy of your application for an You should contact the Federal
exemption and all comments received Motor Carrier Safety Administration,
in response to the FEDERAL REGISTER Office of Bus and Truck Standards and
notice will be included in a public Operations (MC–PS), 1200 New Jersey
docket and be available for review by Ave., SE., Washington, DC 20590–0001.
interested parties. [63 FR 67608, Dec. 8, 1998, as amended at 72
(1) Interested parties may view the FR 55700, Oct. 1, 2007]
information contained in the docket by
visiting the Department of Transpor- § 381.330 What am I required to do if
tation, Docket Management Facility, the FMCSA grants my application
for an exemption?
1200 New Jersey Ave., SE., Washington,
DC 20590–0001. All information in the (a) You must comply with all the
exemption docket will be available for terms and conditions of the exemption.
examination at this address from 10 (b) The FMCSA will immediately re-
voke your exemption if:
a.m. to 5 p.m., e.t., Monday through
(1) You fail to comply with the terms
Friday, except Federal holidays.
and conditions of the exemption;
(2) Internet users can access all infor- (2) The exemption has resulted in a
mation received by the Department of lower level of safety than was main-
Transportation, Docket Management tained before the exemption was grant-
Facility by using the Federal Docket ed; or
Management System using the uniform (3) Continuation of the exemption is
resources locator (URL): http:// determined by the FMCSA to be incon-
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Federal Motor Carrier Safety Administration, DOT § 381.410
(8) Part 399—Step, Handhold and that would be needed to conduct the
Deck Requirements. pilot program (e.g., the time needed to
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§ 381.415 49 CFR Ch. III (10–1–20 Edition)
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
monitoring plan to ensure that partici- conducting a pilot program?
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 of (d) The FMCSA will publish a de-
safety that is equivalent to, or greater tailed description of each pilot pro-
than, the level of safety that would be gram, including the exemptions to be
obtained by complying with the regula- considered, and provide notice and an
tion. opportunity for public comment before
(d) Your recommendation should in- the effective date of the pilot program.
clude a copy of all research reports,
[63 FR 67608, Dec. 8, 1998, as amended at 78
technical papers, publications and FR 60231, Oct. 1, 2013]
other documents you reference.
[63 FR 67608, Dec. 8, 1998, as amended at 72 § 381.505 What are the minimum ele-
FR 55700, Oct. 1, 2007; 78 FR 58479, Sept. 24, ments required for a pilot program?
2013] (a) Safety measures. Before granting
exemptions for a pilot program, the
§ 381.415 Who should I contact if I FMCSA will ensure that the safety
have questions about the informa- measures in a pilot program are de-
tion to be included in my sugges-
tion? signed to achieve a level of safety that
is equivalent to, or greater than, the
You should contact the Federal level of safety that would be achieved
Motor Carrier Safety Administration, by complying with the regulations.
Office of Bus and Truck Standards and (b) Pilot program plan. Before initi-
Operations (MC–PS), 1200 New Jersey ating a pilot program, the FMCSA will
Ave., SE., Washington, DC 20590–0001. ensure that there is a pilot program
[63 FR 67608, Dec. 8, 1998, as amended at 72 plan which includes the following ele-
FR 55700, Oct. 1, 2007] ments:
(1) A scheduled duration of three
§ 381.420 What will the FMCSA do years or less;
after the agency receives my sug- (2) A specific data collection and
gestion for a pilot program? safety analysis plan that identifies a
(a) The Federal Motor Carrier Safety method of comparing the safety per-
Administration will review your sug- formance for motor carriers, CMVs,
gestion for a pilot program and make a and drivers operating under the terms
recommendation to the Administrator. and conditions of the pilot program,
The final decision whether to propose with the safety performance of motor
the development of a pilot program carriers, CMVs, and drivers that com-
based upon your recommendation will ply with the regulation;
be made by the Administrator. (3) A reasonable number of partici-
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(b) You will be sent a copy of the Ad- pants necessary to yield statistically
ministrator’s decision. If the pilot pro- valid findings;
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Federal Motor Carrier Safety Administration, DOT Pt. 382
(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
to identify approved participants to en-
AND TESTING
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.
The FMCSA will immediately termi- 382.107 Definitions.
nate a pilot program if there is reason 382.109 Preemption of State and local laws.
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.
lent to the level of safety that would be 382.115 Starting date for testing programs.
achieved by complying with the regula- 382.117 Public interest exclusion.
tions. 382.119 Stand-down waiver provision.
382.121 Employee admission of alcohol and
§ 381.515 May the FMCSA remove ap- controlled substances use.
proved participants from a pilot 382.123 Driver identification.
program?
The Administrator will immediately Subpart B—Prohibitions
revoke participation in a pilot program 382.201 Alcohol concentration.
of a motor carrier, CMV, or driver for 382.205 On-duty use.
failure to comply with the terms and 382.207 Pre-duty use.
conditions of the pilot program, or if 382.209 Use following an accident.
continued participation is inconsistent 382.211 Refusal to submit to a required alco-
with the goals and objectives of the hol or controlled substances test.
382.213 Controlled substances use.
safety regulations.
382.215 Controlled substances testing.
382.217 Employer responsibilities.
§ 381.520 What will the FMCSA do with
the results from a pilot program?
Subpart C—Tests Required
At the conclusion of each pilot pro-
gram, the FMCSA will report to Con- 382.301 Pre-employment testing.
gress the findings and conclusions of 382.303 Post-accident testing.
382.305 Random testing.
the program and any recommendations 382.307 Reasonable suspicion testing.
it considers appropriate, including sug- 382.309 Return-to-duty testing.
gested amendments to laws and regula- 382.311 Follow-up testing.
tions that would enhance motor car-
rier, CMV, and driver safety and im- Subpart D—Handling of Test Results,
prove compliance with the FMCSRs. Record Retention, and Confidentiality
382.401 Retention of records.
Subpart F—Preemption of State 382.403 Reporting of results in a manage-
Rules ment information system.
382.405 Access to facilities and records.
§ 381.600 Do waivers, exemptions, and 382.407 Medical review officer notifications
pilot programs preempt State laws to the employer.
and regulations? 382.409 Medical review officer or consor-
tium/third party administrator record re-
Yes. During the time period that a
tention for controlled substances.
waiver, exemption, or pilot program 382.411 Employer notifications.
authorized by this part is in effect, no
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§ 382.101 49 CFR Ch. III (10–1–20 Edition)
382.415 Notification to employers of a con- the misuse of alcohol or use of con-
trolled substances or alcohol testing pro- trolled substances by drivers of com-
gram violation. mercial motor vehicles.
Subpart E—Consequences for Drivers En- § 382.103 Applicability.
gaging in Substance Use-Related Con-
duct (a) This part applies to service agents
and to every person and to all employ-
382.501 Removal from safety-sensitive func- ers of such persons who operate a com-
tion.
mercial motor vehicle in commerce in
382.503 Required evaluation and testing.
382.505 Other alcohol-related conduct. any State and are subject to:
382.507 Penalties. (1) The commercial driver’s license
requirements of part 383 of this sub-
Subpart F—Alcohol Misuse and Controlled chapter;
Substances Use Information, Training, (2) The Licencia Federal de Con-
and Referral ductor (Mexico) requirements; or
382.601 Employer obligation to promulgate (3) The commercial drivers license re-
a policy on the misuse of alcohol and use quirements of the Canadian National
of controlled substances. Safety Code.
382.603 Training for supervisors. (b) An employer who employs him-
382.605 Referral, evaluation, and treatment. self/herself as a driver must comply
with both the requirements in this part
Subpart G—Requirements and Procedures that apply to employers and the re-
for Implementation of the Commercial quirements in this part that apply to
Driver’s License Drug and Alcohol drivers. An employer who employs only
Clearinghouse himself/herself as a driver shall imple-
382.701 Drug and Alcohol Clearinghouse. ment a random alcohol and controlled
382.703 Driver consent to permit access to substances testing program of two or
information in the Clearinghouse. more covered employees in the random
382.705 Reporting to the Clearinghouse. testing selection pool.
382.707 Notice to drivers of entry, revision,
(c) The exceptions contained in
removal, or release of information.
382.709 Drivers’ access to information in the § 390.3(f) of this subchapter do not apply
Clearinghouse. to this part. The employers and drivers
382.711 Clearinghouse registration. identified in § 390.3(f) of this subchapter
382.713 Duration, cancellation, and revoca- must comply with the requirements of
tion of access. this part, unless otherwise specifically
382.715 Authorization to enter information provided in paragraph (d) of this sec-
into the Clearinghouse. tion.
382.717 Procedures for correcting informa-
tion in the database.
(d) Exceptions. This part shall not
382.719 Availability and removal of informa- apply to employers and their drivers:
tion. (1) Required to comply with the alco-
382.721 Fees. hol and/or controlled substances test-
382.723 Unauthorized access or use prohib- ing requirements of part 655 of this
ited. title (Federal Transit Administration
382.725 Access by State licensing authori- alcohol and controlled substances test-
ties.
382.727 Penalties.
ing regulations); or
(2) Who a State must waive from the
AUTHORITY: 49 U.S.C. 31133, 31136, 31301 et requirements of part 383 of this sub-
seq., 31502; sec. 32934, Pub. L. 112–141, 126 Stat.
chapter. These individuals include ac-
405, 830; and 49 CFR 1.87.
tive duty military personnel; members
SOURCE: 66 FR 43103, Aug. 17, 2001, unless of the reserves; and members of the na-
otherwise noted. tional guard on active duty, including
personnel on full-time national guard
Subpart A—General duty, personnel on part-time national
guard training and national guard mili-
§ 382.101 Purpose. tary technicians (civilians who are re-
The purpose of this part is to estab- quired to wear military uniforms), and
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lish programs designed to help prevent active duty U.S. Coast Guard per-
accidents and injuries resulting from sonnel; or
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Federal Motor Carrier Safety Administration, DOT § 382.107
(3) Who a State has, at its discretion, vided in § 382.121. Direct observation as
exempted from the requirements of used in this definition means observa-
part 383 of this subchapter. These indi- tion of alcohol or controlled substances
viduals may be: use and does not include observation of
(i) Operators of a farm vehicle which employee behavior or physical charac-
is: teristics sufficient to warrant reason-
(A) Controlled and operated by a able suspicion testing under § 382.307.
farmer; As used in this section, ‘‘traffic cita-
(B) Used to transport either agricul- tion’’ means a ticket, complaint, or
tural products, farm machinery, farm other document charging driving a
supplies, or both to or from a farm; CMV while under the influence of alco-
(C) Not used in the operations of a hol or controlled substances.
for-hire motor carrier, except for an ex- Alcohol means the intoxicating agent
empt motor carrier as defined in § 390.5 in beverage alcohol, ethyl alcohol, or
of this subchapter; and other low molecular weight alcohols
(D) Used within 241 kilometers (150 including methyl and isopropyl alco-
miles) of the farmer’s farm. hol.
(ii) Firefighters or other persons who
Alcohol concentration (or content)
operate commercial motor vehicles
means the alcohol in a volume of
which are necessary for the preserva-
breath expressed in terms of grams of
tion of life or property or the execution
alcohol per 210 liters of breath as indi-
of emergency governmental functions,
cated by an evidential breath test
are equipped with audible and visual
under this part.
signals, and are not subject to normal
traffic regulation. Alcohol use means the drinking or
(4) Who operate ‘‘covered farm vehi- swallowing of any beverage, liquid mix-
cles,’’ as defined in 49 CFR 390.5. ture or preparation (including any
medication), containing alcohol.
[66 FR 43103, Aug. 17, 2001, as amended at 78 Commerce means:
FR 16194, Mar. 14, 2013; 81 FR 68346, Oct. 4,
2016; 81 FR 71016, Oct. 14, 2016; 81 FR 87724, (1) Any trade, traffic or transpor-
Dec. 5, 2016] tation within the jurisdiction of the
United States between a place in a
§ 382.105 Testing procedures. State and a place outside of such State,
Each employer shall ensure that all including a place outside of the United
alcohol or controlled substances test- States; or
ing conducted under this part complies (2) Trade, traffic, and transportation
with the procedures set forth in part 40 in the United States which affects any
of this title. The provisions of part 40 trade, traffic, and transportation de-
of this title that address alcohol or scribed in paragraph (1) of this defini-
controlled substances testing are made tion.
applicable to employers by this part. Commercial Driver’s License Drug and
Alcohol Clearinghouse (Clearinghouse)
§ 382.107 Definitions. means the FMCSA database that sub-
Words or phrases used in this part part G of this part requires employers
are defined in §§ 386.2 and 390.5 of this and service agents to report informa-
subchapter, and § 40.3 of this title, ex- tion to and to query regarding drivers
cept as provided in this section— who are subject to the DOT controlled
Actual knowledge for the purpose of substance and alcohol testing regula-
subpart B of this part, means actual tions.
knowledge by an employer that a driv- Commercial motor vehicle means a
er has used alcohol or controlled sub- motor vehicle or combination of motor
stances based on the employer’s direct vehicles used in commerce to transport
observation of the employee, informa- passengers or property if the vehicle
tion provided by the driver’s previous (1) Has a gross combination weight
employer(s), a traffic citation for driv- rating or gross combination weight of
ing a CMV while under the influence of 11,794 kilograms or more (26,001 pounds
alcohol or controlled substances or an or more), whichever is greater, inclu-
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§ 382.107 49 CFR Ch. III (10–1–20 Edition)
weight of more than 4,536 kilograms company. Service agents cannot serve
(10,000 pounds), whichever is greater; or as DERs.
(2) Has a gross vehicle weight rating Disabling damage means damage
or gross vehicle weight of 11,794 or which precludes departure of a motor
more kilograms (26,001 or more vehicle from the scene of the accident
pounds), whichever is greater; or in its usual manner in daylight after
(3) Is designed to transport 16 or simple repairs.
more passengers, including the driver; (1) Inclusions. Damage to motor vehi-
or cles that could have been driven, but
(4) Is of any size and is used in the would have been further damaged if so
transportation of materials found to be driven.
hazardous for the purposes of the Haz- (2) Exclusions. (i) Damage which can
ardous Materials Transportation Act be remedied temporarily at the scene
(49 U.S.C. 5103(b)) and which require of the accident without special tools or
the motor vehicle to be placarded parts.
under the Hazardous Materials Regula-
(ii) Tire disablement without other
tions (49 CFR part 172, subpart F).
damage even if no spare tire is avail-
Confirmation (or confirmatory) drug
able.
test means a second analytical proce-
(iii) Headlight or taillight damage.
dure performed on a urine specimen to
identify and quantify the presence of a (iv) Damage to turn signals, horn, or
specific drug or drug metabolite. windshield wipers which make them in-
Confirmation (or confirmatory) validity operative.
test means a second test performed on a DOT Agency means an agency (or
urine specimen to further support a va- ‘‘operating administration’’) of the
lidity test result. United States Department of Transpor-
Confirmed drug test means a confirma- tation administering regulations re-
tion test result received by an MRO quiring alcohol and/or drug testing (14
from a laboratory. CFR parts 61, 63, 65, 121, and 135; 49 CFR
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
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and evaluation processes. The indi- laws and regulations, to prescribe con-
vidual must be an employee of the trolled substances and other drugs.
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Federal Motor Carrier Safety Administration, DOT § 382.107
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§ 382.109 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 382.123
Administration, 1200 New Jersey Ave., of the program or policy and paragraph
SE., Washington, DC 20590–0001. (a) of this section;
(c) The final decision whether to (2) It must allow the employee suffi-
grant or deny the application for a cient opportunity to seek evaluation,
waiver will be made by the Adminis- education or treatment to establish
trator or the Administrator’s designee. control over the employee’s drug or al-
(d) After a decision is signed by the cohol problem;
Administrator or the Administrator’s
(3) It must permit the employee to
designee, the employer will be sent a
return to safety sensitive duties only
copy of the decision, which will include
the terms and conditions for the waiver upon successful completion of an edu-
or the reason for denying the applica- cational or treatment program, as de-
tion for a waiver. termined by a drug and alcohol abuse
(e) Questions regarding waiver appli- evaluation expert, i.e., employee as-
cations should be directed to the Fed- sistance professional, substance abuse
eral Motor Carrier Safety Administra- professional, or qualified drug and al-
tion, Office of Enforcement and Com- cohol counselor;
pliance (MC–EC), 1200 New Jersey Ave., (4) It must ensure that:
SE., Washington, DC 20590–0001. (i) Prior to the employee partici-
[66 FR 43103, Aug. 17, 2001, as amended at 72 pating in a safety sensitive function,
FR 55700, Oct. 1, 2007] the employee shall undergo a return to
duty test with a result indicating an
§ 382.121 Employee admission of alco- alcohol concentration of less than 0.02;
hol and controlled substances use. and/or
(a) Employees who admit to alcohol (ii) Prior to the employee partici-
misuse or controlled substances use are pating in a safety sensitive function,
not subject to the referral, evaluation the employee shall undergo a return to
and treatment requirements of this duty controlled substance test with a
part and part 40 of this title, provided verified negative test result for con-
that: trolled substances use; and
(1) The admission is in accordance
(5) It may incorporate employee
with a written employer-established
monitoring and include non-DOT fol-
voluntary self-identification program
low-up testing.
or policy that meets the requirements
of paragraph (b) of this section; § 382.123 Driver identification.
(2) The driver does not self-identify
in order to avoid testing under the re- (a) Identification information on the Al-
quirements of this part; cohol Testing Form (ATF). For each al-
(3) The driver makes the admission of cohol test performed under this part,
alcohol misuse or controlled sub- the employer shall provide the driver’s
stances use prior to performing a safe- commercial driver’s license number
ty sensitive function (i.e., prior to re- and State of issuance in Step 1, Section
porting for duty); and B of the ATF.
(4) The driver does not perform a (b) Identification information on the
safety sensitive function until the em- Federal Drug Testing Custody and Con-
ployer is satisfied that the employee trol Form (CCF). For each controlled
has been evaluated and has success- substance test performed under this
fully completed education or treat- part, the employer shall provide the
ment requirements in accordance with
following information, which must be
the self-identification program guide-
recorded as follows:
lines.
(b) A qualified voluntary self-identi- (1) The driver’s commercial driver’s
fication program or policy must con- license number and State of issuance in
tain the following elements: Step 1, section C of the CCF.
(1) It must prohibit the employer (2) The employer’s name and other
from taking adverse action against an identifying information required in
employee making a voluntary admis- Step 1, section A of the ATF.
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§ 382.201 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 382.301
period in which an employer deter- (i) Was tested for controlled sub-
mines that a driver is not in compli- stances within the past 6 months (from
ance with the return-to-duty require- the date of application with the em-
ments in 49 CFR part 40, subpart O, ployer), or
after the occurrence of any of the fol- (ii) Participated in the random con-
lowing events: trolled substances testing program for
(a) The driver receives a positive, the previous 12 months (from the date
adulterated, or substituted drug test of application with the employer); and
result conducted under part 40 of this
(3) The employer ensures that no
title.
(b) The driver receives an alcohol prior employer of the driver of whom
confirmation test result of 0.04 or high- the employer has knowledge has
er alcohol concentration conducted records of a violation of this part or
under part 40 of this title. the controlled substances use rule of
(c) The driver refused to submit to a another DOT agency within the pre-
test for drugs or alcohol required under vious six months.
this part. (c)(1) An employer who exercises the
(d) The driver used alcohol prior to a exception in paragraph (b) of this sec-
post-accident alcohol test in violation tion shall contact the controlled sub-
of § 382.209. stances testing program(s) in which the
(e) An employer has actual knowl- driver participates or participated and
edge, as defined at § 382.107, that a driv- shall obtain and retain from the test-
er has: ing program(s) the following informa-
(1) Used alcohol while performing tion:
safety-sensitive functions in violation
(i) Name(s) and address(es) of the
of § 382.205;
(2) Used alcohol within four hours of program(s).
performing safety-sensitive functions (ii) Verification that the driver par-
in violation of § 382.207; or ticipates or participated in the pro-
(3) Used a controlled substance. gram(s).
(iii) Verification that the program(s)
[81 FR 87724, Dec. 5, 2016]
conforms to part 40 of this title.
(iv) Verification that the driver is
Subpart C—Tests Required qualified under the rules of this part,
§ 382.301 Pre-employment testing. including that the driver has not re-
fused to be tested for controlled sub-
(a) Prior to the first time a driver
performs safety-sensitive functions for stances.
an employer, the driver shall undergo (v) The date the driver was last test-
testing for controlled substances as a ed for controlled substances.
condition prior to being used, unless (vi) The results of any tests taken
the employer uses the exception in within the previous six months and any
paragraph (b) of this section. No em- other violations of subpart B of this
ployer shall allow a driver, who the part.
employer intends to hire or use, to per- (2) An employer who uses, but does
form safety-sensitive functions unless not employ a driver more than once a
the employer has received a controlled year to operate commercial motor ve-
substances test result from the MRO or hicles must obtain the information in
C/TPA indicating a verified negative paragraph (c)(1) of this section at least
test result for that driver. once every six months. The records
(b) An employer is not required to ad- prepared under this paragraph shall be
minister a controlled substances test
maintained in accordance with § 382.401.
required by paragraph (a) of this sec-
If the employer cannot verify that the
tion if:
(1) The driver has participated in a driver is participating in a controlled
controlled substances testing program substances testing program in accord-
that meets the requirements of this ance with this part and part 40 of this
part within the previous 30 days; and title, the employer shall conduct a pre-
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§ 382.303 49 CFR Ch. III (10–1–20 Edition)
(d) An employer may, but is not re- (2) Who receives a citation within 8
quired to, conduct pre-employment al- hours of the occurrence under State or
cohol testing under this part. If an em- local law for a moving traffic violation
ployer chooses to conduct pre-employ- arising from the accident, if the acci-
ment alcohol testing, it must comply dent involved:
with the following requirements: (i) Bodily injury to any person who,
(1) It must conduct a pre-employ- as a result of the injury, immediately
ment alcohol test before the first per- receives medical treatment away from
formance of safety-sensitive functions the scene of the accident; or
by every covered employee (whether a
(ii) One or more motor vehicles in-
new employee or someone who has
transferred to a position involving the curring disabling damage as a result of
performance of safety-sensitive func- the accident, requiring the motor vehi-
tions). cle to be transported away from the
(2) It must treat all safety-sensitive scene by a tow truck or other motor
employees performing safety-sensitive vehicle.
functions the same for the purpose of (b) As soon as practicable following
pre-employment alcohol testing (i.e., it an occurrence involving a commercial
must not test some covered employees motor vehicle operating on a public
and not others). road in commerce, each employer shall
(3) It must conduct the pre-employ- test for controlled substances for each
ment tests after making a contingent of its surviving drivers:
offer of employment or transfer, sub- (1) Who was performing safety-sen-
ject to the employee passing the pre- sitive functions with respect to the ve-
employment alcohol test. hicle, if the accident involved the loss
(4) It must conduct all pre-employ- of human life; or
ment alcohol tests using the alcohol (2) Who receives a citation within
testing procedures of 49 CFR part 40 of thirty-two hours of the occurrence
this title. under State or local law for a moving
(5) It must not allow a covered em-
traffic violation arising from the acci-
ployee to begin performing safety-sen-
dent, if the accident involved:
sitive functions unless the result of the
employee’s test indicates an alcohol (i) Bodily injury to any person who,
concentration of less than 0.04. as a result of the injury, immediately
receives medical treatment away from
§ 382.303 Post-accident testing. the scene of the accident; or
(a) As soon as practicable following (ii) One or more motor vehicles in-
an occurrence involving a commercial curring disabling damage as a result of
motor vehicle operating on a public the accident, requiring the motor vehi-
road in commerce, each employer shall cle to be transported away from the
test for alcohol for each of its sur- scene by a tow truck or other motor
viving drivers: vehicle.
(1) Who was performing safety-sen- (c) The following table notes when a
sitive functions with respect to the ve- post-accident test is required to be con-
hicle, if the accident involved the loss ducted by paragraphs (a)(1), (a)(2),
of human life; or (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
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Federal Motor Carrier Safety Administration, DOT § 382.305
(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 25 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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§ 382.305 49 CFR Ch. III (10–1–20 Edition)
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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Federal Motor Carrier Safety Administration, DOT § 382.307
(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; 81 FR 68346, Oct. 4, 2016]
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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§ 382.309 49 CFR Ch. III (10–1–20 Edition)
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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Federal Motor Carrier Safety Administration, DOT § 382.401
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§ 382.403 49 CFR Ch. III (10–1–20 Edition)
the following sections: Sections 382.105, mercial motor vehicle and performs
382.113, 382.301, 382.303, 382.305, 382.307, pipeline maintenance duties for the
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Federal Motor Carrier Safety Administration, DOT § 382.405
same employer), count the employee program when requested by the Sec-
only on the MIS report for the DOT retary of Transportation, any DOT
agency under which he or she is ran- agency, or any State or local officials
domly tested. Normally, this will be with regulatory authority over the em-
the DOT agency under which the em- ployer or any of its drivers.
ployee performs more than 50% of his (e) When requested by the National
or her duties. Employers may have to Transportation Safety Board as a part
explain the testing data for these em- of a crash investigation:
ployees in the event of a DOT agency
(1) Employers must disclose informa-
inspection or audit.
(e) A service agent (e.g., Consortium/ tion related to the employer’s adminis-
Third party administrator as defined in tration of a post-accident alcohol and/
49 CFR 382.107) may prepare the MIS or a controlled substances test admin-
report on behalf of an employer. How- istered following the crash under inves-
ever, a company official (e.g., Des- tigation; and
ignated employer representative as de- (2) FMCSA will provide access to in-
fined in § 382.107) must certify the accu- formation in the Clearinghouse con-
racy and completeness of the MIS re- cerning drivers who are involved with
port, no matter who prepares it. the crash under investigation.
[66 FR 43103, Aug. 17, 2001, as amended at 68 (f) Records shall be made available to
FR 75459, Dec. 31, 2003; 78 FR 58479, Sept. 24, a subsequent employer upon receipt of
2013; 83 FR 22875, May 17, 2018] a written request from a driver. Disclo-
sure by the subsequent employer is per-
§ 382.405 Access to facilities and mitted only as expressly authorized by
records.
the terms of the driver’s request.
(a) Except as required by law or ex- (g) An employer may disclose infor-
pressly authorized or required in this mation required to be maintained
section, no employer shall release driv- under this part pertaining to a driver
er information that is contained in to the decision maker in a lawsuit,
records required to be maintained grievance, or administrative pro-
under § 382.401.
ceeding initiated by or on behalf of the
(b) A driver is entitled, upon written
individual, and arising from a positive
request, to obtain copies of any records
pertaining to the driver’s use of alcohol DOT drug or alcohol test or a refusal to
or controlled substances, including any test (including, but not limited to,
records pertaining to his or her alcohol adulterated or substituted test results)
or controlled substances tests. The em- of this part (including, but not limited
ployer shall promptly provide the to, a worker’s compensation, unem-
records requested by the driver. Access ployment compensation, or other pro-
to a driver’s records shall not be con- ceeding relating to a benefit sought by
tingent upon payment for records other the driver). Additionally, an employer
than those specifically requested. may disclose information in criminal
(c) Each employer shall permit ac- or civil actions in accordance with
cess to all facilities utilized in com- § 40.323(a)(2) of this title.
plying with the requirements of this (h) An employer shall release infor-
part to the Secretary of Transpor- mation regarding a driver’s records as
tation, any DOT agency, or any State directed by the specific written consent
or local officials with regulatory au- of the driver authorizing release of the
thority over the employer or any of its information to an identified person.
drivers. Release of such information by the per-
(d) Each employer, and each service son receiving the information is per-
agent who maintains records for an
mitted only in accordance with the
employer, must make available copies
terms of the employee’s specific writ-
of all results for DOT alcohol and/or
ten consent as outlined in § 40.321(b) of
controlled substances testing con-
ducted by the employer under this part this title.
and any other information pertaining
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§ 382.407 49 CFR Ch. III (10–1–20 Edition)
§ 382.407 Medical review officer notifi- accident tests for controlled substances
cations to the employer. conducted under this part if the test
Medical review officers shall report results are verified positive. The em-
the results of controlled substances ployer shall also inform the driver
tests to employers in accordance with which controlled substance or sub-
the requirements of part 40, Subpart G, stances were verified as positive.
of this title. (b) The designated employer rep-
resentative shall make reasonable ef-
§ 382.409 Medical review officer or forts to contact and request each driv-
consortium/third party adminis- er who submitted a specimen under the
trator record retention for con- employer’s program, regardless of the
trolled substances. driver’s employment status, to contact
(a) A medical review officer or third and discuss the results of the con-
party administrator shall maintain all trolled substances test with a medical
dated records and notifications, identi- review officer who has been unable to
fied by individual, for a minimum of contact the driver.
five years for verified positive con- (c) The designated employer rep-
trolled substances test results. resentative shall immediately notify
(b) A medical review officer or third the medical review officer that the
party administrator shall maintain all driver has been notified to contact the
dated records and notifications, identi- medical review officer within 72 hours.
fied by individual, for a minimum of
one year for negative and canceled con- § 382.413 Inquiries for alcohol and con-
trolled substances test results. trolled substances information from
previous employers.
(c) No person may obtain the indi-
vidual controlled substances test re- (a) Employers must request alcohol
sults retained by a medical review offi- and controlled substances information
cer (MRO as defined in § 40.3 of this from previous employers in accordance
title) or a consortium/third party ad- with the requirements of § 40.25 of this
ministrator (C/TPA as defined in title, except that the employer must
§ 382.107), and no MRO or C/TPA may request information from all DOT-reg-
release the individual controlled sub- ulated employers that employed the
stances test results of any driver to driver within the previous 3 years and
any person, without first obtaining a the scope of the information requested
specific, written authorization from must date back 3 years.
the tested driver. Nothing in this para- (b) As of January 6, 2023, employers
graph (c) shall prohibit a MRO or a C/ must use the Drug and Alcohol Clear-
TPA from releasing to the employer, inghouse in accordance with § 382.701(a)
the Clearinghouse, or to the Secretary to comply with the requirements of
of Transportation, any DOT agency, or § 40.25 of this title with respect to
any State or local officials with regu- FMCSA-regulated employers. Excep-
latory authority over the controlled tion: When an employee who is subject
substances and alcohol testing program to follow-up testing has not success-
under this part, the information delin- fully completed all follow-up tests, em-
eated in part 40, subpart G, of this ployers must request the employee’s
title. follow-up testing plan directly from
the previous employer in accordance
[66 FR 43103, Aug. 17, 2001, as amended at 81
FR 87725, Dec. 5, 2016] with § 40.25(b)(5) of this title.
(c) If an applicant was subject to an
§ 382.411 Employer notifications. alcohol and controlled substance test-
(a) An employer shall notify a driver ing program under the requirements of
of the results of a pre-employment con- a DOT Agency other than FMCSA, the
trolled substances test conducted employer must request the alcohol and
under this part, if the driver requests controlled substances information re-
such results within 60 calendar days of quired under this section and § 40.25 of
being notified of the disposition of the this title directly from those employ-
employment application. An employer ers regulated by a DOT Agency other
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Federal Motor Carrier Safety Administration, DOT § 382.507
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§ 382.601 49 CFR Ch. III (10–1–20 Edition)
are attributed to the correct driver, in- (vi) A negative return-to-duty test;
cluding post-accident information, pro- and
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Federal Motor Carrier Safety Administration, DOT § 382.701
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§ 382.703 49 CFR Ch. III (10–1–20 Edition)
individual driver may give consent to the driver has completed the SAP eval-
conduct limited queries that is effec- uation, referral, and education/treat-
tive for more than one year. ment process set forth in part 40, sub-
(3) If the limited query shows that in- part O, of this title and achieves a neg-
formation exists in the Clearinghouse ative return-to-duty test result, and
about the individual driver, the em- the employer assumes the responsi-
ployer must conduct a full query, in ac- bility for managing the follow-up test-
cordance with paragraph (a)(2) of this ing process associated with the testing
section, within 24 hours of conducting violation.
the limited query. If the employer fails (e) Recordkeeping required. Employers
to conduct a full query within 24 hours, must retain for 3 years a record of each
the employer must not allow the driver query and all information received in
to continue to perform any safety-sen- response to each query made under this
sitive function until the employer con- section. As of January 6, 2023, an em-
ducts the full query and the results ployer who maintains a valid registra-
confirm that the driver’s Clearinghouse tion fulfills this requirement.
record contains no prohibitions as de-
fined in paragraph (d) of this section. § 382.703 Driver consent to permit ac-
(c) Employer notification. If any infor- cess to information in the Clearing-
mation described in paragraph (a) of house.
this section is entered into the Clear- (a) No employer may query the Clear-
inghouse about a driver during the 30- inghouse to determine whether a
day period immediately following an record exists for any particular driver
employer conducting a query of that without first obtaining that driver’s
driver’s records, FMCSA will notify the written or electronic consent. The em-
employer. ployer conducting the search must re-
(d) Prohibition. No employer may tain the consent for 3 years from the
allow a driver to perform any safety- date of the last query.
sensitive function if the results of a (b) Before the employer may access
Clearinghouse query demonstrate that information contained in the driver’s
the driver has a verified positive, adul- Clearinghouse record, the driver must
terated, or substituted controlled sub- submit electronic consent through the
stances test result; has an alcohol con- Clearinghouse granting the employer
firmation test with a concentration of access to the following specific records:
0.04 or higher; has refused to submit to (1) A verified positive, adulterated, or
a test in violation of § 382.211; or that substituted controlled substances test
an employer has reported actual result;
knowledge, as defined at § 382.107, that (2) An alcohol confirmation test with
the driver used alcohol on duty in vio- a concentration of 0.04 or higher;
lation of § 382.205, used alcohol before (3) A refusal to submit to a test in
duty in violation of § 382.207, used alco- violation of § 382.211;
hol following an accident in violation
(4) An employer’s report of actual
of § 382.209, or used a controlled sub-
knowledge, as defined at § 382.107, of:
stance in violation of § 382.213, except
where a query of the Clearinghouse (i) On duty alcohol use pursuant to
demonstrates: § 382.205;
(1) That the driver has successfully (ii) Pre-duty alcohol use pursuant to
completed the SAP evaluation, refer- § 382.207;
ral, and education/treatment process (iii) Alcohol use following an acci-
set forth in part 40, subpart O, of this dent pursuant to § 382.209; and
title; achieves a negative return-to- (iv) Controlled substance use pursu-
duty test result; and completes the fol- ant to § 382.213;
low-up testing plan prescribed by the (5) A SAP report of the successful
SAP. completion of the return-to-duty proc-
(2) That, if the driver has not com- ess;
pleted all follow-up tests as prescribed (6) A negative return-to-duty test;
by the SAP in accordance with § 40.307 and
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of this title and specified in the SAP (7) An employer’s report of comple-
report required by § 40.311 of this title, tion of follow-up testing.
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Federal Motor Carrier Safety Administration, DOT § 382.705
Under this subpart a refusal would also and date the driver was notified to ap-
include a refusal to undergo a medical pear at a testing site; and the time,
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§ 382.705 49 CFR Ch. III (10–1–20 Edition)
date and testing site location at which (vii) A certificate of service or other
the employee was directed to appear, evidence showing that the employer
or an affidavit providing evidence of provided the employee with all infor-
such notification; mation reported under paragraph (b)(4)
(ii) Documentation, including, but of this section.
not limited to, electronic mail or other (6) An employer who employs him-
correspondence, or an affidavit, indi- self/herself as a driver must designate a
cating the date the employee was ter- C/TPA to comply with the employer re-
minated or resigned (if applicable); quirements in paragraph (b) of this sec-
(iii) Documentation, including, but tion related to his or her own alcohol
not limited to, electronic mail or other and controlled substances use.
correspondence, or an affidavit, show-
(c) C/TPAs. Any employer may des-
ing that the C/TPA reporting the viola-
ignate a C/TPA to perform the em-
tion was designated as a service agent
ployer requirements in paragraph (b) of
for an employer who employs himself/
herself as a driver pursuant to para- this section. Regardless of whether it
graph (b)(6) of this section when the re- uses a C/TPA to perform its require-
ported refusal occurred (if applicable); ments, the employer retains ultimate
and responsibility for compliance with this
(iv) Documentation, including a cer- section. Exception: An employer does
tificate of service or other evidence, not retain responsibility where the C/
showing that the employer provided TPA is designated to comply with em-
the employee with all documentation ployer requirements as described in
reported under paragraph (b)(3) of this paragraph (b)(6) of this section.
section. (d) SAPs. (1) SAPs must report to the
(4) Employers must report the fol- Clearinghouse for each driver who has
lowing violations by the close of the completed the return-to-duty process
third business day following the date in accordance with 49 CFR part 40, sub-
on which the employer obtains actual part O, the following information:
knowledge, as defined at § 382.107, of: (i) SAPs name, address, and tele-
(i) On-duty alcohol use pursuant to phone number;
§ 382.205; (ii) Driver’s name, date of birth, and
(ii) Pre-duty alcohol use pursuant to CDL number and State of issuance;
§ 382.207; (iii) Date of the initial substance-
(iii) Alcohol use following an acci- abuse-professional assessment; and
dent pursuant to § 382.209; and (iv) Date the SAP determined that
(iv) Controlled substance use pursu- the driver demonstrated successful
ant to § 382.213. compliance as defined in 49 CFR part
(5) For each violation in paragraph 40, subpart O, and was eligible for re-
(b)(4) of this section, the employer
turn-to-duty testing under this part.
must report the following information:
(2) SAP must report the information
(i) Driver’s name, date of birth, CDL
number and State of issuance; required by paragraphs (d)(1)(i) through
(ii) Employer name, address, and (iii) of this section by the close of the
USDOT number, if applicable; business day following the date of the
(iii) Date the employer obtained ac- initial substance abuse assessment, and
tual knowledge of the violation; must report the information required
(iv) Witnesses to the violation, if by paragraph (d)(1)(iv) of this section
any, including contact information; by the close of the business day fol-
(v) Description of the violation; lowing the determination that the
(vi) Evidence supporting each fact al- driver has completed the return-to-
leged in the description of the viola- duty process.
tion required under paragraph (b)(4) of (e) Reporting truthfully and accurately.
this section, which may include, but is Every person or entity with access
not limited to, affidavits, photographs, must report truthfully and accurately
video or audio recordings, employee to the Clearinghouse and is expressly
statements (other than admissions pur- prohibited from reporting information
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Federal Motor Carrier Safety Administration, DOT § 382.711
Prospective/Current Employer —An alcohol confirmation test with a concentration of 0.04 or higher.
of CDL Driver. —Refusal to test (alcohol) as specified in 49 CFR 40.261.
—Refusal to test (drug) not requiring a determination by the MRO as specified in 49 CFR
40.191.
—Actual knowledge, as defined in 49 CFR 382.107, that a driver has used alcohol on duty,
used alcohol within four hours of coming on duty, used alcohol prior to post-accident testing,
or has used a controlled substance.
—Negative return-to-duty test results (drug and alcohol testing, as applicable)
—Completion of follow-up testing.
Service Agent acting on behalf —An alcohol confirmation test with a concentration of 0.04 or higher.
of Current Employer of CDL —Refusal to test (alcohol) as specified in 49 CFR 40.261.
Driver.
—Refusal to test (drug) not requiring a determination by the MRO as specified in 49 CFR
40.191.
—Actual knowledge, as defined in 49 CFR 382.107, that a driver has used alcohol on duty,
used alcohol within four hours of coming on duty, used alcohol prior to post-accident testing,
or has used a controlled substance.
—Negative return-to-duty test results (drug and alcohol testing, as applicable)
—Completion of follow-up testing.
MRO ......................................... —Verified positive, adulterated, or substituted drug test result.
—Refusal to test (drug) requiring a determination by the MRO as specified in 49 CFR 40.191.
SAP ........................................... —Identification of driver and date the initial assessment was initiated.
—Successful completion of treatment and/or education and the determination of eligibility for
return-to-duty testing.
§ 382.707 Notice to drivers of entry, re- register with the Clearinghouse before
vision, removal, or release of infor- accessing or reporting information in
mation. the Clearinghouse.
(a) FMCSA must notify a driver when (b) Employers. (1) Employer Clearing-
information concerning that driver has house registration must include:
been added to, revised, or removed (i) Name, address, and telephone
from the Clearinghouse. number;
(ii) USDOT number, except if the reg-
(b) FMCSA must notify a driver when
istrant does not have a USDOT Num-
information concerning that driver has
ber, it may be requested to provide
been released from the Clearinghouse
other information to verify identity;
to an employer and specify the reason
and
for the release.
(iii) Name of the person(s) the em-
(c) Drivers will be notified by letter ployer authorizes to report information
sent by U.S. Mail to the address on to or obtain information from the
record with the State Driver Licensing Clearinghouse and any additional in-
Agency that issued the driver’s com- formation FMCSA needs to validate his
mercial driver’s license. Exception: A or her identity.
driver may provide the Clearinghouse (2) Employers must verify the names
with an alternative means or address of the person(s) authorized under para-
for notification, including electronic graph (b)(1)(iii) of this section annu-
mail. ally.
(3) Identification of the C/TPA or
§ 382.709 Drivers’ access to informa-
tion in the Clearinghouse. other service agent used to comply
with the requirements of this part, if
A driver may review information in applicable, and authorization for the C/
the Clearinghouse about himself or TPA to query or report information to
herself, except as otherwise restricted the Clearinghouse. Employers must up-
by law or regulation. A driver must date any changes to this information
register with the Clearinghouse before within 10 days.
accessing his or her information. (c) MROs and SAPs. Each MRO or
SAP must provide the following to
§ 382.711 Clearinghouse registration. apply for Clearinghouse registration:
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§ 382.713 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 382.719
trative review no later than 30 days moved under this section for research,
after receiving the driver’s request for auditing, or enforcement purposes.
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§ 382.721 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 383.1
Subpart C—Notification Requirements and 383.135 Passing knowledge and skills tests.
Employer Responsibilities
Subpart I—Requirement for Transportation
383.31 Notification of convictions for driver Security Administration approval of
violations. hazardous materials endorsement
383.33 Notification of driver’s license sus- issuances
pensions.
383.35 Notification of previous employment. 383.141 General.
383.37 Employer responsibilities.
Subpart J—Commercial Learner’s Permit
Subpart D—Driver Disqualifications and and Commercial Driver’s License Doc-
Penalties uments
383.151 General.
383.51 Disqualification of drivers. 383.153 Information on the CLP and CDL
383.52 Disqualification of drivers deter- documents and applications.
mined to constitute an imminent hazard. 383.155 Tamperproofing requirements.
383.53 Penalties.
AUTHORITY: 49 U.S.C. 521, 31136, 31301 et seq.,
and 31502; secs. 214 and 215 of Pub. L 106–159,
Subpart E—Testing and Licensing
113 Stat. 1748, 1766, 1767; sec. 1012(b) of Pub. L.
Procedures 107–56; 115 Stat. 272, 297, sec. 4140 of Pub. L.
109–59, 119 Stat. 1144, 1746; sec. 32934 of Pub.
383.71 Driver application and certification
L. 112–141, 126 Stat. 405, 830; secs. 5401 and
procedures.
7208 of Pub. L. 114– 94, 129 Stat. 1312, 1546,
383.72 Implied consent to alcohol testing. 1593; and 49 CFR 1.87.
383.73 State procedures.
383.75 Third party testing. SOURCE: 52 FR 20587, June 1, 1987, unless
383.77 Substitute for knowledge and driving otherwise noted.
skills tests for drivers with military
CMV experience. Subpart A—General
383.79 Driving skills testing of out-of-State
students; knowledge and driving skills § 383.1 Purpose and scope.
testing of military personnel. (a) The purpose of this part is to help
reduce or prevent truck and bus acci-
Subpart F—Vehicle Groups and dents, fatalities, and injuries by requir-
Endorsements ing drivers to have a single commercial
383.91 Commercial motor vehicle groups. motor vehicle driver’s license and by
383.93 Endorsements. disqualifying drivers who operate com-
383.95 Restrictions. mercial motor vehicles in an unsafe
manner.
Subpart G—Required Knowledge and Skills (b) This part:
(1) Prohibits a commercial motor ve-
383.110 General requirement. hicle driver from having more than one
383.111 Required knowledge. commercial motor vehicle driver’s li-
383.113 Required skills. cense;
383.115 Requirements for double/triple trail- (2) Requires a driver to notify the
ers endorsement. driver’s current employer and the driv-
383.117 Requirements for passenger endorse- er’s State of domicile of certain convic-
ment. tions;
383.119 Requirements for tank vehicle en- (3) Requires that a driver provide pre-
dorsement.
vious employment information when
383.121 Requirements for hazardous mate-
applying for employment as an oper-
rials endorsement.
383.123 Requirements for a school bus en-
ator of a commercial motor vehicle;
dorsement. (4) Prohibits an employer from allow-
ing a person with a suspended license
Subpart H—Tests to operate a commercial motor vehicle;
(5) Establishes periods of disquali-
383.131 Test manuals. fication and penalties for those persons
383.133 Testing methods. convicted of certain criminal and other
offenses and serious traffic violations,
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§ 383.3 49 CFR Ch. III (10–1–20 Edition)
(6) Establishes testing and licensing (d)(2), and (d)(3) of this section from
requirements for commercial motor ve- the requirements of this part. The use
hicle operators; of this waiver is limited to the driver’s
(7) Requires States to give knowledge home State unless there is a reci-
and skills tests to all qualified appli- procity agreement with adjoining
cants for commercial drivers’ licenses States.
which meet the Federal standard; (1) Operators of a farm vehicle which
(8) Sets forth commercial motor ve- is:
hicle groups and endorsements; (i) Controlled and operated by a
(9) Sets forth the knowledge and farmer, including operation by employ-
skills test requirements for the motor ees or family members;
vehicle groups and endorsements; (ii) Used to transport either agricul-
(10) Sets forth the Federal standards tural products, farm machinery, farm
for procedures, methods, and minimum supplies, or both to or from a farm;
passing scores for States and others to (iii) Not used in the operations of a
use in testing and licensing commer- for-hire motor carrier, except for an ex-
cial motor vehicle operators; and empt motor carrier as defined in § 390.5
(11) Establishes requirements for the of this subchapter; and
State issued commercial license docu- (iv) Used within 241 kilometers (150
mentation. miles) of the farmer’s farm.
[52 FR 20587, June 1, 1987, as amended at 53 (2) Firefighters and other persons
FR 27648, July 21, 1988; 54 FR 40787, Oct. 3, who operate CMVs which are necessary
1989] to the preservation of life or property
or the execution of emergency govern-
§ 383.3 Applicability. mental functions, are equipped with
(a) The rules in this part apply to audible and visual signals and are not
every person who operates a commer- subject to normal traffic regulation.
cial motor vehicle (CMV) in interstate, These vehicles include fire trucks,
foreign, or intrastate commerce, to all hook and ladder trucks, foam or water
employers of such persons, and to all transport trucks, police SWAT team
States. vehicles, ambulances, or other vehicles
(b) The exceptions contained in that are used in response to emer-
§ 390.3(f) of this subchapter do not apply gencies.
to this part. The employers and drivers (3)(i) A driver, employed by an eligi-
identified in § 390.3(f) must comply with ble unit of local government, operating
the requirements of this part, unless a commercial motor vehicle within the
otherwise provided in this section. boundaries of that unit for the purpose
(c) Exception for certain military driv- of removing snow or ice from a road-
ers. Each State must exempt from the way by plowing, sanding, or salting, if
requirements of this part individuals (A) The properly licensed employee
who operate CMVs for military pur- who ordinarily operates a commercial
poses. This exception is applicable to motor vehicle for these purposes is un-
active duty military personnel; mem- able to operate the vehicle; or
bers of the military reserves; member (B) The employing governmental en-
of the national guard on active duty, tity determines that a snow or ice
including personnel on full-time na- emergency exists that requires addi-
tional guard duty, personnel on part- tional assistance.
time national guard training, and na- (ii) This exemption shall not preempt
tional guard military technicians (ci- State laws and regulations concerning
vilians who are required to wear mili- the safe operation of commercial
tary uniforms); and active duty U.S. motor vehicles.
Coast Guard personnel. This exception (e) Restricted commercial drivers license
is not applicable to U.S. Reserve tech- (CDL) for certain drivers in the State of
nicians. Alaska. (1) The State of Alaska may, at
(d) Exception for farmers, firefighters, its discretion, waive only the following
emergency response vehicle drivers, and requirements of this part and issue a
drivers removing snow and ice. A State CDL to each driver that meets the con-
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may, at its discretion, exempt individ- ditions set forth in paragraphs (e) (2)
uals identified in paragraphs (d)(1), and (3) of this section:
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Federal Motor Carrier Safety Administration, DOT § 383.3
(i) The knowledge tests standards for for operators of vehicles other than
testing procedures and methods of sub- CMVs.
part H, but must continue to admin- (3) A State issuing a CDL under the
ister knowledge tests that fulfill the terms of this paragraph must restrict
content requirements of subpart G for issuance as follows:
all applicants; (i) Applicants must have a good driv-
(ii) All the skills test requirements; ing record as defined in this paragraph.
and Drivers who have not held any motor
(iii) The requirement under vehicle operator’s license for at least
§ 383.153(a)(4) to have a photograph on one year shall not be eligible for this
the license document. CDL. Drivers who have between one
(2) Drivers of CMVs in the State of
and two years of driving experience
Alaska must operate exclusively over
must demonstrate a good driving
roads that meet both of the following
record for their entire driving history.
criteria to be eligible for the exception
in paragraph (e)(1) of this section: Drivers with more than two years of
(i) Such roads are not connected by driving experience must have a good
land highway or vehicular way to the driving record for the two most recent
land-connected State highway system; years. For the purposes of this para-
and graph, the term good driving record
(ii) Such roads are not connected to means that an applicant:
any highway or vehicular way with an (A) Has not had more than one li-
average daily traffic volume greater cense;
than 499. (B) Has not had any license sus-
(3) Any CDL issued under the terms pended, revoked, or canceled;
of this paragraph must carry two re- (C) Has not had any conviction for
strictions: any type of motor vehicle for the dis-
(i) Holders may not operate CMVs qualifying offenses contained in
over roads other than those specified in § 383.51(b);
paragraph (e)(2) of this section; and (D) Has not had any conviction for
(ii) The license is not valid for CMV any type of motor vehicle for serious
operation outside the State of Alaska. traffic violations; and
(f) Restricted CDL for certain drivers in (E) Has not had any conviction for a
farm-related service industries. (1) A violation of State or local law relating
State may, at its discretion, waive the to motor vehicle traffic control (other
required knowledge and skills tests of
than a parking violation) arising in
subpart H of this part and issue re-
connection with any traffic accident,
stricted CDLs to employees of these
and has no record of an accident in
designated farm-related service indus-
which he/she was at fault.
tries:
(i) Agri-chemical businesses; (ii) Restricted CDLs shall have the
(ii) Custom harvesters; same renewal cycle as unrestricted
(iii) Farm retail outlets and sup- CDLs, but shall be limited to the sea-
pliers; sonal period or periods as defined by
(iv) Livestock feeders. the State of licensure, provided that
(2) A restricted CDL issued pursuant the total number of calendar days in
to this paragraph shall meet all the re- any 12-month period for which the re-
quirements of this part, except subpart stricted CDL is valid does not exceed
H of this part. A restricted CDL issued 180. If a State elects to provide for
pursuant to this paragraph shall be ac- more than one seasonal period, the re-
corded the same reciprocity as a CDL stricted CDL is valid for commercial
meeting all of the requirements of this motor vehicle operation only during
part. The restrictions imposed upon the currently approved season, and
the issuance of this restricted CDL must be revalidated for each successive
shall not limit a person’s use of the season. Only one seasonal period of va-
CDL in a non-CMV during either vali- lidity may appear on the license docu-
dated or non-validated periods, nor ment at a time. The good driving
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shall the CDL affect a State’s power to record must be confirmed prior to any
administer its driver licensing program renewal or revalidation.
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§ 383.3 49 CFR Ch. III (10–1–20 Edition)
(iii) Restricted CDL holders are lim- ments it believes is necessary to ensure
ited to operating Group B and C vehi- itself that a driver is properly trained
cles, as described in subpart F of this pursuant to § 172.704 of this title.
part. (iii) A restricted CDL document
(iv) Restricted CDLs shall not be issued pursuant to this paragraph shall
issued with any endorsements on the li- have a statement clearly imprinted on
cense document. Only the limited tank the face of the document that is sub-
vehicle and hazardous materials en- stantially similar as follows: ‘‘For use
dorsement privileges that the re- as a CDL only during the period from
stricted CDL automatically confers June 30 through July 6 for purposes of
and are described in paragraph (f)(3)(v) transporting less than 227 kilograms
of this section are permitted. (500 pounds) of fireworks classified as
(v) Restricted CDL holders may not
DOT Class 1.3G explosives in a vehicle
drive vehicles carrying any placardable
with a GVWR of less than 4,537 kilo-
quantities of hazardous materials, ex-
grams (10,001 pounds).
cept for diesel fuel in quantities of 3,785
liters (1,000 gallons) or less; liquid fer- (3) A restricted CDL issued pursuant
tilizers (i.e., plant nutrients) in vehi- to this paragraph shall meet all the re-
cles or implements of husbandry in quirements of this part, except those
total quantities of 11,355 liters (3,000 specifically identified. A restricted
gallons) or less; and solid fertilizers CDL issued pursuant to this paragraph
(i.e., solid plant nutrients) that are not shall be accorded the same reciprocity
transported with any organic sub- as a CDL meeting all of the require-
stance. ments of this part. The restrictions im-
(vi) Restricted CDL holders may not posed upon the issuance of this re-
hold an unrestricted CDL at the same stricted CDL shall not limit a person’s
time. use of the CDL in a non-CMV during ei-
(vii) Restricted CDL holders may not ther validated or non-validated peri-
operate a commercial motor vehicle ods, nor shall the CDL affect a State’s
beyond 241 kilometers (150 miles) from power to administer its driver licensing
the place of business or the farm cur- program for operators of vehicles other
rently being served. than CMVs.
(g) Restricted CDL for certain drivers in (4) Restricted CDLs shall have the
the pyrotechnic industry. (1) A State same renewal cycle as unrestricted
may, at its discretion, waive the re- CDLs, but shall be limited to the sea-
quired hazardous materials knowledge sonal period of June 30 through July 6
tests of subpart H of this part and issue of each year or a lesser period as de-
restricted CDLs to part-time drivers fined by the State of licensure.
operating commercial motor vehicles
(5) Persons who operate commercial
transporting less than 227 kilograms
motor vehicles during the period from
(500 pounds) of fireworks classified as
July 7 through June 29 for purposes of
DOT Class 1.3G explosives.
transporting less than 227 kilograms
(2) A State issuing a CDL under the
(500 pounds) of fireworks classified as
terms of this paragraph must restrict
issuance as follows: DOT Class 1.3G explosives in a vehicle
(i) The GVWR of the vehicle to be op- with a GVWR of less than 4,537 kilo-
erated must be less than 4,537 kilo- grams (10,001 pounds) and who also op-
grams (10,001 pounds); erate such vehicles for the same pur-
(ii) If a State believes, at its discre- poses during the period June 30
tion, that the training required by through July 6 shall not be issued a re-
§ 172.704 of this title adequately pre- stricted CDL pursuant to this para-
pares part-time drivers meeting the graph.
other requirements of this paragraph (h) Exception for drivers of ‘‘covered
to deal with fireworks and the other farm vehicles.’’ The rules in this part do
potential dangers posed by fireworks not apply to a driver of a ‘‘covered
transportation and use, the State may farm vehicle,’’ as defined in § 390.5 of
waive the hazardous materials knowl- this chapter.
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edge tests of subpart H of this part. (i) Hazardous materials endorsement ex-
The State may impose any require- emption for certain drivers transporting
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Federal Motor Carrier Safety Administration, DOT § 383.5
diesel. A State may waive the require- from part 391, as provided in § 390.3(f),
ment for a holder of a Class A commer- § 391.2, § 391.68 or § 398.3 of this chapter;
cial driver’s license to obtain a haz- (2) A State allows the driver to
ardous materials endorsement under change his or her self-certification to
this part, if the license holder is: intrastate only, if the driver qualifies
(1) Acting within the scope of the li- under that State’s physical qualifica-
cense holder’s employment, and within tion requirements for intrastate only;
the State of domicile (or another State (3) A State allows the driver to
with a hazardous materials endorse- change his or her certification to intra-
ment exemption) as an employee of a state, but operating exclusively in
custom harvester operation, transportation or operations excepted
agrichemical business, farm retail out- from all or part of the State driver
let and supplier, or livestock feeder; qualification requirements, or
and (4) A State removes the CDL privi-
(2) Operating a service vehicle that lege from the driver license.
is: CDL driver means a person holding a
(i) Transporting diesel in a quantity CDL or a person required to hold a
of 3,785 liters (1,000 gallons) or less; and CDL.
(ii) Clearly marked with a ‘‘flam- CDLIS driver record means the elec-
mable’’ or ‘‘combustible’’ placard, as tronic record of the individual CDL
appropriate. driver’s status and history stored by
the State-of-Record as part of the Com-
[61 FR 9564, Mar. 8, 1996, as amended at 61 FR mercial Driver’s License Information
14679, Apr. 3, 1996; 62 FR 1296, Jan. 9, 1997; 67 System (CDLIS) established under 49
FR 49755, July 31, 2002; 67 FR 61821, Oct. 2,
U.S.C. 31309.
2002; 78 FR 16194, Mar. 14, 2013; 78 FR 58479,
Sept. 24, 2013; 81 FR 47720, July 22, 2016; 81 FR Commerce means
68346, Oct. 4, 2016; 81 FR 71016, Oct. 14, 2016] (1) Any trade, traffic or transpor-
tation within the jurisdiction of the
§ 383.5 Definitions. United States between a place in a
State and a place outside of such State,
As used in this part:
including a place outside of the United
Administrator means the Federal
States, and
Motor Carrier Safety Administrator,
(2) Trade, traffic, and transportation
the chief executive of the Federal
in the United States that affects any
Motor Carrier Safety Administration,
trade, traffic, and transportation de-
an agency within the Department of
scribed in paragraph (1) of this defini-
Transportation.
tion.
Alcohol or alcoholic beverage means: Commercial driver’s license (CDL)
(1) Beer as defined in 26 U.S.C. means a license issued to an individual
5052(a), of the Internal Revenue Code of by a State or other jurisdiction of
1954, domicile, in accordance with the stand-
(2) Wine of not less than one-half of ards contained in this part, which au-
one per centum of alcohol by volume, thorizes the individual to operate a
or class of a commercial motor vehicle.
(3) Distilled spirits as defined in sec- Commercial driver’s license information
tion 5002(a)(8), of such Code. system (CDLIS) means the CDLIS estab-
Alcohol concentration (AC) means the lished by FMCSA pursuant to section
concentration of alcohol in a person’s 12007 of the Commercial Motor Vehicle
blood or breath. When expressed as a Safety Act of 1986.
percentage it means grams of alcohol Commercial learner’s permit (CLP)
per 100 milliliters of blood or grams of means a permit issued to an individual
alcohol per 210 liters of breath. by a State or other jurisdiction of
Alien means any person not a citizen domicile, in accordance with the stand-
or national of the United States. ards contained in this part, which,
CDL downgrade means either: when carried with a valid driver’s li-
(1) A State allows the driver to cense issued by the same State or juris-
change his or her self-certification to diction, authorizes the individual to
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§ 383.5 49 CFR Ch. III (10–1–20 Edition)
Disqualification means any of the fol- Employer means any person (includ-
lowing three actions: ing the United States, a State, District
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Federal Motor Carrier Safety Administration, DOT § 383.5
ations that substantially increases the diction under either of the following
likelihood of serious injury or death if two conditions:
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§ 383.5 49 CFR Ch. III (10–1–20 Edition)
and at www.govinfo.gov.
mand or request to access a World Wide
Web page, pressing more than a single
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Federal Motor Carrier Safety Administration, DOT § 383.25
§ 383.21, a driver holding a commercial driv- from obtaining a non-domiciled CDL, or any
er’s license issued under the Canadian Na- other type of driver’s license, from a State or
tional Safety Code or a new Licencia Federal other jurisdiction in the United States.
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§ 383.31 49 CFR Ch. III (10–1–20 Edition)
part for the commercial motor vehicle precondition to the upgrade of a CDL if
that person operates or expects to op- the upgrade requires a skills test.
erate. (e) The CLP holder is not eligible to
(4) The CLP holder must be 18 years take the CDL skills test in the first 14
of age or older. days after initial issuance of the CLP.
(5) Endorsements: [76 FR 26879, May 9, 2011, as amended at 83
(i) A CLP holder with a passenger (P) FR 65571, Dec. 21, 2018; 84 FR 51432, Sept. 30,
endorsement must have taken and 2019]
passed the P endorsement knowledge
test. A CLP holder with a P endorse- Subpart C—Notification Require-
ment is prohibited from operating a ments and Employer Respon-
CMV carrying passengers, other than
Federal/State auditors and inspectors,
sibilities
test examiners, other trainees, and the § 383.31 Notification of convictions for
CDL holder accompanying the CLP driver violations.
holder as prescribed by paragraph (a)(1)
(a) Except as provided in paragraph
of this section. The P endorsement
(d) of this section, each person who op-
must be class specific. erates a commercial motor vehicle,
(ii) A CLP holder with a school bus who has a commercial learner’s permit
(S) endorsement must have taken and or commercial driver’s license issued
passed the S endorsement knowledge by a State or jurisdiction, and who is
test. A CLP holder with an S endorse- convicted of violating, in any type of
ment is prohibited from operating a motor vehicle, a State or local law re-
school bus with passengers other than lating to motor vehicle traffic control
Federal/State auditors and inspectors, (other than a parking violation) in a
test examiners, other trainees, and the State or jurisdiction other than the
CDL holder accompanying the CLP one which issued his/her permit or li-
holder as prescribed by paragraph (a)(1) cense, shall notify an official des-
of this section. ignated by the State or jurisdiction
(iii) A CLP holder with a tank vehi- which issued such permit or license, of
cle (N) endorsement must have taken such conviction. The notification must
and passed the N endorsement knowl- be made within 30 days after the date
edge test. A CLP holder with an N en- that the person has been convicted.
dorsement may only operate an empty (b) Each person who operates a com-
tank vehicle and is prohibited from op- mercial motor vehicle, who has a com-
erating any tank vehicle that pre- mercial driver’s license issued by a
viously contained hazardous materials State or jurisdiction, and who is con-
that has not been purged of any res- victed of violating, in any type of
idue. motor vehicle, a State or local law re-
(iv) All other Federal endorsements lating to motor vehicle traffic control
are prohibited on a CLP. (other than a parking violation), shall
(6) The CLP holder does not operate a notify his/her current employer of such
commercial motor vehicle transporting conviction. The notification must be
hazardous materials as defined in made within 30 days after the date that
§ 383.5. the person has been convicted. If the
(b) The CLP must be a separate docu- driver is not currently employed, he/
ment from the CDL or non-CDL. she must notify the State or jurisdic-
(c) The CLP must be valid for no tion which issued the license according
more than one year from the initial to § 383.31(a).
date of issuance without requiring the (c) Notification. The notification to
CLP holder to retake the general and the State official and employer must
endorsement knowledge tests. CLPs be made in writing and contain the fol-
issued for a period of less than one year lowing information:
may be renewed provided the CLP is (1) Driver’s full name;
not valid for more than one year from (2) Driver’s license number;
the date of initial issuance. (3) Date of conviction;
(d) The issuance of a CLP is a pre- (4) The specific criminal or other of-
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Federal Motor Carrier Safety Administration, DOT § 383.37
law relating to motor vehicle traffic ceding the date the application is sub-
control, for which the person was con- mitted shall be presented to the pro-
victed and any suspension, revocation, spective employer by the applicant:
or cancellation of certain driving privi- (1) A list of the names and addresses
leges which resulted from such convic- of the applicant’s previous employers
tion(s); for which the applicant was an oper-
(5) Indication whether the violation ator of a commercial motor vehicle;
was in a commercial motor vehicle; (2) The dates the applicant was em-
(6) Location of offense; and
ployed by these employers; and
(7) Driver’s signature.
(d) A person is considered to be in (3) The reason for leaving such em-
compliance with the requirements of ployment.
paragraph (a) of this section if the con- (d) The applicant shall certify that
viction occurs in a State or jurisdic- all information furnished is true and
tion that is in substantial compliance complete.
with 49 CFR 384.209 and has not been (e) An employer may require an ap-
de-certified in accordance with 49 CFR plicant to provide additional informa-
384.405. tion.
[52 FR 20587, June 1, 1987, as amended at 54 (f) Before an application is sub-
FR 40787, Oct. 3, 1989; 78 FR 24688, Apr. 26, mitted, the employer shall inform the
2013] applicant that the information he/she
provides in accordance with paragraph
§ 383.33 Notification of driver’s license (c) of this section may be used, and the
suspensions.
applicant’s previous employers may be
Each employee who has a driver’s li- contacted for the purpose of inves-
cense suspended, revoked, or canceled tigating the applicant’s work history.
by a State or jurisdiction, who loses
the right to operate a commercial § 383.37 Employer responsibilities.
motor vehicle in a State or jurisdiction
for any period, or who is disqualified No employer may allow, require, per-
from operating a commercial motor ve- mit, or authorize a driver to operate a
hicle for any period, shall notify his/ CMV in the United States if he or she
her current employer of such suspen- knows or should reasonably know that
sion, revocation, cancellation, lost any of the following circumstances
privilege, or disqualification. The noti- exist:
fication must be made before the end of (a) During any period in which the
the business day following the day the driver does not have a current CLP or
employee received notice of the suspen- CDL or does not have a CLP or CDL
sion, revocation, cancellation, lost with the proper class or endorsements.
privilege, or disqualification. An employer may not use a driver to
[54 FR 40788, Oct. 3, 1989] operate a CMV who violates any re-
striction on the driver’s CLP or CDL.
§ 383.35 Notification of previous em- (b) During any period in which the
ployment. driver has a CLP or CDL disqualified
(a) Any person applying for employ- by a State, has lost the right to oper-
ment as an operator of a commercial ate a CMV in a State, or has been dis-
motor vehicle shall provide at the time qualified from operating a CMV.
of application for employment, the in- (c) During any period in which the
formation specified in paragraph (c) of driver has more than one CLP or CDL.
this section. (d) During any period in which the
(b) All employers shall request the driver, or the CMV he/she is driving, or
information specified in paragraph (c) the motor carrier operation, is subject
of this section from all persons apply- to an out-of-service order.
ing for employment as a commercial
(e) In violation of a Federal, State, or
motor vehicle operator. The request
local law or regulation pertaining to
shall be made at the time of applica-
railroad-highway grade crossings.
tion for employment.
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(c) The following employment his- [76 FR 26879, May 9, 2011, as amended at 78
tory information for the 10 years pre- FR 60231, Oct. 1, 2013]
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§ 383.51 49 CFR Ch. III (10–1–20 Edition)
(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
* * *.
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(5) Leaving the scene of an ac- 1 year ............... 1 year ............... 3 years .............. Life .................... Life.
cident * * *.
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Federal Motor Carrier Safety Administration, DOT § 383.51
TABLE 1 TO § 383.51—Continued
For a first con- For a second
viction or refusal conviction or re- For a second
For a first con- to be tested fusal to be test- conviction or re-
viction or refusal while operating ed in a separate fusal to be test-
For a first con-
to be tested a CMV trans- incident of any ed in a separate
viction or refusal
while operating porting haz- combination of incident of any
to be tested
a CMV, a per- ardous materials offenses in this combination of
while operating
son required to as defined in Table while op- offenses in this
If a driver operates a motor vehi- a non-CMV, a
have a CLP or § 383.5, a per- erating a CMV, Table while op-
cle and is convicted of: CLP or CDL
CDL and a CLP son required to a person re- erating a non-
holder must be
or CDL holder have a CLP or quired to have a CMV, a CLP or
disqualified from
must be dis- CDL and a CLP CLP or CDL and CDL holder
operating a
qualified from or CDL holder a CLP or CDL must be dis-
CMV for * * *
operating a must be dis- holder must be qualified from
CMV for * * * qualified from disqualified from operating a
operating a operating a CMV for * * *
CMV for * * * CMV for * * *
(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 CLP or CDL is re-
voked, suspended, or can-
celed, or the driver is disquali-
fied from operating a CMV.
(8) Causing a fatality through the 1 year ............... Not applicable ... 3 years .............. Life .................... Not applicable.
negligent operation of a CMV,
including but not limited to the
crimes of motor vehicle 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 * * *.
(10) Using a CMV in the com- Life—not eligible Not applicable ... Life—not eligible Life—not eligible Not applicable.
mission of a felony involving for 10-year re- for 10-year re- for 10-year re-
an act or practice of severe instatement. instatement. instatement.
forms of trafficking in persons,
as defined and described in
22 U.S.C. 7102(11).
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§ 383.51 49 CFR Ch. III (10–1–20 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
within a 3-year period CMV, a CLP or CDL rate incident within a 3-
If the driver operates a CLP or CDL holder
while operating a CMV, holder must be dis- year period while oper-
motor vehicle and is must be disqualified
a person required to qualified from operating ating a CMV, a person
convicted of: from operating a CMV,
have a CLP or CDL a CMV, if the conviction required to have a CLP if the conviction results
and a CLP or CDL results in the revoca- or CDL and a CLP or in the revocation, can-
holder must be dis- tion, cancellation, or CDL holder must be cellation, or suspension
qualified from operating suspension of the CLP disqualified from oper- of the CLP or CDL
a CMV for * * * or CDL holder’s license ating a CMV for * * * holder’s license or non-
or non-CMV driving CMV driving privileges,
privileges, for * * * 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 regulated
or 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 vehi- 60 days ........................ 60 days ........................ 120 days ...................... 120 days.
cle 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 CLP
or CDL.
(7) Driving a CMV with- 60 days ........................ Not applicable .............. 120 days ...................... Not applicable.
out a CLP or CDL in
the driver’s posses-
sion 1.
(8) Driving a CMV with- 60 days ........................ Not applicable .............. 120 days ...................... Not applicable.
out the proper class
of CLP or CDL and/
or endorsements for
the specific vehicle
group being operated
or for the passengers
or type of cargo
being transported.
(9) Violating a State or 60 days ........................ Not applicable .............. 120 days ...................... Not applicable.
local law or ordi-
nance on motor vehi-
cle traffic control pro-
hibiting texting while
driving a CMV.2.
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Federal Motor Carrier Safety Administration, DOT § 383.51
TABLE 2 TO § 383.51—Continued
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
within a 3-year period CMV, a CLP or CDL rate incident within a 3-
If the driver operates a CLP or CDL holder
while operating a CMV, holder must be dis- year period while oper-
motor vehicle and is must be disqualified
a person required to qualified from operating ating a CMV, a person
convicted of: from operating a CMV,
have a CLP or CDL a CMV, if the conviction required to have a CLP if the conviction results
and a CLP or CDL results in the revoca- or CDL and a CLP or in the revocation, can-
holder must be dis- tion, cancellation, or CDL holder must be cellation, or suspension
qualified from operating suspension of the CLP disqualified from oper- of the CLP or CDL
a CMV for * * * or CDL holder’s license ating a CMV for * * * holder’s license or non-
or non-CMV driving CMV driving privileges,
privileges, for * * * for * * *
(10) Violating a State or 60 days ........................ Not applicable .............. 120 days ...................... Not applicable.
local law or ordi-
nance on motor vehi-
cle traffic control re-
stricting or prohibiting
the use of a hand-
held mobile tele-
phone while driving a
CMV.2.
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 CLP or CDL on the date the citation was issued, shall
not be guilty of this offense.
2 Driving, for the purpose of this disqualification, means operating a commercial motor vehicle on a highway, including while
temporarily stationary because of traffic, a traffic control device, or other momentary delays. Driving does not include operating a
commercial motor vehicle when the driver has moved the vehicle to the side of, or off, a highway and has halted in a location
where the vehicle can safely remain stationary.
(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 * * *.
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§ 383.52 49 CFR Ch. III (10–1–20 Edition)
TABLE 3 TO § 383.51—Continued
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
son required to have a CLP separate incident within a Table in a separate incident
If the driver is convicted of operating or CDL and a CLP or CDL 3-year period, a person re- within a 3-year period, a
a CMV in violation of a Federal, State holder must be disqualified quired to have a CLP or person required to have a
or local law because * * *. from operating a CMV for CDL and a CLP or CDL CLP or CDL and a CLP or
* * * holder must be disqualified CDL holder must be dis-
from operating a CMV for qualified from operating a
* * * CMV for * * *
(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- have a CLP or CDL is disqualified when
service orders. Table 4 to § 383.51 con- the driver is operating a CMV at the
tains a list of the offenses and periods time of the violation, as follows:
for which a person who is required to
TABLE 4 TO § 383.51
For a second conviction For a third or subse-
For a first conviction in a separate incident quent conviction in a
while operating a CMV, within a 10-year period separate incident within
a person required to while operating a CMV, a 10-year period while
If the driver operates a CMV and is convicted of have a CLP or CDL and a person required to operating a CMV, a per-
* * * a CLP or CDL holder have a CLP or CDL and son required to have a
must be disqualified a CLP or CDL holder CLP or CDL and a CLP
from operating a CMV must be disqualified or CDL holder must be
for * * * from operating a CMV disqualified from oper-
for * * * ating a CMV 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.
as defined in § 383.5, or while operating a ve-
hicle designed to transport 16 or more pas-
sengers, including the driver.
[67 FR 49756, July 31, 2002, as amended at 68 FR 4396, Jan. 29, 2003; 72 FR 36787, July 5, 2007;
75 FR 59134, Sept. 27, 2010; 76 FR 26879, May 9, 2011; 76 FR 75486, Dec. 2, 2011; 77 FR 59825, Oct.
1, 2012; 78 FR 58479, Sept. 24, 2013; 78 FR 60231, Oct. 1, 2013; 84 FR 35338, July 23, 2019]
his/her delegate may provide the driver trator’s delegate with the Assistant
an opportunity for a hearing after Administrator, Adjudications Counsel
248
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Federal Motor Carrier Safety Administration, DOT § 383.71
(MC–CC), Federal Motor Carrier Safety (1) Commercial learner’s permit applica-
Administration, 1200 New Jersey Ave., tions submitted prior to July 8, 2015. CLPs
SE., Washington, DC 20590–0001. issued prior to July 8, 2015, for limited
(d) Any disqualification imposed in time periods according to State re-
accordance with the provisions of this quirements, shall be considered valid
section must be transmitted by the commercial drivers’ licenses for pur-
FMCSA to the jurisdiction where the poses of behind-the-wheel training on
driver is licensed and must become a public roads or highways, if the fol-
part of the driver’s record maintained lowing minimum conditions are met:
by that jurisdiction. (i) The learner’s permit holder is at
(e) A driver who is simultaneously all times accompanied by the holder of
disqualified under this section and a valid CDL;
under other provisions of this subpart, (ii) He/she either holds a valid auto-
or under State law or regulation, shall mobile driver’s license, or has passed
serve those disqualification periods such vision, sign/symbol, and knowl-
concurrently. edge tests as the State issuing the
[67 FR 49759, July 31, 2002, as amended at 72 learner’s permit ordinarily administers
FR 55700, Oct. 1, 2007] to applicants for automotive drivers’
licenses; and
§ 383.53 Penalties. (iii) He/she does not operate a com-
(a) General rule. Any person who vio- mercial motor vehicle transporting
lates the rules set forth in subparts B hazardous materials as defined in
and C of this part may be subject to § 383.5.
civil or criminal penalties under 49 (2) Commercial learner’s permit applica-
U.S.C. 521(b), as provided in part 386, tions submitted on or after July 8, 2015.
Appendix B, of this chapter. Any person applying for a CLP on or
(b) Special penalties pertaining to viola- after July 8, 2015, must meet the fol-
tion of out-of-service orders—(1) Driver lowing conditions:
violations. A driver who is convicted of (i) The person must be 18 years of age
violating an out-of-service order shall or older and provide proof of his/her
be subject to a civil penalty as stated age.
in part 386 Appendix B, in addition to (ii) The person must have taken and
disqualification under § 383.51(e). passed a general knowledge test that
(2) Employer violations. An employer meets the Federal standards contained
who is convicted of a violation of in subparts F, G, and H of this part for
§ 383.37(d) shall be subject to a civil the commercial motor vehicle group
penalty as stated in part 386, appendix that person operates or expects to op-
B, of this chapter. erate.
(c) Special penalties pertaining to rail- (iii) The person must certify that he/
road-highway grade crossing violations. she is not subject to any disqualifica-
An employer who is convicted of a vio- tion under § 383.51, or any license dis-
lation of § 383.37(e) shall be subject to a qualification under State law, and that
civil penalty stated in part 386, appen- he/she does not have a driver’s license
dix B, of this chapter. from more than one State or jurisdic-
tion.
[80 FR 18155, Apr. 3, 2015]
(iv) The person must provide to the
State of issuance the information re-
Subpart E—Testing and Licensing quired to be included on the CLP as
Procedures specified in subpart J of this part.
(v) The person must provide to the
SOURCE: 53 FR 27649, July 21, 1988, unless State proof of citizenship or lawful per-
otherwise noted. manent residency as specified in Table
1 of this section or obtain a Non-domi-
§ 383.71 Driver application and certifi- ciled CLP as specified in paragraph (f)
cation procedures. of this section.
(a) Commercial Learner’s Permit. Prior (vi) The person must provide proof
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§ 383.71 49 CFR Ch. III (10–1–20 Edition)
the term is defined in § 383.5. Accept- of 49 CFR part 391, and is therefore not
able proof of domicile is a document required to obtain a medical exam-
with the person’s name and residential iner’s certificate by 49 CFR 391.45 of
address within the State, such as a this chapter;
government issued tax form. (iii) Non-excepted intrastate. A person
(vii) The person must provide the must certify that he/she operates only
names of all States where the applicant in intrastate commerce and therefore
has been licensed to drive any type of is subject to State driver qualification
motor vehicle during the previous 10 requirements; or
years. (iv) Excepted intrastate. A person must
(viii) A person seeking a passenger certify that he/she operates in intra-
(P), school bus (S) or tank vehicle (N) state commerce, but engages exclu-
endorsement must have taken and sively in transportation or operations
passed the endorsement knowledge test excepted from all or parts of the State
for the specific endorsement. driver qualification requirements.
(ix) The person must provide the (2) The person must pass a driving or
State the certification contained in skills test in accordance with the
paragraph (b)(1) of this section. standards contained in subparts F, G,
(3) Beginning on February 7, 2022, a and H of this part taken in a motor ve-
person must complete the training pre- hicle that is representative of the type
scribed in subpart F of part 380 of this of motor vehicle the person operates or
chapter before taking the skills test for expects to operate; or provide evidence
a Class A or B CDL for the first time, that he/she has successfully passed a
or a skills test for a passenger (P) or driving test administered by an author-
school bus (S) endorsement for the first ized third party.
time, or the knowledge test for a haz- (3) The person must certify that the
ardous materials (H) endorsement for motor vehicle in which the person
the first time. The training must be ad- takes the driving skills test is rep-
ministered by a provider listed on the resentative of the type of motor vehi-
Training Provider Registry. cle that person operates or expects to
(b) Initial Commercial Driver’s License. operate.
Prior to obtaining a CDL, a person (4) The person must provide the State
must meet all of the following require- the information required to be included
ments: on the CDL as specified in subpart J of
(1) Initial Commercial Driver’s License this part.
applications submitted on or after Janu- (5) The person must certify that he/
ary 30, 2012. Any person applying for a she is not subject to any disqualifica-
CDL on or after January 30, 2012, must tion under § 383.51, or any license dis-
meet the requirements set forth in qualification under State law, and that
paragraphs (b)(2) through (10), and (h) he/she does not have a driver’s license
of this section, and make one of the from more than one State or jurisdic-
following applicable certifications in tion.
paragraph (b)(1)(i), (ii), (iii), or (iv) of (6) The person must surrender his/her
this section: non-CDL driver’s licenses and CLP to
(i) Non-excepted interstate. A person the State.
must certify that he/she operates or ex- (7) The person must provide the
pects to operate in interstate com- names of all States where he/she has
merce, is both subject to and meets the previously been licensed to drive any
qualification requirements under 49 type of motor vehicle during the pre-
CFR part 391, and is required to obtain vious 10 years.
a medical examiner’s certificate by (8) If the person is applying for a haz-
§ 391.45 of this chapter; ardous materials endorsement, he/she
(ii) Excepted interstate. A person must must comply with Transportation Se-
certify that he/she operates or expects curity Administration requirements
to operate in interstate commerce, but codified in 49 CFR part 1572. A lawful
engages exclusively in transportation permanent resident of the United
or operations excepted under 49 CFR States requesting a hazardous mate-
kpayne on VMOFRWIN702 with $$_JOB
390.3(f), 391.2, 391.68, or 398.3 from all or rials endorsement must additionally
parts of the qualification requirements provide his/her U.S. Citizenship and
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Federal Motor Carrier Safety Administration, DOT § 383.71
(10) The person must provide proof (4) Surrender the CDL from the old
that the State to which application is State of domicile to the new State of
made is his/her State of domicile, as domicile; and
the term is defined in § 383.5. Accept- (5) Provide the names of all States
able proof of domicile is a document where the applicant has previously
with the person’s name and residential been licensed to drive any type of
address within the State, such as a motor vehicle during the previous 10
government issued tax form. years.
(11) Beginning on February 7, 2022, a (6) Provide to the State proof of citi-
person must complete the training pre- zenship or lawful permanent residency
scribed in subpart F of part 380 of this as specified in Table 1 of this section,
chapter before taking the skills test for or be registered under paragraph (f) of
a Class A or B CDL, a passenger (P) or this section.
school bus (S) endorsement for the first (7) Provide proof to the State that
time or the knowledge test for a haz- this is his/her State of domicile, as the
ardous materials (H) endorsement for term is defined in § 383.5. Acceptable
the first time. The training must be ad- proof of domicile is a document with
ministered by a provider listed on the the person’s name and residential ad-
Training Provider Registry. dress within the State, such as a gov-
(c) License transfer. When applying to ernment issued tax form.
transfer a CDL from one State of domi- (d) License renewal. When applying for
cile to a new State of domicile, an ap- a renewal of a CDL, all applicants
plicant must apply for a CDL from the must:
new State of domicile within no more (1) Provide to the State certifications
than 30 days after establishing his/her contained in paragraphs (b)(1) and (5) of
new domicile. The applicant must: this section;
(1) Provide to the new State of domi- (2) Provide to the State updated in-
cile the certifications contained in formation as specified in subpart J of
paragraphs (b)(1) and (5) of this section; this part; and
(2) Provide to the new State of domi- (3) If a person wishes to retain a haz-
cile updated information as specified in ardous materials endorsement, he/she
subpart J of this part; must comply with the requirements
(3) If the applicant wishes to retain a specified in paragraph (b)(8) of this sec-
hazardous materials endorsement, he/ tion and pass the test specified in
she must comply with the require- § 383.121 for such endorsement.
ments specified in paragraph (b)(8) of (4) Provide the names of all States
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this section and State requirements as where the applicant has previously
specified in § 383.73(c)(4); been licensed to drive any type of
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§ 383.71 49 CFR Ch. III (10–1–20 Edition)
motor vehicle during the previous 10 § 384.405 of this subchapter. That person
years. is eligible to obtain a Non-domiciled
(5) Provide to the State proof of citi- CLP or CDL from any State that elects
zenship or lawful permanent residency to issue a Non-domiciled CLP or CDL
as specified in Table 1 of this section, and that complies with the testing and
or be registered under paragraph (f) of licensing standards contained in sub-
this section. parts F, G, and H of this part.
(6) Provide proof to the State that (2) An applicant for a Non-domiciled
this is his/her State of domicile, as the CLP and CDL must do both of the fol-
term is defined in § 383.5. Acceptable lowing:
proof of domicile is a document, such (i) Complete the requirements to ob-
as a government issued tax form, with tain a CLP contained in paragraph (a)
the person’s name and residential ad- of this section or a CDL contained in
dress within the State. paragraph (b) of this section. Exception:
(e) License upgrades. When applying An applicant domiciled in a foreign ju-
for a CDL or an endorsement author- risdiction must provide an unexpired
izing the operation of a CMV not cov- employment authorization document
ered by the current CDL, all applicants (EAD) issued by USCIS or an unexpired
must: foreign passport accompanied by an ap-
(1) Provide the certifications speci- proved I–94 form documenting the ap-
fied in paragraph (b) of this section; plicant’s most recent admittance into
(2) Pass all the knowledge tests in ac- the United States. No proof of domicile
cordance with the standards contained is required.
in subparts F, G, and H of this part and (ii) After receipt of the Non-domi-
all the skills tests specified in para- ciled CLP or CDL, and for as long as it
graph (b)(2) of this section for the new is valid, notify the State which issued
vehicle group and/or different endorse- the Non-domiciled CLP or CDL of any
ments; adverse action taken by any jurisdic-
(3) Comply with the requirements tion or governmental agency, foreign
specified in paragraph (b)(8) of this sec- or domestic, against his/her driving
tion to obtain a hazardous materials privileges. Such adverse actions in-
endorsement; clude, but are not be limited to, license
(4) Surrender the previous CDL; and disqualification or disqualification
(5) Beginning on February 7, 2022, a from operating a commercial motor ve-
person must complete the training pre- hicle for the convictions described in
scribed in subpart F of part 380 of this § 383.51. Notifications must be made
chapter before taking the skills test for within the time periods specified in
upgrading to a Class A or B for the § 383.33.
first time; or adding a passenger or (3) An applicant for a Non-domiciled
school bus endorsement to a CDL for CLP or CDL is not required to sur-
the first time; or knowledge test for render his/her foreign license.
hazardous materials endorsement for (g) Existing CLP and CDL Holder’s
the first time. The training must be ad- Self-Certification. Every person who
ministered by a provider on the Train- holds a CLP or CDL must provide to
ing Provider Registry. the State the certification contained in
(f) Non-domiciled CLP and CDL. (1) A § 383.71(b)(1) of this subpart.
person must obtain a Non-domiciled (h) Medical certification documentation
CLP or CDL: required by the State. An applicant or
(i) If the applicant is domiciled in a CLP or CDL holder who certifies to
foreign jurisdiction, as defined in non-excepted, interstate driving oper-
§ 383.5, and the Administrator has not ations according to § 383.71(b)(1)(i) must
determined that the commercial motor comply with applicable requirements
vehicle operator testing and licensing in paragraphs (h)(1) through (3) of this
standards of that jurisdiction meet the section:
standards contained in subparts G and (1) New CLP and CDL applicants. (i)
H of this part. Before June 22, 2021, a new CLP or CDL
(ii) If the applicant is domiciled in a applicant who certifies that he/she will
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Federal Motor Carrier Safety Administration, DOT § 383.73
ance with 49 CFR 391.43 as physically more than one year from the date of
qualified to operate a commercial initial issuance.
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§ 383.73 49 CFR Ch. III (10–1–20 Edition)
(iv) Allow only a group-specific pas- plicant has certified that he/she oper-
senger (P) and school bus (S) endorse- ates or expects to operate;
ment and tank vehicle (N) endorsement (3) Initiate and complete a check of
on a CLP, provided the applicant has the applicant’s driving record to ensure
taken and passed the knowledge test that the person is not subject to any
for the specified endorsement. All disqualification under § 383.51, or any
other Federal endorsements are prohib- license disqualification under State
ited on a CLP; and law, and does not have a driver’s li-
(v) Complete the Social Security cense from more than one State or ju-
Number verification required by para- risdiction. The record check must in-
graph (g) of this section. clude, but is not limited to, the fol-
(vi) Require compliance with the lowing:
standards for providing proof of citi- (i) A check of the applicant’s driving
zenship or lawful permanent residency record as maintained by his/her current
specified in § 383.71(a)(2)(v) and proof of State of licensure, if any;
State of domicile specified in (ii) A check with the CDLIS to deter-
§ 383.71(a)(2)(vi). Exception: A State is mine whether the driver applicant al-
required to check the proof of citizen- ready has been issued a CDL, whether
ship or legal presence specified in this the applicant’s license has been dis-
paragraph only for initial issuance, re- qualified, or if the applicant has been
newal or upgrade of a CLP or Non-dom- disqualified from operating a commer-
iciled CLP and for initial issuance, re- cial motor vehicle;
newal, upgrade or transfer of a CDL or (iii) A check with the Problem Driver
Non-domiciled CDL for the first time Pointer System (PDPS) to determine
after July 8, 2011, provided a notation whether the driver applicant has:
is made on the driver’s record con- (A) Been disqualified from operating
firming that the proof of citizenship or a motor vehicle (other than a commer-
legal presence check required by this cial motor vehicle);
paragraph has been made and noting (B) Had a license (other than CDL)
the date it was done; disqualified for cause in the 3-year pe-
(vii)(A) Before June 22, 2021, for driv- riod ending on the date of application;
ers who certified their type of driving or
according to § 383.71(b)(1)(i) (non-ex- (C) Been convicted of any offenses
cepted interstate) and, if the CLP ap- contained in 49 U.S.C. 30304(a)(3);
plicant submits a current medical ex- (iv) A request for the applicant’s
aminer’s certificate, date-stamp the complete driving record from all States
medical examiner’s certificate, and where the applicant was previously li-
post all required information from the censed over the last 10 years to drive
medical examiner’s certificate to the any type of motor vehicle. Exception: A
CDLIS driver record in accordance State is only required to make the re-
with paragraph (o) of this section. quest for the complete driving record
(B) On or after June 22, 2021, for driv- specified in this paragraph for initial
ers who certified their type of driving issuance of a CLP, transfer of CDL
according to § 383.71(b)(1)(i) (non-ex- from another State or for drivers re-
cepted interstate) and, if FMCSA pro- newing a CDL for the first time after
vides current medical examiner’s cer- September 30, 2002, provided a notation
tificate information electronically, is made on the driver’s record con-
post all required information matching firming that the driver record check
the medical examiner’s certificate to required by this paragraph has been
the CDLIS driver record in accordance made and noting the date it was done;
with paragraph (o) of this section. (v) Beginning January 30, 2012, a
(b) Initial CDL. Prior to issuing a check that the medical certification
CDL to a person, a State must: status of a driver that self-certified ac-
(1) Require the driver applicant to cording to § 383.71(b)(1)(i) of this chap-
certify, pass tests, and provide infor- ter (non-excepted interstate) is ‘‘cer-
mation as described in § 383.71(b); tified;’’
(2) Check that the vehicle in which (4) Require the driver applicant to
kpayne on VMOFRWIN702 with $$_JOB
the applicant takes his/her test is rep- surrender his/her non-CDL driver’s li-
resentative of the vehicle group the ap- cense and CLP;
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Federal Motor Carrier Safety Administration, DOT § 383.73
(5)(i) Before June 22, 2021, for drivers passenger (P) or school bus (S) endorse-
who certified their type of driving ac- ment until the State verifies electroni-
cording to § 383.71(b)(1)(i) (non-excepted cally that the applicant completed the
interstate) and, if the CDL holder sub- training prescribed in subpart F of part
mits a current medical examiner’s cer- 380 of this subchapter.
tificate, date-stamp the medical exam- (c) License transfers. Prior to issuing a
iner’s certificate and post all required CDL to a person who has a CDL from
information from the medical exam- another State, a State must:
iner’s certificate to the CDLIS driver (1) Require the driver applicant to
record in accordance with paragraph make the certifications contained in
(o) of this section. § 383.71(b)(1) and (5);
(ii) On or after June 22, 2021, for driv- (2) Complete a check of the driver ap-
ers who certified their type of driving plicant’s record as contained in para-
according to § 383.71(b)(1)(i) (non-ex- graph (b)(3) of this section;
cepted interstate) and, if FMCSA pro-
(3) Request and receive updates of in-
vides current medical examiner’s cer-
formation specified in subpart J of this
tificate information electronically,
part;
post all required information matching
(4) If such applicant wishes to retain
the medical examiner’s certificate to
a hazardous materials endorsement, re-
the CDLIS driver record in accordance
quire compliance with standards for
with paragraph (o) of this section.
such endorsement specified in
(6) Require compliance with the
§§ 383.71(b)(8) and 383.141 and ensure
standards for providing proof of citi-
that the driver has, within the 2 years
zenship or lawful permanent residency
preceding the transfer, either:
specified in § 383.71(b)(9) and proof of
State of domicile specified in (i) Passed the test for such endorse-
§ 383.71(b)(10). Exception: A State is re- ment specified in § 383.121; or
quired to check the proof of citizenship (ii) Successfully completed a haz-
or legal presence specified in this para- ardous materials test or training that
graph only for initial issuance, renewal is given by a third party and that is
or upgrade of a CLP or Non-domiciled deemed by the State to substantially
CLP and for initial issuance, renewal, cover the same knowledge base as that
upgrade or transfer of a CDL or Non- described in § 383.121;
domiciled CDL for the first time after (5) If not previously done, complete
July 8, 2011, provided a notation is the Social Security Number
made on the driver’s record confirming verification required by paragraph (g)
that the proof of citizenship or legal of this section;
presence check required by this para- (6) Require the applicant to surrender
graph has been made and noting the the CDL issued by the applicant’s pre-
date it was done; vious State of domicile;
(7) If not previously done, complete (7) Require compliance with the
the Social Security Number standards for providing proof of citi-
verification required by paragraph (g) zenship or lawful permanent residency
of this section; specified in § 383.71(b)(9) and proof of
(8) For persons applying for a haz- State of domicile specified in
ardous materials endorsement, require § 383.71(b)(10). Exception: A State is re-
compliance with the standards for such quired to check the proof of citizenship
endorsement specified in §§ 383.71(b)(8) or legal presence specified in this para-
and 383.141; graph only for initial issuance, renewal
(9) Make the CDL valid for no more or upgrade of a CLP or Non-domiciled
than 8 years from the date of issuance; CLP and for initial issuance, renewal,
and upgrade or transfer of a CDL or Non-
(10) Beginning January 6, 2023, re- domiciled CDL for the first time after
quest information from the Drug and July 8, 2011, provided a notation is
Alcohol Clearinghouse in accordance made on the driver’s record confirming
with § 382.725 of this chapter. that the proof of citizenship or legal
(11) Beginning on February 7, 2022, presence check required by this para-
kpayne on VMOFRWIN702 with $$_JOB
not conduct a skills test of an appli- graph has been made and noting the
cant for a Class A or Class B CDL, or a date it was done;
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§ 383.73 49 CFR Ch. III (10–1–20 Edition)
(8) Beginning January 30, 2012, verify July 8, 2011, provided a notation is
from the CDLIS driver record that the made on the driver’s record confirming
medical certification status of driver is that the proof of citizenship or legal
‘‘certified’’ for those who certified ac- presence check required by this para-
cording to § 383.71(b)(1)(i). Exception: A graph has been made and noting the
driver who certified according to date it was done;
§ 383.71(b)(1)(i) that he/she plans to op- (8) Beginning January 30, 2012, verify
erate in non-excepted interstate com- from the CDLIS driver record that the
merce may present a current medical medical certification status is ‘‘cer-
examiner’s certificate issued prior to tified’’ for drivers who self-certified ac-
January 30, 2012. The medical exam- cording to § 383.71(b)(1)(i). Exception: A
iner’s certificate provided by the driver driver who certified according to
must be posted to the CDLIS driver § 383.71(b)(1)(i) may present a current
record in accordance with paragraph medical examiner’s certificate issued
(o) of this section; prior to January 30, 2012. The medical
(9) Make the CDL valid for no more examiner’s certificate provided by the
than 8 years from the date of issuance; driver must be posted to the CDLIS
and driver record in accordance with para-
(10) Beginning January 6, 2023, re- graph (o) of this section; and
quest information from the Drug and (9) Beginning January 6, 2023, request
Alcohol Clearinghouse in accordance information from the Drug and Alcohol
with § 382.725 of this chapter. Clearinghouse in accordance with
(d) License Renewals. Prior to renew- § 382.725 of this chapter.
ing any CDL a State must: (e) License upgrades. Prior to issuing
(1) Require the driver applicant to an upgrade of a CDL, a State must:
make the certifications contained in (1) Require such driver applicant to
§ 383.71(b); provide certifications, pass tests, and
(2) Complete a check of the driver ap- meet applicable hazardous materials
plicant’s record as contained in para- standards specified in § 383.71(e);
graph (b)(3) of this section; (2) Complete a check of the driver ap-
(3) Request and receive updates of in- plicant’s record as described in para-
formation specified in subpart J of this graph (b)(3) of this section;
part; (3) If not previously done, complete
(4) If such applicant wishes to retain the Social Security Number
a hazardous materials endorsement, re- verification required by paragraph (g)
quire the driver to pass the test speci- of this section;
fied in § 383.121 and comply with the (4) Require the driver applicant to
standards specified in §§ 383.71(b)(8) and surrender his/her previous CDL;
383.141 for such endorsement; (5) Require compliance with the
(5) If not previously done, complete standards for providing proof of citi-
the Social Security Number zenship or lawful permanent residency
verification required by paragraph (g) specified in § 383.71(b)(9) and proof of
of this section; State of domicile specified in
(6) Make the renewal of the CDL § 383.71(b)(10). Exception: A State is re-
valid for no more than 8 years from the quired to check the proof of citizenship
date of issuance; or legal presence specified in this para-
(7) Require compliance with the graph only for initial issuance, renewal
standards for providing proof of citi- or upgrade of a CLP or Non-domiciled
zenship or lawful permanent residency CLP and for initial issuance, renewal,
specified in § 383.71(b)(9) and proof of upgrade, or transfer of a CDL or Non-
State of domicile specified in domiciled CDL, for the first time after
§ 383.71(b)(10). Exception: A State is re- July 8, 2011, provided a notation is
quired to check the proof of citizenship made on the driver’s record confirming
or legal presence specified in this para- that the proof of citizenship or legal
graph only for initial issuance, renewal presence check required by this para-
or upgrade of a CLP or Non-domiciled graph has been made and noting the
CLP and for initial issuance, renewal, date it was done;
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upgrade or transfer of a CDL or Non- (6) Beginning January 30, 2012, verify
domiciled CDL for the first time after from the CDLIS driver record that the
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Federal Motor Carrier Safety Administration, DOT § 383.73
medical certification status is ‘‘cer- (3) The State must require compli-
tified’’ for drivers who self-certified ac- ance with the standards for providing
cording to § 383.71(b)(1)(i). Exception: A proof of legal presence specified in
driver who certified according to § 383.71(b)(9) and § 383.71(f)(2)(i).
§ 383.71(b)(1)(i) may present a current (4) Beginning January 6, 2023, for
medical examiner’s certificate issued drivers seeking issuance, renewal, up-
prior to January 30, 2012. The medical grade or transfer of a non-domiciled
examiner’s certificate provided by the CDL, request information from the
driver must be posted to the CDLIS Drug and Alcohol Clearinghouse in ac-
driver record in accordance with para- cordance with § 382.725 of this chapter.
graph (o) of this section; (g) Social Security Number verification.
(7) Make the CDL valid for no more (1) Prior to issuing a CLP or a CDL to
than 8 years from the date of issuance; a person the State must verify the
and name, date of birth, and Social Secu-
(8) Beginning January 6, 2023, request rity Number provided by the applicant
information from the Drug and Alcohol with the information on file with the
Clearinghouse in accordance with Social Security Administration. The
§ 382.725 of this chapter. State is prohibited from issuing, re-
(9) Beginning on February 7, 2022, not newing, upgrading, or transferring a
CLP or CDL if the Social Security Ad-
conduct a skills test of an applicant for
ministration database does not match
an upgrade to a Class A or Class B
the applicant-provided data.
CDL, or a passenger (P), school bus (S)
(2) Exception. A State is only required
endorsement, or administer the knowl-
to perform the Social Security Number
edge test to an applicant for the haz-
verification specified in this paragraph
ardous materials (H) endorsement, un-
for initial issuance of a CLP, transfer
less the applicant has completed the
of CDL from another State or for driv-
training required by subpart F of part
ers renewing a CDL for the first time
380 of this subchapter.
after July 8, 2011 who have not pre-
(f) Non-domiciled CLP and CDL. (1) A viously had their Social Security Num-
State may only issue a Non-domiciled ber information verified, provided a no-
CLP or CDL to a person who meets one tation is made on the driver’s record
of the circumstances described in confirming that the verification re-
§ 383.71(f)(1). quired by this paragraph has been
(2) State procedures for the issuance made and noting the date it was done.
of a non-domiciled CLP and CDL, for (h) License issuance. After the State
any modifications thereto, and for no- has completed the procedures described
tifications to the CDLIS must at a in paragraphs (a) through (g) of this
minimum be identical to those per- section, as applicable, it may issue a
taining to any other CLP or CDL, with CLP or CDL to the driver applicant.
the following exceptions: The State must notify the operator of
(i) If the applicant is requesting a the CDLIS of such issuance, transfer,
transfer of his/her Non-domiciled CDL, renewal, or upgrade within the 10-day
the State must obtain the Non-domi- period beginning on the date of license
ciled CDL currently held by the appli- issuance.
cant and issued by another State; (i) Surrender procedure. A State may
(ii) The State must add the word return a surrendered license to a driver
‘‘non-domiciled’’ to the face of the CLP after physically marking it so that it
or CDL, in accordance with § 383.153(c); cannot be mistaken for a valid docu-
and ment. Simply punching a hole in the
(iii) The State must have established, expiration date of the document is in-
prior to issuing any Non-domiciled sufficient. A document perforated with
CLP or CDL, the practical capability of the word ‘‘VOID’’ is considered invali-
disqualifying the holder of any Non- dated.
domiciled CLP or CDL, by withdrawing (j) Penalties for false information. If a
or disqualifying his/her Non-domiciled State determines, in its check of an ap-
CLP or CDL as if the Non-domiciled plicant’s license status and record
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CLP or CDL were a CLP or CDL issued prior to issuing a CLP or CDL, or at
to a person domiciled in the State. any time after the CLP or CDL is
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§ 383.73 49 CFR Ch. III (10–1–20 Edition)
issued, that the applicant has falsified ticipate substantively in the processing
information contained in subpart J of and verification of the documents in-
this part, in any of the certifications volved in the licensing process for ini-
required in § 383.71(b) or (g), or in any of tial issuance, renewal or upgrade of a
the documents required to be sub- CLP or Non-domiciled CLP and for ini-
mitted by § 383.71(h), the State must at tial issuance, renewal, upgrade or
a minimum disqualify the person’s CLP transfer of a CDL or Non-domiciled
or CDL or his/her pending application, CDL. The documents being processed
or disqualify the person from operating and verified must include, at a min-
a commercial motor vehicle for a pe- imum, those provided by the applicant
riod of at least 60 consecutive days. to prove legal presence and domicile,
(k) Drivers convicted of fraud related to the information filled out on the appli-
the testing and issuance of a CLP or CDL. cation form, and knowledge and skills
(1) The State must have policies in ef- test scores. This section does not re-
fect that result, at a minimum, in the quire two people to process or verify
disqualification of the CLP or CDL of a each document involved in the licens-
person who has been convicted of fraud ing process. Exception: For offices with
related to the issuance of that CLP or only one staff member, at least some of
CDL. The application of a person so the documents must be processed or
convicted who seeks to renew, transfer, verified by a supervisor before issuance
or upgrade the fraudulently obtained or, when a supervisor is not available,
CLP or CDL must also, at a minimum, copies must be made of some of the
be disqualified. The State must record documents involved in the licensing
any such withdrawal in the person’s process and a supervisor must verify
driving record. The person may not re- them within one business day of
apply for a new CDL for at least 1 year. issuance of the CLP, Non-domiciled
(2) If a State receives credible infor- CLP, CDL or Non-domiciled CDL.
mation that a CLP- or CDL-holder is (n) Computer system controls. The
suspected, but has not been convicted, State must establish computer system
of fraud related to the issuance of his/ controls that will:
her CLP or CDL, the State must re- (1) Prevent the issuance of an initial,
quire the driver to re-take the skills renewed or upgraded CLP or an initial,
and/or knowledge tests. Within 30 days renewed, upgraded, or transferred CDL
of receiving notification from the when the results of transactions indi-
State that re-testing is necessary, the cate the applicant is unqualified. These
affected CLP- or CDL-holder must controls, at a minimum, must be estab-
make an appointment or otherwise lished for the following transactions:
schedule to take the next available State, CDLIS, and PDPS driver record
test. If the CLP- or CDL-holder fails to checks; and Social Security Number
make an appointment within 30 days, verification. Knowledge and skills test
the State must disqualify his/her CLP scores verification controls must be es-
or CDL. If the driver fails either the tablished for an initial, renewed, or up-
knowledge or skills test or does not graded CDL.
take the test, the State must dis- (2) Suspend the issuance process
qualify his/her CLP or CDL. Once a whenever State, CDLIS, and/or PDPS
CLP- or CDL-holder’s CLP or CDL has driver record checks return suspect re-
been disqualified, he/she must reapply sults. The State must demonstrate
for a CLP or CDL under State proce- that it has a system to detect and pre-
dures applicable to all CLP and CDL vent fraud when a driver record check
applicants. returns suspect results. At a minimum,
(l) Reciprocity. A State must allow the system must ensure that:
any person who has a valid CLP, CDL, (i) The results are not connected to a
Non-domiciled CLP, or Non-domiciled violation of any State or local law re-
CDL and who is not disqualified from lating to motor vehicle traffic control
operating a CMV, to operate a CMV in (other than parking, vehicle weight, or
the State. vehicle defect violations);
(m) Document verification. The State (ii) The name of the persons per-
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must require at least two persons with- forming the record check and author-
in the driver licensing agency to par- izing the issuance, and the justification
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Federal Motor Carrier Safety Administration, DOT § 383.73
for the authorization are documented (ii) Status of CLP or CDL holder. On or
by the State; and after June 22, 2021, for each operator of
(iii) The person performing the a commercial motor vehicle required
record check and the person author- to have a CLP or CDL, the current li-
izing the issuance are not the same. censing State must:
(o) Medical recordkeeping—(1)(i) Status (A) Post the driver’s self-certifi-
of CLP or CDL holder. Before June 22, cation of type of driving under
2021, for each operator of a commercial § 383.71(b)(1) to the CDLIS driver
motor vehicle required to have a CLP record;
or CDL, the current licensing State (B) Post the information from the
must: medical examiner’s certificate received
(A) Post the driver’s self-certifi- from FMCSA to the CDLIS driver
cation of type of driving under record, including:
§ 383.71(b)(1) to the CDLIS driver (1) Medical examiner’s name;
record; (2) Medical examiner’s telephone
(B) Post the information from the number;
medical examiner’s certificate within (3) Date of medical examiner’s cer-
10 calendar days to the CDLIS driver tificate issuance;
record, including:
(4) Medical examiner’s license num-
(1) Medical examiner’s name;
ber and the State that issued it;
(2) Medical examiner’s telephone
(5) Medical examiner’s National Reg-
number;
istry identification number;
(3) Date of medical examiner’s cer-
(6) The indicator of medical certifi-
tificate issuance;
cation status, i.e., ‘‘certified’’ or ‘‘not-
(4) Medical examiner’s license num-
certified’’;
ber and the State that issued it;
(7) Expiration date of the medical ex-
(5) Medical examiner’s National Reg-
aminer’s certificate;
istry identification number;
(6) The indicator of medical certifi- (8) Existence of any medical variance
cation status, i.e., ‘‘certified’’ or ‘‘not- on the medical examiner’s certificate,
certified’’; such as an exemption, Skill Perform-
ance Evaluation (SPE) certification, or
(7) Expiration date of the medical ex-
aminer’s certificate; grandfather provisions;
(8) Existence of any medical variance (9) Any restrictions (e.g., corrective
on the medical examiner’s certificate, lenses, hearing aid, required to have
such as an exemption, SPE certifi- possession of an exemption letter or
cation, or grandfather provisions; SPE certificate while on-duty, etc.);
(9) Any restrictions (e.g., corrective and
lenses, hearing aid, required to have (10) Date the medical examiner’s cer-
possession of an exemption letter or tificate information was posted to the
SPE certificate while on-duty, etc.); CDLIS driver record;
and (C) Post the medical variance infor-
(10) Date the medical examiner’s cer- mation received from FMCSA within 1
tificate information was posted to the business day to the CDLIS driver
CDLIS driver record; and record, including:
(C) Post the medical variance infor- (1) Date of medical variance issuance;
mation within 10 calendar days to the and
CDLIS driver record, including: (2) Expiration date of medical vari-
(1) Date of medical variance issuance; ance;
and (D) Retain the electronic record of
(2) Expiration date of medical vari- the medical examiner’s certificate in-
ance; formation for any driver required to
(D) Retain the original or a copy of have documentation of physical quali-
the medical examiner’s certificate of fication for 3 years beyond the date the
any driver required to provide docu- certificate was issued.
mentation of physical qualification for (2) Status update. (i) Before June 22,
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3 years beyond the date the certificate 2021, the State must, within 10 calendar
was issued. days of the driver’s medical examiner’s
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§ 383.73 49 CFR Ch. III (10–1–20 Edition)
cally examined and certified in accord- (p) After February 7, 2022, the State
ance with 49 CFR 391.43 as physically must notify FMCSA that a training
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Federal Motor Carrier Safety Administration, DOT § 383.75
provider in the State does not meet ap- third party tester that fails to comply
plicable State requirements for CMV with State or Federal standards for the
instruction. CDL testing program, or with any
[76 FR 26883, May 9, 2011, as amended at 77
other terms of the third party con-
FR 24127, Apr. 20, 2012; 78 FR 17880, Mar. 25, tract;
2013; 78 FR 58480, Sept. 24, 2013; 79 FR 59456, (7) A skills test examiner who is also
Oct. 2, 2014; 80 FR 22810, Apr. 23, 2015; 80 FR a skills instructor either as a part of a
35577, June 22, 2015; 80 FR 59072, Oct. 1, 2015; school, training program or otherwise
81 FR 87730, Dec. 5, 2016; 81 FR 88803, Dec. 8, is prohibited from administering a
2016; 82 FR 2916, Jan. 10, 2017; 83 FR 22876, skills test to an applicant who received
May 17, 2018; 83 FR 28781, June 21, 2018; 83 FR
65571, Dec. 21, 2018; 84 FR 68057, Dec. 13, 2019;
skills training by that skills test exam-
85 FR 6100, Feb. 4, 2020] iner; and
(8) The State has an agreement with
§ 383.75 Third party testing. the third party containing, at a min-
(a) Third party tests. A State may au- imum, provisions that:
thorize a third party tester to admin- (i) Allow the FMCSA, or its rep-
ister the skills tests as specified in sub- resentative, and the State to conduct
parts G and H of this part, if the fol- random examinations, inspections, and
lowing conditions are met: audits of its records, facilities, and op-
(1) The skills tests given by the third erations without prior notice;
party are the same as those that would (ii) Require that all third party skills
otherwise be given by the State using test examiners meet the qualification
the same version of the skills tests, the and training standards of § 384.228;
same written instructions for test ap- (iii) Allow the State to do any of the
plicants, and the same scoring sheets following:
as those prescribed in subparts G and H (A) Have State employees covertly
of this part; take the tests administered by the
(2) The State must conduct an on-site third party as if the State employee
inspection of each third party tester at were a test applicant;
least once every 2 years, with a focus (B) Have State employees co-score
on examiners with irregular results along with the third party examiner
such as unusually high or low pass/fail during CDL skills tests to compare
rates; pass/fail results; or
(3) The State must issue the third (C) Have the State re-test a sample of
party tester a CDL skills testing cer- drivers who were examined by the third
tificate upon the execution of a third party;
party skills testing agreement. (iv) Reserve unto the State the right
(4) The State must issue each third to take prompt and appropriate reme-
party CDL skills test examiner a skills dial action against a third party tester
testing certificate upon successful that fails to comply with State or Fed-
completion of a formal skills test ex- eral standards for the CDL testing pro-
aminer training course prescribed in gram, or with any other terms of the
§ 384.228. third party contract;
(5) The State must, at least once (v) Require the third party tester to
every 2 years, do one of the following initiate and maintain a bond in an
for each third party examiner: amount determined by the State to be
(i) Have State employees covertly sufficient to pay for re-testing drivers
take the tests administered by the in the event that the third party or one
third party as if the State employee or more of its examiners is involved in
were a test applicant; fraudulent activities related to con-
(ii) Have State employees co-score ducting skills testing of applicants for
along with the third party examiner a CDL. Exception: A third party tester
during CDL skills tests to compare that is a government entity is not re-
pass/fail results; or quired to maintain a bond.
(iii) Re-test a sample of drivers who (vi) Require the third party tester to
were examined by the third party to use only CDL skills examiners who
compare pass/fail results; have successfully completed a formal
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(6) The State must take prompt and CDL skills test examiner training
appropriate remedial action against a course as prescribed by the State and
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§ 383.77 49 CFR Ch. III (10–1–20 Edition)
have been certified by the State as a § 383.77 Substitute for knowledge and
CDL skills examiner qualified to ad- driving skills tests for drivers with
minister CDL skills tests; military CMV experience.
(vii) Require the third party tester to (a) Knowledge test waivers for certain
use designated road test routes that current or former military service members
have been approved by the State; applying for a CLP or CDL—(1) In gen-
(viii) Require the third party tester eral. For current or former military
to submit a schedule of CDL skills test- service members, as defined in § 383.5,
ing appointments to the State no later who meet the conditions and limita-
than two business days prior to each tions set forth in paragraph (a)(2) of
test; and this section, a State may waive the re-
(ix) Require the third party tester to quirements in §§ 383.23(a)(1) and
383.25(a)(3) that a person must pass a
maintain copies of the following
knowledge test for a CLP or CDL.
records at its principal place of busi-
(2) Conditions and limitations. A cur-
ness: rent or former military service mem-
(A) A copy of the State certificate ber applying for waiver of the knowl-
authorizing the third party tester to edge test described in paragraph (a)(1)
administer a CDL skills testing pro- of this section must certify and provide
gram for the classes and types of com- evidence that, during the 1-year period
mercial motor vehicles listed; immediately prior to the application,
(B) A copy of each third party exam- he/she:
iner’s State certificate authorizing the (i) Is or was regularly employed and
third party examiner to administer designated as a:
CDL skills tests for the classes and (A) Motor Transport Operator—88M
types of commercial motor vehicles (Army);
listed; (B) PATRIOT Launching Station Op-
(C) A copy of the current third party erator—14T (Army);
agreement; (C) Fueler—92F (Army);
(D) A copy of each completed CDL (D) Vehicle Operator—2T1 (Air
skills test scoring sheet for the current Force);
year and the past two calendar years; (E) Fueler—2F0 (Air Force);
(F) Pavement and Construction
(E) A copy of the third party tester’s
Equipment Operator—3E2 (Air Force);
State-approved road test route(s); and
(G) Motor Vehicle Operator—3531
(F) A copy of each third party exam- (Marine Corps); or
iner’s training record. (H) Equipment Operator—E.O.
(b) Proof of testing by a third party. (Navy).
The third party tester must notify the (ii) Is operating a vehicle representa-
State driver licensing agency through tive of the CMV type the driver appli-
secure electronic means when a driver cant expects to operate upon separa-
applicant passes skills tests adminis- tion from the military, or operated
tered by the third party tester. such a vehicle type immediately pre-
(c) Minimum number of tests conducted. ceding separation from the military;
The State must revoke the skills (iii) Has not simultaneously held
testing certification of any examiner more than one civilian license (in addi-
who does not conduct skills test exami- tion to a military license);
nations of at least 10 different appli- (iv) Has not had any license sus-
cants per calendar year. Exception: Ex- pended, revoked, or cancelled;
aminers who do not meet the 10-test (v) Has not had any convictions for
minimum must either take the re- any type of motor vehicle for the dis-
fresher training specified in § 384.228 of qualifying offenses contained in
this chapter or have a State examiner § 383.51(b);
(vi) Has not had more than one con-
ride along to observe the third party
viction for any type of motor vehicle
examiner successfully administer at
for serious traffic violations contained
least one skills test.
in § 383.51(c); and
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[76 FR 26886, May 9, 2011, as amended at 78 (vii) Has not had any conviction for a
FR 17881, Mar. 25, 2013] violation of military, State, or local
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Federal Motor Carrier Safety Administration, DOT § 383.77
law relating to motor vehicle traffic tion) arising in connection with any
control (other than a parking viola- traffic crash, and has no record of a
tion) arising in connection with any crash in which he/she was at fault.
traffic accident, and has no record of (c) Endorsement waivers for certain cur-
an accident in which he/she was at rent or former military service members
fault. applying for a CLP or a CDL—(1) Pas-
(b) Driving skills test waivers for certain senger. For current or former military
current or former military service members service members, as defined in § 383.5,
applying for a CDL—(1) In general. At who meet the conditions and limita-
the discretion of a State, the driving tions set forth in paragraph (c)(4) of
skills test required by § 383.23(a)(1), and this section, a State may waive the re-
as specified in § 383.113, may be waived quirements in § 383.25(a)(5)(i), § 383.93(a)
for a CMV driver with military CMV and (c)(2) that an applicant must pass a
experience who is currently licensed at driving skills test and a specialized
the time of his/her application for a knowledge test, described in § 383.117,
CDL and substituted with an appli- for a passenger (P) endorsement.
cant’s driving record in combination (2) Tank vehicle. For current or
with certain driving experience. former military service members, as
(2) Conditions and limitations. The defined in § 383.5, who meet the condi-
State shall impose conditions and limi- tions and limitations set forth in para-
tations to restrict the applicants from graph (c)(4) of this section, a State may
whom a State may accept alternative waive the requirements in
requirements for the driving skills test §§ 383.25(a)(5)(iii) and 383.93(a) and (c)(3)
described in § 383.113. Such conditions that an applicant must pass a special-
must require at least the following: ized knowledge test, described in
(i) An applicant must provide evi- § 383.119, for a tank vehicle (N) endorse-
dence and certify that he/she: ment.
(A) Is regularly employed or was reg- (3) Hazardous materials. For current
ularly employed within the last year in or former military service members, as
a military position requiring operation defined in § 383.5, who meet the condi-
of a CMV; tions and limitations set forth in para-
(B) Was exempted from the CDL re- graph (c)(4) of this section, a State may
quirements in § 383.3(c); and waive the requirements in § 383.93(a)(1)
(C) Was operating a vehicle rep- and (c)(4) that an applicant must pass a
resentative of the CMV type the driver specialized knowledge test, described
applicant operates or expects to oper- in § 383.121, for a hazardous materials
ate, for at least the 2 years imme- (H) endorsement. States must continue
diately preceding separation from the to meet the requirements for a haz-
military. ardous materials endorsement in sub-
(ii) An applicant must certify that, part I of this part.
during the 2-year period immediately (4) Conditions and limitations. A cur-
prior to applying for a CDL, he/she: rent or former military service mem-
(A) Has not simultaneously held ber applying for waiver of the driving
more than one civilian license (in addi- skills test or the specialized knowledge
tion to a military license); test for a passenger carrier endorse-
(B) Has not had any license sus- ment, the knowledge test for the tank
pended, revoked, or cancelled; vehicle endorsement, or the knowledge
(C) Has not had any convictions for test for the hazardous materials en-
any type of motor vehicle for the dis- dorsement, must certify and provide
qualifying offenses contained in evidence that, during the 1-year period
§ 383.51(b); immediately prior to the application,
(D) Has not had more than one con- he/she:
viction for any type of motor vehicle (i) Is or was regularly employed in a
for serious traffic violations contained military position requiring operation
in § 383.51(c); and of a passenger CMV, if the applicant is
(E) Has not had any conviction for a requesting a waiver of the knowledge
violation of military, State or local and driving skills test for a passenger
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§ 383.79 49 CFR Ch. III (10–1–20 Edition)
waiver of the knowledge test for a tank stationed but not domiciled if the re-
vehicle endorsement; or transportation quirements of this section are met.
of hazardous materials, if the applicant (1) Role of State of duty station. (i)
is requesting a waiver of the knowledge Upon prior agreement with the State of
test for a hazardous materials endorse- domicile, a State where active-duty
ment; military service members are sta-
(ii) Has not simultaneously held tioned, but not domiciled, may accept
more than one civilian license (in addi- an application for a CLP or CDL, in-
tion to a military license); cluding an application for waiver of the
(iii) Has not had any license sus- knowledge test or driving skills test
pended, revoked, or cancelled; prescribed in §§ 383.23(a)(1) and
(iv) Has not had any convictions for 383.25(a)(3), from such a military serv-
any type of motor vehicle for the dis- ice member who:
qualifying offenses contained in (A) Is regularly employed or was reg-
§ 383.51(b); ularly employed within the last year in
(v) Has not had more than one con- a military position requiring operation
viction for any type of motor vehicle of a CMV;
for serious traffic violations contained (B) Has a valid driver’s license from
in § 383.51(c); and his or her State of domicile;
(vi) Has not had any conviction for a
(C) Has a valid active-duty military
violation of military, State or local
identification card; and
law relating to motor vehicle traffic
control (other than a parking viola- (D) Has a current copy of either the
tion) arising in connection with any service member’s military leave and
traffic crash, and has no record of a earnings statement, or his or her or-
crash in which he/she was at fault. ders.
(ii) A State where active-duty mili-
[83 FR 48975, Sept. 28, 2018] tary service members are stationed,
but not domiciled, may:
§ 383.79 Driving skills testing of out-of-
State students; knowledge and driv- (A) Administer the knowledge and
ing skills testing of military per- driving skills tests to the military
sonnel. service member, as appropriate, in ac-
(a) CDL applicants trained out-of- cordance with subparts F, G, and H of
State—(1) State that administers the driv- this part, if the State of domicile re-
ing skills test. A State may administer quires those tests; or
its driving skills test, in accordance (B) Waive the knowledge and driving
with subparts F, G, and H of this part, skills tests in accordance with § 383.77,
to a person who has taken training in if the State of domicile has exercised
that State and is to be licensed in an- the option to waive those tests; and
other United States jurisdiction (i.e., (C) Destroy the military service
his or her State of domicile). Such test member’s civilian driver’s license on
results must be transmitted electroni- behalf of the State of domicile, unless
cally directly from the testing State to the latter requires the driver’s license
the licensing State in a direct, efficient to be surrendered to its own driver li-
and secure manner. censing agency.
(2) The State of domicile. The State of (iii) The State of duty station must
domicile of a CDL applicant must ac- transmit to the State of domicile by a
cept the results of a driving skills test direct, secure, and efficient electronic
administered to the applicant by any system the completed application, any
other State, in accordance with sub- supporting documents, and—if the
parts F, G, and H of this part, in fulfill- State of domicile has not exercised its
ment of the applicant’s testing require- waiver option—the results of any
ments under § 383.71, and the State’s knowledge and driving skills adminis-
test administration requirements tered.
under § 383.73. (2) Role of State of domicile. Upon com-
(b) Active duty military service mem- pletion of the applicant’s application
bers. An active-duty military service pursuant to § 383.71 and any testing ad-
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member may apply for a CLP or a CDL ministered by the State of duty station
in the State where the individual is pursuant to §§ 383.71 and 383.73, the
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Federal Motor Carrier Safety Administration, DOT § 383.91
State of domicile of the military serv- vehicle not in excess of 4,536 kilograms
ice member applying for a CLP or CDL (10,000 pounds) GVWR.
may: (3) Small Vehicle (Group C)—Any sin-
(i) Accept the completed application, gle vehicle, or combination of vehicles,
any supporting documents, and the re- that meets neither the definition of
sults of the knowledge and driving Group A nor that of Group B as con-
skills tests administered by the State tained in this section, but that either
of duty station (unless waived at the is designed to transport 16 or more pas-
discretion of the State of domicile); sengers including the driver, or is used
and in the transportation of hazardous ma-
(ii) Issue the applicant a CLP or CDL. terials as defined in § 383.5.
(b) Representative vehicle. For pur-
[83 FR 48976, Sept. 28, 2018]
poses of taking the driving test in ac-
cordance with § 383.113, a representative
Subpart F—Vehicle Groups and vehicle for a given vehicle group con-
Endorsements tained in § 383.91(a), is any commercial
motor vehicle which meets the defini-
SOURCE: 53 FR 27651, July 21, 1988, unless tion of that vehicle group.
otherwise noted. (c) Relation between vehicle groups.
Each driver applicant who desires to
§ 383.91 Commercial motor vehicle operate in a different commercial
groups. motor vehicle group from the one
(a) Vehicle group descriptions. Each which his/her CDL authorizes shall be
driver applicant must possess and be required to retake and pass all related
tested on his/her knowledge and skills, tests, except the following:
described in subpart G of this part, for (1) A driver who has passed the
the commercial motor vehicle group(s) knowledge and skills tests for a com-
for which he/she desires a CDL. The bination vehicle (Group A) may operate
commercial motor vehicle groups are a heavy straight vehicle (Group B) or a
as follows: small vehicle (Group C), provided that
(1) Combination vehicle (Group A)— he/she possesses the requisite endorse-
Any combination of vehicles with a ment(s); and
gross combination weight rating (2) A driver who has passed the
(GCWR) of 11,794 kilograms or more knowledge and skills tests for a heavy
(26,001 pounds or more) provided the straight vehicle (Group B) may operate
GVWR of the vehicle(s) being towed is any small vehicle (Group C), provided
in excess of 4,536 kilograms (10,000 that he/she possesses the requisite en-
pounds). dorsement(s).
(2) Heavy Straight Vehicle (Group (d) Vehicle group illustration. Figure 1
B)—Any single vehicle with a GVWR of illustrates typical vehicles within each
11,794 kilograms or more (26,001 pounds of the vehicle groups defined in this
or more), or any such vehicle towing a section.
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§ 383.91 49 CFR Ch. III (10–1–20 Edition)
[53 FR 27651, July 21, 1988, as amended at 54 FR 47989, Nov. 20, 1989; 61 FR 9566, Mar. 8, 1996;
77 FR 59825, Oct. 1, 2012; 80 FR 59072, Oct. 1, 2015]
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Federal Motor Carrier Safety Administration, DOT § 383.95
(2) For the purposes of the skills test § 383.73(o)(3) that the driver has been
and the restriction, air brakes include issued a medical variance, the State
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§ 383.110 49 CFR Ch. III (10–1–20 Edition)
(2) Safe vehicle control systems. The using horn or lights to signal presence;
purpose and function of the controls and
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Federal Motor Carrier Safety Administration, DOT § 383.111
(15) Skid control and recovery. The in- (iii) What to do when sleepy while
formation on the causes and major driving; and
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§ 383.113 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 383.117
(2) Ability to put the motor vehicle cumstances as a substitute for the re-
in motion and accelerate smoothly, quired testing in on-street conditions.
forward and backward;
[76 FR 26889, May 9, 2011]
(3) Ability to bring the motor vehicle
to a smooth stop; § 383.115 Requirements for double/tri-
(4) Ability to back the motor vehicle ple trailers endorsement.
in a straight line, and check path and
In order to obtain a double/triple
clearance while backing;
trailers endorsement each applicant
(5) Ability to position the motor ve-
must have knowledge covering:
hicle to negotiate safely and then
(a) Procedures for assembly and
make left and right turns;
hookup of the units;
(6) Ability to shift as required and se-
(b) Proper placement of heaviest
lect appropriate gear for speed and
trailer;
highway conditions; and
(c) Handling and stability character-
(7) Ability to back along a curved
istics including off-tracking, response
path.
to steering, sensory feedback, braking,
(c) Safe on-road driving skills. All ap-
oscillatory sway, rollover in steady
plicants for a CDL must possess and
turns, and yaw stability in steady
demonstrate the following safe on-road
turns;
driving skills for their vehicle class:
(d) Potential problems in traffic op-
(1) Ability to use proper visual search
erations, including problems the motor
methods;
vehicle creates for other motorists due
(2) Ability to signal appropriately
to slower speeds on steep grades, longer
when changing direction in traffic;
passing times, possibility for blocking
(3) Ability to adjust speed to the con-
entry of other motor vehicles on free-
figuration and condition of the road-
ways, splash and spray impacts, aero-
way, weather and visibility conditions,
dynamic buffeting, view blockages, and
traffic conditions, and motor vehicle,
lateral placement; and
cargo and driver conditions;
(e) Operating practices and proce-
(4) Ability to choose a safe gap for
dures not otherwise specified.
changing lanes, passing other vehicles,
as well as for crossing or entering traf- [76 FR 26890, May 9, 2011]
fic;
(5) Ability to position the motor ve- § 383.117 Requirements for passenger
hicle correctly before and during a turn endorsement.
to prevent other vehicles from passing An applicant for the passenger en-
on the wrong side, as well as to prevent dorsement must satisfy both of the fol-
problems caused by off-tracking; lowing additional knowledge and skills
(6) Ability to maintain a safe fol- test requirements.
lowing distance depending on the con- (a) Knowledge test. All applicants for
dition of the road, visibility, and vehi- the passenger endorsement must have
cle weight; knowledge covering the following top-
(7) Ability to adjust operation of the ics:
motor vehicle to prevailing weather (1) Proper procedures for loading/un-
conditions including speed selection, loading passengers;
braking, direction changes, and fol- (2) Proper use of emergency exits, in-
lowing distance to maintain control; cluding push-out windows;
and (3) Proper responses to such emer-
(8) Ability to observe the road and gency situations as fires and unruly
the behavior of other motor vehicles, passengers;
particularly before changing speed and (4) Proper procedures at railroad-
direction. highway grade crossings and draw-
(d) Test area. Skills tests shall be con- bridges;
ducted in on-street conditions or under (5) Proper braking procedures; and
a combination of on-street and off- (6) Operating practices and proce-
street conditions. dures not otherwise specified.
(e) Simulation technology. A State (b) Skills test. To obtain a passenger
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§ 383.119 49 CFR Ch. III (10–1–20 Edition)
his/her skills test in a passenger vehi- (1) Forbidden materials and pack-
cle satisfying the requirements of that ages;
vehicle group as defined in § 383.91. (2) Loading and unloading materials;
[76 FR 26890, May 9, 2011] (3) Cargo segregation;
(4) Passenger carrying buses and haz-
§ 383.119 Requirements for tank vehi- ardous materials;
cle endorsement. (5) Attendance of motor vehicles;
In order to obtain a tank vehicle en- (6) Parking;
dorsement, each applicant must have (7) Routes;
knowledge covering the following: (8) Cargo tanks; and
(a) Causes, prevention, and effects of (9) ‘‘Safe havens.’’
cargo surge on motor vehicle handling; (c) Operation of emergency equip-
(b) Proper braking procedures for the ment including:
motor vehicle when it is empty, full, (1) Use of equipment to protect the
and partially full; public;
(c) Differences in handling of baffled/
(2) Special precautions for equipment
compartmented tank interiors versus
to be used in fires;
non-baffled motor vehicles;
(d) Differences in tank vehicle type (3) Special precautions for use of
and construction; emergency equipment when loading or
(e) Differences in cargo surge for liq- unloading a hazardous materials laden
uids of varying product densities; motor vehicle; and
(f) Effects of road grade and cur- (4) Use of emergency equipment for
vature on motor vehicle handling with tank vehicles.
filled, half-filled, and empty tanks; (d) Emergency response procedures
(g) Proper use of emergency systems; including:
(h) For drivers of DOT specification (1) Special care and precautions for
tank vehicles, retest and marking re- different types of accidents;
quirements; and (2) Special precautions for driving
(i) Operating practices and proce- near a fire and carrying hazardous ma-
dures not otherwise specified. terials, and smoking and carrying haz-
[76 FR 26890, May 9, 2011] ardous materials;
(3) Emergency procedures; and
§ 383.121 Requirements for hazardous (4) Existence of special requirements
materials endorsement. for transporting Class 1.1 and 1.2 explo-
In order to obtain a hazardous mate- sives.
rials endorsement, each applicant must (e) Operating practices and proce-
have such knowledge as is required of a dures not otherwise specified.
driver of a hazardous materials laden [76 FR 26890, May 9, 2011]
vehicle, from information contained in
49 CFR parts 171, 172, 173, 177, 178, and § 383.123 Requirements for a school
397, on the following: bus endorsement.
(a) Hazardous materials regulations
including: (a) An applicant for the school bus
(1) Hazardous materials table; endorsement must satisfy the following
(2) Shipping paper requirements; three requirements:
(3) Marking; (1) Qualify for passenger vehicle en-
(4) Labeling; dorsement. Pass the knowledge and
(5) Placarding requirements; skills test for obtaining a passenger ve-
(6) Hazardous materials packaging; hicle endorsement.
(7) Hazardous materials definitions (2) Knowledge test. Must have knowl-
and preparation; edge covering the following topics:
(8) Other regulated material (e.g., (i) Loading and unloading children,
ORM–D); including the safe operation of stop sig-
(9) Reporting hazardous materials ac- nal devices, external mirror systems,
cidents; and flashing lights, and other warning and
(10) Tunnels and railroad crossings. passenger safety devices required for
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(b) Hazardous materials handling in- school buses by State or Federal law or
cluding: regulation.
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Federal Motor Carrier Safety Administration, DOT § 383.131
(ii) Emergency exits and procedures the different vehicle groups and en-
for safely evacuating passengers in an dorsements; and
emergency. (v) Details of testing procedures, in-
(iii) State and Federal laws and regu- cluding the purpose of the tests, how to
lations related to safely traversing respond, and directions for taking the
railroad-highway grade crossings; and tests.
(iv) Operating practices and proce- (2) A State may include any addi-
dures not otherwise specified. tional State-specific information re-
(3) Skills test. Must take a driving lated to the CDL testing and licensing
skills test in a school bus of the same
process.
vehicle group (see § 383.91(a)) as the
(b) Examiner information manual. (1) A
school bus applicant will drive.
(b) Exception. Knowledge and skills State must provide an FMCSA pre-ap-
tests administered before September proved examiner information manual
30, 2002 and approved by FMCSA as that conforms to model requirements
meeting the requirements of this sec- in paragraphs (b)(1)(i–xi) of this section
tion, meet the requirements of para- to all knowledge and skills test exam-
graphs (a)(2) and (3) of this section iners. To be pre-approved by FMCSA,
the examiner information manual must
[76 FR 26891, May 9, 2011]
be comparable to AAMVA’s ‘‘2005 CDL
Test System (July 2010 or newer
Subpart H—Tests Version) Model CDL Examiner’s Man-
ual,’’ which FMCSA has approved and
SOURCE: 53 FR 27657, July 21, 1988, unless provides to all State Driver Licensing
otherwise noted. Agencies. The examiner information
§ 383.131 Test manuals. manual must include:
(i) Information on driver application
(a) Driver information manual. (1) A procedures contained in § 383.71, State
State must provide an FMCSA pre-ap- procedures described in § 383.73, and
proved driver information manual to a other appropriate driver information
CLP or CDL applicant. The manual
contained in subpart E of this part;
must be comparable to the American
Association of Motor Vehicle Adminis- (ii) Details on information that must
trators’ (AAMVA’s) ‘‘2005 CDL Test be given to the applicant;
System (July 2010 or newer Version) (iii) Details on how to conduct the
Model Commercial Driver Manual’’, knowledge and skills tests;
which FMCSA has approved and pro- (iv) Scoring procedures and minimum
vides to all State Driver Licensing passing scores for the knowledge and
Agencies. The driver information man- skills tests;
ual must include: (v) Information for selecting driving
(i) Information on how to obtain a test routes for the skills tests;
CDL and endorsements; (vi) List of the skills to be tested;
(ii) Information on the requirements (vii) Instructions on where and how
described in § 383.71, the implied con- the skills will be tested;
sent to alcohol testing described in (viii) How performance of the skills
§ 383.72, the procedures and penalties will be scored;
contained in § 383.51(b) to which a CLP
(ix) Causes for automatic failure of
or CDL holder is exposed for refusal to
skills tests;
comply with such alcohol testing,
State procedures described in § 383.73, (x) Standardized scoring sheets for
and other appropriate driver informa- the skills tests; and
tion contained in subpart E of this (xi) Standardized driving instructions
part; for the applicants.
(iii) Information on vehicle groups (2) A State may include any addi-
and endorsements as specified in sub- tional State-specific information re-
part F of this part; lated to the CDL testing process.
(iv) The substance of the knowledge
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§ 383.133 49 CFR Ch. III (10–1–20 Edition)
in written form, verbally, or in auto- newed, all three segments of the skills
mated format and can be administered test must be retaken.
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Federal Motor Carrier Safety Administration, DOT § 383.141
(d) Passing scores for the knowledge (6) If a driver applicant who performs
and skills tests must meet the stand- the skills test in a combination vehicle
ards contained in § 383.135. requiring a Group A CDL equipped with
[76 FR 26891, May 9, 2011, as amended at 81
any non-fifth wheel connection is
FR 68347, Oct. 4, 2016] issued a CDL, a tractor-trailer restric-
tion must be indicated on the license
§ 383.135 Passing knowledge and skills as required in § 383.95(d).
tests. (7) If a driver applicant wants to re-
(a) Knowledge tests. (1) To achieve a move any of the restrictions in para-
passing score on each of the knowledge graphs (b)(3) through (5) of this section,
tests, a driver applicant must correctly the applicant does not have to retake
answer at least 80 percent of the ques- the complete skills test. The State
tions. may administer a modified skills test
(2) If a driver applicant who fails the that demonstrates that the applicant
air brake portion of the knowledge test can safely and effectively operate the
(scores less than 80 percent correct) is vehicle’s full air brakes, air over hy-
issued a CLP or CDL, an air brake re- draulic brakes, and/or manual trans-
striction must be indicated on the CLP mission. In addition, to remove the air
or CDL as required in § 383.95(a). brake or full air brake restriction, the
(3) A driver applicant who fails the applicant must successfully perform
combination vehicle portion of the the air brake pre-trip inspection and
knowledge test (scores less than 80 per- pass the air brake knowledge test.
cent correct) must not be issued a (8) If a driver applicant wants to re-
Group A CLP or CDL. move the tractor-trailer restriction in
(b) Skills Tests. (1) To achieve a pass- paragraph (b)(6) of this section, the ap-
ing score on each segment of the skills plicant must retake all three skills
test, the driver applicant must dem- tests in a representative tractor-trail-
onstrate that he/she can successfully er.
perform all of the skills listed in (c) State recordkeeping. States must
§ 383.113 and attain the scores listed in record and retain the knowledge and
Appendix A of the examiner manual re- skills test scores of tests taken by driv-
ferred to in § 383.131(b) for the type of er applicants. The test scores must ei-
vehicle being used in the test. ther be made part of the driver history
(2) A driver applicant who does not record or be linked to the driver his-
obey traffic laws, causes an accident tory record in a separate file.
during the test, or commits any other [76 FR 26892, May 9, 2011]
offense listed as a reason for automatic
failure in the standards contained in
the driver and examiner manuals re-
Subpart I—Requirement for Trans-
ferred to in §§ 383.131(a) and (b), must portation Security Administra-
automatically fail the test. tion approval of hazardous
(3) If a driver applicant who performs materials endorsement
the skills test in a vehicle not equipped issuances
with any type of air brake system is
issued a CDL, an air brake restriction § 383.141 General.
must be indicated on the license as re- (a) Applicability. This section applies
quired in § 383.95(a). to State agencies responsible for
(4) If a driver applicant who performs issuing hazardous materials endorse-
the skills test in a vehicle equipped ments for a CDL, and applicants for
with air over hydraulic brakes is issued such endorsements.
a CDL, a full air brake restriction must (b) Prohibition. A state may not issue,
be indicated on the license as required renew, upgrade, or transfer a hazardous
in § 383.95(b). material endorsement for a CDL to any
(5) If a driver applicant who performs individual authorizing that individual
the skills test in a vehicle equipped to operate a commercial motor vehicle
with an automatic transmission is transporting a hazardous material in
issued a CDL, a manual transmission commerce unless—
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restriction must be indicated on the li- (1) The Transportation Security Ad-
cense as required in § 383.95(c). ministration has determined that the
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§ 383.151 49 CFR Ch. III (10–1–20 Edition)
individual does not pose a security risk § 383.153 Information on the CLP and
warranting denial of the endorsement; CDL documents and applications.
or (a) Commercial Driver’s License. All
(2) The individual holds a valid TWIC. CDLs must contain all of the following
(c) Individual notification. At least 60 information:
days prior to the expiration date of the (1) The prominent statement that the
CDL or hazardous materials endorse- license is a ‘‘Commercial Driver’s Li-
ment, a State must notify the holder of cense’’ or ‘‘CDL,’’ except as specified in
a hazardous materials endorsement paragraph (c) of this section.
that the individual must pass a Trans- (2) The full name, signature, and
portation Security Administration se- mailing or residential address in the li-
curity threat assessment process as censing State of the person to whom
part of any application for renewal of such license is issued.
the hazardous materials endorsement. (3) Physical and other information to
The notice must advise a driver that, identify and describe such person in-
in order to expedite the security cluding date of birth (month, day, and
screening process, he or she should file year), sex, and height.
a renewal application as soon as pos- (4) Color photograph, digitized color
sible, but not later than 30 days before image, or black and white laser en-
the date of expiration of the endorse- graved photograph of the driver. The
ment. An individual who does not suc- State may issue a temporary CDL
cessfully complete the Transportation without a photo or image, if it is valid
Security Administration security for no more than 60 days.
threat assessment process referenced in (5) The driver’s State license number.
paragraph (b) of this section may not (6) The name of the State which
be issued a hazardous materials en- issued the license.
dorsement. (7) The date of issuance and the date
(d) Hazardous materials endorsement of expiration of the license.
renewal cycle. Each State must require (8) The group or groups of commer-
that hazardous materials endorsements cial motor vehicle(s) that the driver is
be renewed every 5 years or less so that authorized to operate, indicated as fol-
individuals are subject to a Transpor- lows:
tation Security Administration secu- (i) A for Combination Vehicle;
rity screening requirement referenced (ii) B for Heavy Straight Vehicle; and
in paragraph (b) of this section at least (iii) C for Small Vehicle.
every 5 years. (9) The endorsement(s) for which the
driver has qualified, if any, indicated
[68 FR 24850, May 5, 2003, as amended at 68 as follows:
FR 63033, Nov. 7, 2003; 69 FR 51393, Aug. 19,
2004; 70 FR 22271, Apr. 29, 2005; 77 FR 59825,
(i) T for double/triple trailers;
Oct. 1, 2012; 84 FR 52034, Oct. 1, 2019] (ii) P for passenger;
(iii) N for tank vehicle;
(iv) H for hazardous materials;
Subpart J—Commercial Learner’s (v) X for a combination of tank vehi-
Permit and Commercial Driv- cle and hazardous materials endorse-
er’s License Documents ments;
(vi) S for school bus; and
SOURCE: 53 FR 27657, July 21, 1988, unless (vii) At the discretion of the State,
otherwise noted. additional codes for additional
groupings of endorsements, as long as
§ 383.151 General. each such discretionary code is fully
(a) The CDL must be a document explained on the front or back of the
that is easy to recognize as a CDL. CDL document.
(b) The CLP must be a separate docu- (10) The restriction(s) placed on the
ment from the CDL or non-CDL. driver from operating certain equip-
ment or vehicles, if any, indicated as
(c) At a minimum, the CDL and the
follows:
CLP must contain the information
(i) L for No Air brake equipped CMV;
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specified in § 383.153.
(ii) Z for No Full air brake equipped
[76 FR 26892, May 9, 2011] CMV;
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Federal Motor Carrier Safety Administration, DOT § 383.153
aminers, other trainees, and the CDL (2) The State must provide the Social
holder accompanying the CLP holder Security Number to the CDLIS.
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§ 383.155 49 CFR Ch. III (10–1–20 Edition)
(3) The State must not display the Subpart B—Minimum Standards for
Social Security Number on the CLP or Substantial Compliance by States
CDL.
384.201 Testing program.
(f) The State may issue a multipart 384.202 Test standards.
CDL provided that: 384.203 Driving while under the influence.
(1) Each document is explicitly tied 384.204 CLP or CDL issuance and informa-
to the other document(s) and to a sin- tion.
gle driver’s record. 384.205 CDLIS information.
(2) The multipart license document 384.206 State record checks.
includes all of the data elements speci- 384.207 Notification of licensing.
384.208 Notification of disqualification.
fied in this section.
384.209 Notification of traffic violations.
(g) Current CDL holders are not re- 384.210 Limitation on licensing.
quired to be retested to determine 384.211 Surrender of old licenses.
whether they need any of the new re- 384.212 Domicile requirement.
strictions for no full air brakes, no 384.213 Penalties for driving without a prop-
manual transmission and no tractor- er CDL.
trailer. These new restrictions only 384.214 Reciprocity.
apply to CDL applicants who take 384.215 First offenses.
skills tests on or after July 8, 2015 (in- 384.216 Second offenses.
384.217 Drug offenses.
cluding those applicants who pre-
384.218 Second serious traffic violation.
viously held a CDL before the new re- 384.219 Third serious traffic violation.
strictions went into effect). 384.220 Problem Driver Pointer System in-
(h) On or after July 8, 2015 current formation.
CLP and CDL holders who do not have 384.221 Out-of-service regulations (intoxi-
the standardized endorsement and re- cating beverage).
striction codes and applicants for a 384.222 Violation of out-of-service orders.
CLP or CDL are to be issued CLPs with 384.223 Railroad-highway grade crossing
the standardized codes upon initial violation.
384.224 Noncommercial motor vehicle viola-
issuance, renewal or upgrade and CDLs tions.
with the standardized codes upon ini- 384.225 CDLIS driver recordkeeping.
tial issuance, renewal, upgrade or 384.226 Prohibition on masking convictions.
transfer. 384.227 Record of digital image or photo-
graph.
[76 FR 26892, May 9, 2011; 76 FR 39018, July 5,
384.228 Examiner training and record
2011, as amended at 78 FR 17881, Mar. 25, 2013;
checks.
78 FR 58480, Sept. 24, 2013]
384.229 Skills test examiner auditing and
monitoring.
§ 383.155 Tamperproofing require- 384.230 Entry-level driver certification.
ments. 384.231 Satisfaction of State disqualifica-
States must make the CLP and CDL tion requirement.
tamperproof to the maximum extent 384.232 Required timing of record checks.
practicable. At a minimum, a State 384.233 Background records checks.
must use the same tamperproof method 384.234 Driver medical certification record-
keeping.
used for noncommercial drivers’ li- 384.235 Commercial driver’s license Drug
censes. and Alcohol Clearinghouse.
[76 FR 26893, May 9, 2011] 384.236 Entry-level driver training provider
notification.
compliance.
384.105 Definitions. 384.309 Results of compliance determina-
384.107 Matter incorporated by reference. tion.
278
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Federal Motor Carrier Safety Administration, DOT § 384.107
279
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§ 384.201 49 CFR Ch. III (10–1–20 Edition)
this material at NARA, call 202–741– found to have operated a CMV with an
6030, or go to: http://www.archives.gov/ alcohol concentration of 0.04, except li-
federallregister/ censing sanctions including suspension,
codeloflfederallregulations/ revocation, or cancellation.
ibrllocations.html. (c) A State that enacts and enforces
(b) The American Association of through licensing sanctions the dis-
Motor Vehicle Administrators qualifications prescribed in § 383.51(b)
(AAMVA), 4301 Wilson Boulevard, Suite of this subchapter for driving a CMV
400, Arlington, VA 22203, (703) 522–1300,
with a 0.04 alcohol concentration and
http://www.aamva.org.
(1) ‘‘Commercial Driver’s License In- gives full faith and credit to the dis-
formation System (CDLIS) State Pro- qualification of CMV drivers by other
cedures Manual,’’ Release 5.3.2.1, Au- States shall be deemed in substantial
gust 2013, incorporation by reference compliance with section 12009(a)(3) of
approved for §§ 384.225(f) and 384.231(d). the Commercial Motor Vehicle Safety
(2) [Reserved] Act of 1986 (49 U.S.C. 31311(a)(3)).
[79 FR 59456, Oct. 2, 2014] [67 FR 49761, July 31, 2002]
280
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Federal Motor Carrier Safety Administration, DOT § 384.208
based on that information, issue the li- plicant has previously been licensed to
cense or, in the case of adverse infor- operate any type of motor vehicle dur-
mation, promptly implement the dis- ing the previous 10 years.
qualifications, licensing limitations, (ii) Within the time period specified
denials, and/or penalties that are called in § 384.232, request the complete driver
for in any applicable section(s) of this record from all States where the appli-
subpart. cant was licensed within the previous
[76 FR 26894, May 9, 2011] 10 years to operate any type of motor
vehicle.
§ 384.206 State record checks. (2) States receiving a request for the
(a) Issuing State’s records. (1) Before driver record of a person currently or
issuing, renewing, or upgrading a CLP previously licensed by the State must
or issuing, renewing, upgrading or provide the information within 30 days.
transferring CDL to any person, the (3) Based on the findings of the other
driver’s State of record must, within State record checks, the issuing State
the period of time specified in § 384.232, must, in the case of adverse informa-
check its own driver records as follows: tion regarding the applicant, promptly
(i) The driver record of the person in implement the disqualifications, li-
accordance with § 383.73(b)(3)(i) of this censing limitations, denials, or pen-
chapter; and alties that are called for in any appli-
(ii) For a driver who certifies that
cable section(s) of this subpart.
his/her type of driving is non-excepted,
interstate commerce according to [76 FR 26894, May 9, 2011, as amended at 78
§ 383.71(b)(1)(i) of this chapter, the med- FR 58480, Sept. 24, 2013; 79 FR 59456, Oct. 2,
ical certification status information on 2014]
the person’s CDLIS driver record.
(2) Based on the findings of its own § 384.207 Notification of licensing.
State record check, the State of record Within the period defined in
must do one of the following as appro- § 383.73(h) of this subchapter, the State
priate: must:
(i) Issue, renew, upgrade, or transfer (a) Notify the operator of the CDLIS
the applicant’s CLP or CDL; of each CLP or CDL issuance;
(ii) In the event the State obtains ad-
(b) Notify the operator of the CDLIS
verse information regarding the appli-
of any changes in driver identification
cant, promptly implement the disquali-
information; and
fications, licensing limitations, deni-
als, or penalties that are called for in (c) In the case of transfer issuances,
any applicable section(s) of this sub- implement the Change State of Record
part; or transaction, as specified by the oper-
(iii) In the event there is no informa- ator of the CDLIS, in conjunction with
tion regarding the driver’s self-certifi- the previous State of record and the
cation for driving type required by operator of the CDLIS.
§ 383.71(b)(1), or for a driver who is re- [59 FR 26039, May 18, 1994, as amended at 76
quired by § 383.71(h) to be ‘‘certified,’’ if FR 26894, May 9, 2011]
the medical certification status of the
individual is ‘‘non-certified,’’ the State § 384.208 Notification of disqualifica-
must deny the CDL action requested by tion.
the applicant and initiate a downgrade
of the CDL, if required by § 383.73(o)(4) (a) No later than 10 days after dis-
of this chapter. qualifying a CLP or CDL holder li-
(b) Other States’ records. (1) Before the censed by another State, or disquali-
initial or transfer issuance of a CLP or fying an out-of-State CLP or CDL hold-
CDL to a person, and before renewing er’s privilege to operate a commercial
or upgrading a CLP or CDL held by any motor vehicle for at least 60 days, the
person, the issuing State must: State must notify the State that issued
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§ 384.209 49 CFR Ch. III (10–1–20 Edition)
(b) The notification must include entity of the State in which the convic-
both the disqualification and the viola- tion occurs must report that convic-
tion that resulted in the disqualifica- tion to the Federal Convictions and
tion, revocation, suspension, or can- Withdrawal Database.
cellation. The notification and the in- (c) Notification of traffic violations
formation it provides must be recorded must be made within 10 days of the
on the CDLIS driver record. conviction.
[67 FR 49761, July 31, 2002, as amended at 73
[78 FR 60232, Oct. 1, 2013, as amended at 79 FR
FR 73125, Dec. 1, 2008; 76 FR 26894, May 9,
2011] 59456, Oct. 2, 2014; 80 FR 36932, June 29, 2015]
282
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Federal Motor Carrier Safety Administration, DOT § 384.219
the State within 30 days after estab- quent offense as described in Table 1 to
lishing domicile in the State, as speci- § 383.51 of this subchapter.
fied in § 383.71(c) of this subchapter. (b) Special rule for certain lifetime dis-
[76 FR 26894, May 9, 2011, as amended at 79 qualifications. A driver disqualified for
FR 59456, Oct. 2, 2014] life under Table 1 to § 383.51 may be re-
instated after 10 years by the driver’s
§ 384.213 State penalties for drivers of State of residence if the requirements
CMVs. of § 383.51(a)(6) have been met.
The State must impose on drivers of [67 FR 49762, July 31, 2002; 78 FR 58480, Sept.
CMVs appropriate civil and criminal 24, 2013]
penalties that are consistent with the
penalties prescribed under part 383, § 384.217 Drug offenses.
subpart D, of this subchapter.
The State must disqualify from oper-
[67 FR 49761, July 31, 2002] ating a CMV for life any person who is
convicted, as defined in § 383.5 of this
§ 384.214 Reciprocity. subchapter, in any State or jurisdic-
The State must allow any person to tion of a first offense of using a CMV
operate a CMV in the State who is not (or, in the case of a CLP or CDL holder,
disqualified from operating a CMV and a CMV or a non-CMV) in the commis-
who holds a CLP or CDL that is— sion of a felony described in item (9) of
(a) Issued to him or her by his/her Table 1 to § 383.51 of this subchapter.
State or jurisdiction of domicile in ac- The State shall not apply the special
cordance with part 383 of this sub- rule in § 384.216(b) to lifetime disquali-
chapter; fications imposed for controlled sub-
(b) Not disqualified; and stance felonies as detailed in item (9)
(c) Valid, under the terms of part 383, of Table 1 to § 383.51 of this subchapter.
subpart F, of this subchapter, for the
type of vehicle being driven. [76 FR 26895, May 9, 2011]
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§ 384.220 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 384.228
every person who is issued a CDL, as (ii) Drivers covered by CDL program.
required under § 383.153. The digital (iii) CDL vehicle classification.
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§ 384.228 49 CFR Ch. III (10–1–20 Edition)
(iv) CDL endorsements and restric- (f) Require State and third party
tions. CDL test examiners to successfully
(2) Overview of the CDL tests: complete a refresher training course
(i) CDL test, classifications, and en- and examination every four years to
dorsements. maintain their CDL test examiner cer-
(ii) Different examinations. tification. The refresher training
(iii) Representative vehicles. course must cover at least the fol-
(iv) Validity and reliability. lowing:
(v) Test maintenance. (1) For CDL knowledge test exam-
(3) Knowledge tests: iners, the three units of training de-
(i) General knowledge tests. scribed in paragraph (c) of this section.
(ii) Specialized knowledge tests. (2) For CDL skills test examiners, the
(iii) Selecting the appropriate tests five units of training described in para-
and test forms. graph (d) of this section.
(iv) Knowledge test administration. (3) Any State specific material and
(d) The training course for CDL skills information related to administering
test examiners must cover at least the CDL knowledge and skills tests.
following five units of instruction: (4) Any new Federal CDL regulations,
(1) Introduction to CDL Licensing updates to administering the tests, and
System: new safety related equipment on the
(i) The Commercial Motor Vehicle vehicles.
Safety Act of 1986. (g) Complete nationwide criminal
(ii) Drivers covered by CDL program. background check of all skills test ex-
(iii) CDL vehicle classification. aminers prior to certifying them to ad-
(iv) CDL endorsements and restric- minister CDL skills tests.
tions. (h)(1) Complete nationwide criminal
(2) Overview of the CDL tests: background check of all State and
(i) CDL test, classifications, and en- third party test examiners at the time
dorsements. of hiring.
(ii) Different examinations. (2) Complete nationwide criminal
(iii) Representative vehicles. background check of any State and
(iv) Validity and reliability. third party current test examiner who
(v) Test maintenance. has not had a nationwide criminal
(3) Vehicle inspection test: background check.
(i) Test overview. (3) Criteria for not passing the crimi-
(ii) Description of safety rules. nal background check must include at
(iii) Test scoring procedures. least the following:
(iv) Scoring standards. (i) Any felony conviction within the
(v) Calculating final score. last 10 years; or
(4) Basic control skills testing: (ii) Any conviction involving fraudu-
(i) Setting up the basic control skills lent activities.
course. (i) Maintain a record of the results of
(ii) Description of safety rules. the criminal background check and
(iii) General scoring procedures. CDL examiner test training and certifi-
(iv) Administering the test. cation of all CDL test examiners.
(v) Calculating the score. (j) Rescind the certification to ad-
(5) Road test: minister CDL tests of all test exam-
(i) Setting up the road test. iners who do not successfully complete
(ii) Required maneuvers. the required refresher training every 4
(iii) Administering the road test. years.
(iv) Calculating the score. (k) The eight units of training de-
(e) Require all third party skills test scribed in paragraphs (c) and (d) of this
examiners to successfully complete a section may be supplemented with
formal CDL test examiner training State-specific material and informa-
course and examination before certi- tion related to administering CDL
fying them to administer CDL skills knowledge and skills tests.
tests. The training course must cover
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Federal Motor Carrier Safety Administration, DOT § 384.231
§ 384.229 Skills test examiner auditing with subpart F of part 380 of this sub-
and monitoring. chapter so long as they obtain a CDL
To ensure the integrity of the CDL before the CLP or renewed CLP ex-
skills testing program, the State must: pires.
(a) At least once every 2 years, con- (2) A State may not issue a CDL to
duct unannounced, on-site inspections individuals who obtain a CLP on or
of third party testers’ and examiners’ after February 7, 2022, unless they com-
records, including comparison of the ply with subpart F of part 380 of this
CDL skills test results of applicants subchapter.
who are issued CDLs with the CDL [81 FR 88803, Dec. 8, 2016, as amended at 85
scoring sheets that are maintained in FR 6101, Feb. 4, 2020]
the third party testers’ files;
(b) At least once every 2 years, con- § 384.231 Satisfaction of State disquali-
duct covert and overt monitoring of ex- fication requirement.
aminations performed by State and (a) Applicability. The provisions of
third party CDL skills test examiners. §§ 384.203, 384.206(b), 384.210, 384.213,
(c) Establish and maintain a database 384.215 through 384.219, 384.221 through
to track pass/fail rates of applicants 384.224, and 384.231 of this part apply to
tested by each State and third party the State of licensure of the person af-
CDL skills test examiner, in order to fected by the provision. The provisions
focus covert and overt monitoring on of § 384.210 of this part also apply to any
examiners who have unusually high State to which a person makes applica-
pass or failure rates; tion for a transfer CDL.
(d) Establish and maintain a data- (b) Required action—(1) CLP or CDL
base of all third party testers and ex- holders. A State must satisfy the re-
aminers, which at a minimum tracks quirement of this subpart that the
the dates and results of audits and State disqualify a person who holds a
monitoring actions by the State, the CLP or a CDL by, at a minimum, dis-
dates third party testers were certified qualifying the person’s CLP or CDL for
by the State, and name and identifica- the applicable period of disqualifica-
tion number of each third party CDL tion.
skills test examiner; (2) A person required to have a CLP or
(e) Establish and maintain a database CDL. A State must satisfy the require-
of all State CDL skills examiners, ment of this subpart that the State dis-
which at a minimum tracks the dates qualify a person required to have a
and results of monitoring action by the CLP or CDL who is convicted of an of-
State, and the name and identification fense or offenses necessitating disquali-
number of each State CDL skills exam- fication under § 383.51 of this sub-
iner; and chapter. At a minimum, the State
(f) Establish and maintain a database must implement the limitation on li-
that tracks skills tests administered censing provisions of § 384.210 and the
by each State and third party CDL timing and recordkeeping require-
skills test examiner’s name and identi- ments of paragraphs (c) and (d) of this
fication number. section so as to prevent such a person
[76 FR 26896, May 9, 2011, as amended at 78 from legally obtaining a CLP or CDL
FR 58481, Sept. 24, 2013; 79 FR 59456, Oct. 2, from any State during the applicable
2014] disqualification period(s) specified in
this subpart.
§ 384.230 Entry-level driver certifi- (c) Required timing. The State must
cation. disqualify a driver as expeditiously as
(a) Beginning on February 7, 2022, a possible.
State must comply with the require- (d) Recordkeeping requirements. The
ments of § 383.73(b)(3)(ii), (b)(10), and State must conform to the require-
(e)(8) to verify that the applicant com- ments of the CDLIS State Procedures
pleted the training prescribed in sub- Manual (incorporated by reference in
part F of part 380. § 384.107(b).) These requirements in-
(b)(1) A State may issue a CDL to in- clude the maintenance of such driver
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dividuals who obtain a CLP before Feb- records and driver identification data
ruary 7, 2022, who have not complied on the CDLIS as the FMCSA finds are
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§ 384.232 49 CFR Ch. III (10–1–20 Edition)
288
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Federal Motor Carrier Safety Administration, DOT § 384.307
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§ 384.309 49 CFR Ch. III (10–1–20 Edition)
[62 FR 37152, July 11, 1997, as amended at 78 not check the Commercial Driver’s Li-
FR 58481, Sept. 24, 2013] cense Information System (CDLIS)
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Federal Motor Carrier Safety Administration, DOT Pt. 385
and/or national Driver Registry prob- tion has been corrected. If the FMCSA
lem Driver Pointer System (PDPS) as determines that the condition causing
required by § 383.73 of this subchapter the decertification has been satisfac-
when issuing, renewing or upgrading a torily corrected, the Administrator
CLP or issuing, renewing, upgrading or will issue a recertification order, in-
transferring a CDL. cluding any conditions that must be
(2) The State does not disqualify met in order to begin issuing CLPs and
drivers convicted of disqualifying of- CDLs in 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
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.
(4) The State does not properly ad- (h) Validity of previously issued CLPs
minister knowledge and/or skills tests or CDLs. A CLP or CDL issued by a
to CLP or CDL applicants or drivers. State prior to the date the State is pro-
(5) The State fails to submit a correc- hibited from issuing CLPs or CDLs in
tive action plan for a substantial com- accordance with provisions of para-
pliance deficiency or fails to imple- graph (a) of this section, will remain
ment a corrective action plan within valid until its stated expiration date.
the agreed time frame. [76 FR 26896, May 9, 2011, as amended at 78
(c) Standard for considering defi- FR 17882, Mar. 25, 2013]
ciencies. The deficiencies described in
paragraph (b) of this section must af- § 384.407 [Reserved]
fect a substantial number of either
CLP and CDL applicants or drivers. § 384.409 Notification of noncompli-
(d) Decertification: Preliminary deter- ance.
mination. If the Administrator finds If FMCSA determines that a State is
that a State is in substantial non- not in substantial compliance with
compliance with subpart B of this part, § 384.209, or if FMCSA issues a decerti-
as indicated by the factors specified in fication order prohibiting a State from
paragraph (b) of this section, among issuing commercial driver’s licenses,
other things, the FMCSA will inform FMCSA will notify commercial learn-
the State that it has made a prelimi- er’s permit and commercial driver’s li-
nary determination of noncompliance cense holders of these actions by publi-
and that the State’s CDL program may cation of a FEDERAL REGISTER notice.
therefore be decertified. Any response The notification will advise commer-
from the State, including factual or cial learner’s permit and commercial
legal arguments or a plan to correct driver’s license holders that they must
the noncompliance, must be submitted comply with the self-reporting require-
within 30 calendar days after receipt of ments of § 383.31(a) with respect to con-
the preliminary determination. victions obtained in that State until
(e) Decertification: Final determination. such time that FMCSA determines the
If, after considering all material sub- State to be in substantial compliance.
mitted by the State in response to the [78 FR 24688, Apr. 26, 2013]
FMCSA preliminary determination,
the Administrator decides that sub-
stantial noncompliance exists, which
PART 385—SAFETY FITNESS
warrants decertification of the CDL PROCEDURES
program, he/she will issue a decerti-
fication order prohibiting the State Subpart A—General
from issuing CLPs and CDLs until such Sec.
time as the Administrator determines 385.1 Purpose and scope.
that the condition(s) causing the decer- 385.3 Definitions and acronyms.
tification has (have) been corrected. 385.4 Matter incorporated by reference.
(f) Recertification of a State. The Gov- 385.5 Safety fitness standard.
385.7 Factors to be considered in deter-
ernor of the decertified State or his/her mining a safety rating.
designated representative must submit
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Pt. 385 49 CFR Ch. III (10–1–20 Edition)
385.13 Unsatisfactory rated motor carriers; 385.308 What may cause an expedited ac-
prohibition on transportation; ineligi- tion?
bility for Federal contracts. 385.309 What is the purpose of the safety
385.14 Motor carriers, brokers, and freight audit?
forwarders delinquent in paying civil 385.311 What will the safety audit consist
penalties: prohibition on transportation. of?
385.15 Administrative review. 385.313 Who will conduct the safety audit?
385.17 Change to safety rating based upon 385.315 Where will the safety audit be con-
corrective actions. ducted?
385.19 Safety fitness information. 385.317 Will a safety audit result in a safety
fitness determination by the FMCSA?
Subpart B—Safety Monitoring System for 385.319 What happens after the completion
Mexico-Domiciled Carriers of the safety audit?
385.321 What failures of safety management
385.101 Definitions. practices disclosed by the safety audit
385.103 Safety monitoring system. will result in a notice to a new entrant
385.105 Expedited action. that its USDOT new entrant registration
385.107 The safety audit. will be revoked?
385.109 The compliance review. 385.323 May FMCSA extend the period under
385.111 Suspension and revocation of Mex- § 385.319(c) for a new entrant to take cor-
ico-domiciled carrier registration. rective action to remedy its safety man-
385.113 Administrative review. agement practices?
385.115 Reapplying for provisional registra- 385.325 What happens after a new entrant
tion. has been notified under 385.319(c) to take
385.117 Duration of safety monitoring sys- corrective action to remedy its safety
tem. management practices?
385.119 Applicability of safety fitness and 385.327 May a new entrant request an ad-
enforcement procedures. ministrative review of a determination
of a failed safety audit?
Subpart C—Certification of Safety Auditors, 385.329 May a new entrant that has had its
Safety Investigators, and Safety Inspectors USDOT new entrant registration revoked
and its operations placed out of service
385.201 Who is qualified to perform a review reapply?
of a motor carrier or an intermodal 385.329T May a new entrant that has had its
equipment provider? USDOT new entrant registration revoked
385.203 What are the requirements to obtain and its operations placed out of service
and maintain certification? reapply?
385.205 How can a person who has lost his or 385.331 What happens if a new entrant oper-
her certification be re-certified? ates a CMV after having been issued an
order placing its interstate operations
Subpart D—New Entrant Safety Assurance out of service?
Program 385.333 What happens at the end of the 18-
month safety monitoring period?
385.301 What is a motor carrier required to 385.335 If the FMCSA conducts a compliance
do before beginning interstate oper- review on a new entrant, will the new en-
ations? trant also be subject to a safety audit?
385.301T What is a motor carrier required to 385.337 What happens if a new entrant re-
do before beginning interstate oper- fuses to permit a safety audit to be per-
ations? formed on its operations?
385.302 [Reserved]
385.303 How does a motor carrier register Subpart E—Hazardous Materials Safety
with the FMCSA? Permits
385.303T How does a motor carrier register
with the FMCSA? 385.401 What is the purpose and scope of this
385.304 [Reserved] subpart?
385.305 What happens after the FMCSA re- 385.402 What definitions are used in this
ceives a request for new entrant registra- subpart?
tion? 385.403 Who must hold a safety permit?
385.305T What happens after the FMCSA re- 385.405 How does a motor carrier apply for a
ceives a request for new entrant registra- safety permit?
tion? 385.405T How does a motor carrier apply for
385.306 What are the consequences of fur- a safety permit?
nishing misleading information or mak- 385.407 What conditions must a motor car-
ing a false statement in connection with rier satisfy for FMCSA to issue a safety
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Federal Motor Carrier Safety Administration, DOT § 385.1
385.409T When may a temporary safety per- 385.711 Administrative review.
mit be issued to a motor carrier? 385.713 Reapplying for new entrant registra-
385.411 Must a motor carrier obtain a safety tion.
permit if it has a State permit? 385.713T Reapplying for new entrant reg-
385.413 What happens if a motor carrier re- istration.
ceives a proposed safety rating that is 385.715 Duration of safety monitoring sys-
less than Satisfactory? tem.
385.415 What operational requirements 385.717 Applicability of safety fitness and
apply to the transportation of a haz- enforcement procedures.
ardous material for which a permit is re-
quired? Subpart J [Reserved]
385.417 Is a motor carrier’s safety permit
number available to others? Subpart K—Pattern or Practice of Safety
385.419 How long is a safety permit effec- Violations by Motor Carrier Management
tive?
385.419T How long is a safety permit effec- 385.901 Applicability.
tive? 385.903 Definitions.
385.421 Under what circumstances will a 385.905 Suspension or revocation of registra-
safety permit be subject to revocation or tion.
suspension by FMCSA? 385.907 Regulatory noncompliance.
385.421T Under what circumstances will a 385.909 Pattern or practice.
safety permit be subject to revocation or 385.911 Suspension proceedings.
suspension by FMCSA? 385.913 Revocation proceedings.
385.423 Does a motor carrier have a right to 385.915 Petitions for rescission.
an administrative review of a denial, sus- 385.917 Other orders unaffected; not exclu-
pension, or revocation of a safety per- sive remedy.
mit? 385.919 Penalties.
385.921 Service and computation of time.
Subpart F—Intermodal Equipment
Providers Subpart L—Reincarnated Carriers
385.501 Roadability review. 385.1001 Applicability.
385.503 Results of roadability review. 385.1003 Definitions.
385.1005 Prohibition.
Subpart G [Reserved] 385.1007 Determination of violation.
385.1009 Suspension proceedings.
Subpart H—Special Rules for New Entrant 385.1011 Revocation proceedings.
Non-North America-Domiciled Carriers 385.1013 Petitions for rescission.
385.1015 Other orders unaffected; not exclu-
385.601 Scope of rules. sive remedy.
385.603 Application. 385.1017 Penalties.
385.603T Application. 385.1019 Service and computation of time.
385.605 New entrant registration driver’s li- APPENDIX A TO PART 385—EXPLANATION OF
cense and drug and alcohol testing re- SAFETY AUDIT EVALUATION CRITERIA
quirements. APPENDIX B TO PART 385—EXPLANATION OF
385.607 FMCSA action on the application. SAFETY RATING PROCESS
385.607T FMCSA action on the application.
385.609 Requirement to notify FMCSA of AUTHORITY: 49 U.S.C. 113, 504, 521(b), 5105(d),
change in applicant information. 5109, 5113 13901–13905, 13908, 31135, 31136, 31144,
385.609T Requirement to notify FMCSA of 31148, and 31502; Sec. 113(a), Pub. L. 103–311;
change in applicant information. Sec. 408, Pub. L. 104–88, 109 Stat. 803, 958; Sec.
350 of Pub. L. 107–87, 115 Stat. 833, 864; and 49
APPENDIX TO SUBPART H OF PART 385—EXPLA- CFR 1.87.
NATION OF PRE-AUTHORIZATION SAFETY
AUDIT EVALUATION CRITERIA FOR NON- SOURCE: 53 FR 50968, Dec. 19, 1988, unless
NORTH AMERICA-DOMICILED MOTOR CAR- otherwise noted.
RIERS
EDITORIAL NOTE: Nomenclature changes to
part 385 appear at 66 FR 49872, Oct. 1, 2001.
Subpart I—Safety Monitoring System for
Non-North America-Domiciled Carriers
Subpart A—General
385.701 Definitions.
385.703 Safety monitoring system. § 385.1 Purpose and scope.
385.705 Expedited action.
385.707 The compliance review. (a) This part establishes the
FMCSA’s procedures to determine the
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§ 385.3 49 CFR Ch. III (10–1–20 Edition)
carriers to take remedial action when HMRs means the Hazardous Mate-
required, and to prohibit motor car- rials Regulations (49 CFR parts 171–
riers receiving a safety rating of ‘‘un- 180).
satisfactory’’ from operating a CMV. Motor carrier operations in commerce
(b) This part establishes the safety means commercial motor vehicle
assurance program for a new entrant transportation operations either—
motor carrier initially seeking to reg- (1) In interstate commerce, or
ister with FMCSA to conduct inter- (2) Affecting interstate commerce.
state operations. It also describes the New entrant is a motor carrier not
consequences that will occur if the new domiciled in Mexico that applies for a
entrant fails to maintain adequate United States Department of Transpor-
basic safety management controls. tation (DOT) identification number in
(c) This part establishes the safety order to initiate operations in inter-
permit program for a motor carrier to state commerce.
transport the types and quantities of New entrant registration is the reg-
hazardous materials listed in § 385.403. istration (US DOT number) granted a
(d) The provisions of this part apply new entrant before it can begin inter-
to all motor carriers subject to the re- state operations in an 18-month moni-
quirements of this subchapter, except toring period. A safety audit must be
non-business private motor carriers of performed on a new entrant’s oper-
passengers. ations within 12 months after receipt of
(e) Subpart F of this part establishes its US DOT number for motor carriers
procedures to perform a roadability re- of property and 120 days for motor car-
view of intermodal equipment pro- riers of passengers, and it must be
viders to determine their compliance found to have adequate basic safety
with the applicable Federal Motor Car- management controls to continue oper-
rier Safety Regulations (FMCSRs). ating in interstate commerce at the
[65 FR 50934, Aug. 22, 2000, as amended at 67 end of the 18-month period.
FR 31982, May 13, 2002; 69 FR 39366, June 30, PHMSA means Pipeline and Haz-
2004; 73 FR 76818, Dec. 17, 2008; 75 FR 17240, ardous Materials Safety Administra-
Apr. 5, 2010; 77 FR 28450, May 14, 2012] tion.
Preventable accident on the part of a
§ 385.3 Definitions and acronyms.
motor carrier means an accident (1)
Applicable safety regulations or require- that involved a commercial motor ve-
ments means 49 CFR chapter III, sub- hicle, and (2) that could have been
chapter B—Federal Motor Carrier Safe- averted but for an act, or failure to act,
ty Regulations or, if the carrier is an by the motor carrier or the driver.
intrastate motor carrier subject to the Reviews. For the purposes of this
hazardous materials safety permit re- part:
quirements in subpart E of this part, (1) Compliance review means an on-
the equivalent State standards; and 49 site examination of motor carrier oper-
CFR chapter I, subchapter C—Haz- ations, such as drivers’ hours of serv-
ardous Materials Regulations. ice, maintenance and inspection, driver
CMV means a commercial motor ve- qualification, commercial drivers li-
hicle as defined in § 390.5 of this sub- cense requirements, financial responsi-
chapter. bility, accidents, hazardous materials,
Commercial motor vehicle shall have and other safety and transportation
the same meaning as described in § 390.5 records to determine whether a motor
of this subchapter, except that this def- carrier meets the safety fitness stand-
inition will also apply to intrastate ard. A compliance review may be con-
motor vehicles subject to the haz- ducted in response to a request to
ardous materials safety permit require- change a safety rating, to investigate
ments of subpart E of this part. potential violations of safety regula-
FMCSA means the Federal Motor tions by motor carriers, or to inves-
Carrier Safety Administration. tigate complaints or other evidence of
FMCSRs mean Federal Motor Carrier safety violations. The compliance re-
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Safety Regulations (49 CFR parts 350– view may result in the initiation of an
399). enforcement action.
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Federal Motor Carrier Safety Administration, DOT § 385.4
(2) Safety audit means an examination (4) Unrated carrier means that a safe-
of a motor carrier’s operations to pro- ty rating has not been assigned to the
vide educational and technical assist- motor carrier by the FMCSA.
ance on safety and the operational re-
[53 FR 50968, Dec. 19, 1988, as amended at 56
quirements of the FMCSRs and appli- FR 40805, Aug. 16, 1991; 62 FR 60042, Nov. 6,
cable HMRs and to gather critical safe- 1997; 67 FR 12779, Mar. 19, 2002; 67 FR 31983,
ty data needed to make an assessment May 13, 2002; 69 FR 39367, June 30, 2004; 72 FR
of the carrier’s safety performance and 36788, July 5, 2007; 73 FR 76818, Dec. 17, 2008;
basic safety management controls. 75 FR 17240, Apr. 5, 2010; 77 FR 28450, May 14,
Safety audits do not result in safety 2012; 78 FR 58481, Sept. 24, 2013; 78 FR 60232,
ratings. Oct. 1, 2013; 80 FR 59073, Oct. 1, 2015]
(3) Safety management controls means
§ 385.4 Matter incorporated by ref-
the systems, policies programs, prac- erence.
tices, and procedures used by a motor
carrier to ensure compliance with ap- (a) Certain material is incorporated
plicable safety and hazardous materials by reference into this part with the ap-
regulations which ensure the safe proval of the Director of the Federal
movement of products and passengers Register under 5 U.S.C. 552(a) and 1
through the transportation system, CFR part 51. To enforce any edition
and to reduce the risk of highway acci- other than that specified in this sec-
dents and hazardous materials inci- tion, FMCSA must publish notification
dents resulting in fatalities, injuries, of the change in the FEDERAL REGISTER
and property damage. and the material must be available to
(4) Roadability review means an on- the public. All approved material is
site examination of the intermodal available for inspection at Federal
equipment provider’s compliance with Motor Carrier Safety Administration,
the applicable FMCSRs. Office of Enforcement and Compliance,
Safety ratings. (1) Satisfactory safety 1200 New Jersey Ave. SE, Washington,
rating means that a motor carrier has DC 20590; Attention: Chief, Compliance
in place and functioning adequate safe- Division at (202) 366–1812, and is avail-
ty management controls to meet the able from the sources listed in para-
safety fitness standard prescribed in graph (b) of this section. It is also
§ 385.5. Safety management controls are available for inspection at the National
adequate if they are appropriate for the Archives and Records Administration
size and type of operation of the par- (NARA). For information on the avail-
ticular motor carrier. ability of this material at NARA, email
(2) Conditional safety rating means a fedreg.legal@nara.gov or go to http://
motor carrier does not have adequate www.archives.gov/federal-register/cfr/ibr-
safety management controls in place to locations.html.
ensure compliance with the safety fit- (b) Commercial Vehicle Safety Alli-
ness standard that could result in oc- ance, 6303 Ivy Lane, Suite 310, Green-
currences listed in § 385.5 (a) through belt, MD 20770, telephone (301) 830–6143,
(k). www.cvsa.org.
(3) Unsatisfactory safety rating means (1) ‘‘North American Standard Out-
a motor carrier does not have adequate of-Service Criteria and Level VI In-
safety management controls in place to spection Procedures and Out-of-Service
ensure compliance with the safety fit- Criteria for Commercial Highway Vehi-
ness standard which has resulted in oc- cles Transporting Transuranics and
currences listed in § 385.5 (a) through Highway Route Controlled Quantities
(k). of Radioactive Materials as defined in
49 CFR part 173.403,’’ April 1, 2019, in-
corporation by reference approved for
§ 385.415(b).
(2) [Reserved]
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§ 385.5 49 CFR Ch. III (10–1–20 Edition)
controls. The adequacy of controls may whether the present operations of the
be questioned if their degree of for- motor carrier are consistent with the
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Federal Motor Carrier Safety Administration, DOT § 385.13
safety fitness standard set forth in tions. The process and the time limits
§ 385.5, and assign a safety rating ac- are described in § 385.17.
cordingly.
[65 FR 50934, Aug. 22, 2000, as amended at 75
(b) Unless otherwise specifically pro- FR 17241, Apr. 5, 2010; 77 FR 28450, May 14,
vided in this part, a safety rating will 2012]
be issued to a motor carrier within 30
days following the completion of a § 385.13 Unsatisfactory rated motor
compliance review. carriers; prohibition on transpor-
tation; ineligibility for Federal con-
[62 FR 60042, Nov. 6, 1997, as amended at 75 tracts.
FR 17241, Apr. 5, 2010; 77 FR 28450, May 14,
2012] (a) Generally, a motor carrier rated
‘‘unsatisfactory’’ is prohibited from op-
§ 385.11 Notification of safety fitness erating a CMV. Information on motor
determination. carriers, including their most current
(a) The FMCSA will provide a motor safety rating, is available from the
carrier written notice of any safety FMCSA Safety and Fitness Electronic
rating resulting from a compliance re- Records System website at https://
view as soon as practicable, but not safer.fmcsa.dot.gov, or by telephone at
later than 30 days after the review. The (800) 832–5660.
notice will take the form of a letter (1) Motor carriers transporting haz-
issued from the FMCSA’s headquarters ardous materials in quantities requir-
office and will include a list of FMCSR ing placarding, and motor carriers
and HMR compliance deficiencies transporting passengers in a CMV, are
which the motor carrier must correct. prohibited from operating a CMV in
(b) If the safety rating is ‘‘satisfac- motor carrier operations in commerce
tory’’ or improves a previous ‘‘unsatis- beginning on the 46th day after the
factory’’ safety rating, it is final and date of the FMCSA notice of proposed
becomes effective on the date of the ‘‘unsatisfactory’’ rating.
notice. (2) All other motor carriers rated as
(c) In all other cases, a notice of a a result of reviews are prohibited from
proposed safety rating will be issued. It operating a CMV in motor carrier oper-
becomes the final safety rating after ations in commerce beginning on the
the following time periods: 61st day after the date of the FMCSA
(1) For motor carriers transporting notice of proposed ‘‘unsatisfactory’’
hazardous materials in quantities re- rating. If FMCSA determines that the
quiring placarding or transporting pas- motor carrier is making a good-faith
sengers by CMV—45 days after the date effort to improve its safety fitness,
of the notice. FMCSA may allow the motor carrier to
(2) For all other motor carriers oper- operate for up to 60 additional days.
ating CMVs—60 days after the date of (b) A Federal agency must not use a
the notice. motor carrier that holds an ‘‘unsatis-
(d) A proposed safety rating of ‘‘un- factory’’ rating to transport passengers
satisfactory’’ is a notice to the motor in a CMV or to transport hazardous
carrier that the FMCSA has made a materials in quantities requiring
preliminary determination that the placarding.
motor carrier is ‘‘unfit’’ to continue (c) A Federal agency must not use a
operating in interstate commerce, and motor carrier for other CMV transpor-
that the prohibitions in § 385.13 will be tation if that carrier holds an ‘‘unsat-
imposed after 45 or 60 days if necessary isfactory’’ rating.
safety improvements are not made. (d) Penalties. (1) If a proposed ‘‘unsat-
(e) A motor carrier may request the isfactory’’ safety rating becomes final,
FMCSA to perform an administrative FMCSA will issue an order placing out
review of a proposed or final safety rat- of service the motor carrier’s oper-
ing. The process and the time limits ations in commerce. The out-of-service
are described in § 385.15. order shall apply both to the motor
(f) A motor carrier may request a carrier’s operations in interstate com-
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§ 385.14 49 CFR Ch. III (10–1–20 Edition)
(2) If a motor carrier’s intrastate op- payment plan, may be prohibited from
erations are declared out of service by operating in interstate commerce, and
a State, FMCSA must issue an order its registration may be suspended
placing out of service the carrier’s op- under the provisions of 49 CFR 386.84.
erations in interstate commerce. The
[65 FR 78427, Dec. 15, 2000]
following conditions apply:
(i) The State that issued the intra- § 385.15 Administrative review.
state out-of-service order participates
in the Motor Carrier Safety Assistance (a) A motor carrier may request
Program and uses the FMCSA safety FMCSA to conduct an administrative
rating methodology provided in this review if it believes FMCSA has com-
part; and mitted an error in assigning its pro-
(ii) The motor carrier has its prin- posed or final safety rating in accord-
cipal place of business in the State ance with § 385.11.
that issued the out-of-service order. (b) The motor carrier’s request must
(iii) The order prohibiting the motor explain the error it believes the
carrier from operating a CMV in inter- FMCSA committed in issuing the safe-
state commerce shall remain in effect ty rating. The motor carrier must in-
until the State determines that the clude a list of all factual and proce-
carrier is fit. dural issues in dispute, and any infor-
(3) Any motor carrier that operates mation or documents that support its
CMVs in violation of this section is argument.
subject to the penalty provisions of 49 (c) The motor carrier must submit its
U.S.C. 521(b) and appendix B to part 386 request in writing to the Chief Safety
of the FMCSRs. Officer, Federal Motor Carrier Safety
(e) Revocation of operating authority. Administration, 1200 New Jersey Ave.,
If a proposed ‘‘unsatisfactory’’ safety SE., Washington, DC 20590–0001.
rating or a proposed determination of (1) If a motor carrier has received a
unfitness becomes final, FMCSA will, notice of a proposed ‘‘unsatisfactory’’
following notice, issue an order revok- safety rating, it should submit its re-
ing the operating authority of the quest within 15 days from the date of
owner or operator. For purposes of this the notice. This time frame will allow
section, the term ‘‘operating author- the FMCSA to issue a written decision
ity’’ means the registration required before the prohibitions outlined in
under 49 U.S.C. 13902 and § 392.9a of this § 385.13 (a)(1) and (2) take effect. Failure
subchapter. Any motor carrier that op- to petition within this 15-day period
erates CMVs after revocation of its op- may prevent the FMCSA from issuing a
erating authority will be subject to the final decision before such prohibitions
penalty provisions listed in 49 U.S.C. take effect.
14901. (2) A motor carrier must make a re-
quest for an administrative review
[65 FR 50934, Aug. 22, 2000, as amended at 72 within 90 days of the date of the pro-
FR 36788, July 5, 2007; 72 FR 55700, Oct. 1,
2007; 75 FR 17241, Apr. 5, 2010; 77 FR 28450,
posed safety rating issued under § 385.11
28454, May 14, 2012; 84 FR 51432, Sept. 30, 2019] (c) or a final safety rating issued under
§ 385.11 (b), or within 90 days after de-
§ 385.14 Motor carriers, brokers, and nial of a request for a change in rating
freight forwarders delinquent in under § 385.17(i).
paying civil penalties: prohibition (d) The FMCSA may ask the motor
on transportation. carrier to submit additional data and
(a) A CMV owner or operator that has attend a conference to discuss the safe-
failed to pay civil penalties imposed by ty rating. If the motor carrier does not
the FMCSA, or has failed to abide by a provide the information requested, or
payment plan, may be prohibited from does not attend the conference, the
operating CMVs in interstate com- FMCSA may dismiss its request for re-
merce under 49 CFR 386.83. view.
(b) A broker, freight forwarder, or (e) The FMCSA will notify the motor
for-hire motor carrier that has failed carrier in writing of its decision fol-
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to pay civil penalties imposed by the lowing the administrative review. The
FMCSA, or has failed to abide by a FMCSA will complete its review:
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Federal Motor Carrier Safety Administration, DOT § 385.17
(1) Within 30 days after receiving a (2) Within 45 days for all other motor
request from a hazardous materials or carriers.
passenger motor carrier that has re- (f) The filing of a request for change
ceived a proposed or final ‘‘unsatisfac- to a proposed or final safety rating
tory’’ safety rating. under this section does not stay the 45-
(2) Within 45 days after receiving a day period specified in § 385.13(a)(1) for
request from any other motor carrier motor carriers transporting passengers
that has received a proposed or final or hazardous materials in quantities
‘‘unsatisfactory’’ safety rating. requiring placarding.
(f) The decision constitutes final (g) FMCSA may allow a motor car-
agency action. rier (except a motor carrier trans-
(g) Any motor carrier may request a porting passengers or a motor carrier
rating change under the provisions of transporting hazardous materials in
§ 385.17. quantities requiring placarding) with a
[65 FR 50935, Aug. 22, 2000, as amended at 72 proposed rating of ‘‘unsatisfactory’’ to
FR 55701, Oct. 1, 2007; 75 FR 17241, Apr. 5, 2010; continue its motor carrier operations
77 FR 28450, 28454, May 14, 2012] in commerce for up to 60 days beyond
the 60 days specified in the proposed
§ 385.17 Change to safety rating based
upon corrective actions. rating, if FMCSA determines that the
motor carrier is making a good faith
(a) A motor carrier that has taken effort to improve its safety status. This
action to correct the deficiencies that additional period would begin on the
resulted in a proposed or final rating of 61st day after the date of the notice of
‘‘conditional’’ or ‘‘unsatisfactory’’ may
proposed ‘‘unsatisfactory’’ rating.
request a rating change at any time.
(h) If the FMCSA determines that the
(b) A motor carrier must make this
motor carrier has taken the corrective
request in writing to the FMCSA Serv-
ice Center for the geographic area actions required and that its oper-
where the carrier maintains its prin- ations currently meet the safety stand-
cipal place of business. The addresses ard and factors specified in §§ 385.5 and
and geographical boundaries of the 385.7, the agency will notify the motor
Service Centers are listed in § 390.27 of carrier in writing of its upgraded safe-
this chapter. ty rating.
(c) The motor carrier must base its (i) If the FMCSA determines that the
request upon evidence that it has motor carrier has not taken all the
taken corrective actions and that its corrective actions required, or that its
operations currently meet the safety operations still fail to meet the safety
standard and factors specified in §§ 385.5 standard and factors specified in §§ 385.5
and 385.7. The request must include a and 385.7, the agency will notify the
written description of corrective ac- motor carrier in writing.
tions taken, and other documentation (j) Any motor carrier whose request
the carrier wishes the FMCSA to con- for change is denied in accordance with
sider. paragraph (i) of this section may re-
(d) The FMCSA will make a final de- quest administrative review under the
termination on the request for change procedures of § 385.15. The motor car-
based upon the documentation the rier must make the request within 90
motor carrier submits, and any addi- days of the denial of the request for a
tional relevant information. rating change. If the proposed rating
(e) The FMCSA will perform reviews has become final, it shall remain in ef-
of requests made by motor carriers fect during the period of any adminis-
with a proposed or final ‘‘unsatisfac-
trative review.
tory’’ safety rating in the following
time periods after the motor carrier’s [65 FR 50935, Aug. 22, 2000, as amended at 72
request: FR 36788, July 5, 2007; 75 FR 17241, Apr. 5,
(1) Within 30 days for motor carriers 2010; 77 FR 28450, May 14, 2012; 77 FR 64762,
transporting passengers in CMVs or Oct. 23, 2012]
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§ 385.19 49 CFR Ch. III (10–1–20 Edition)
ing the safety monitoring period estab- Certificate of Registration under part
lished in this subpart. 368 of this subchapter.
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Federal Motor Carrier Safety Administration, DOT § 385.109
(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 (b) Failure to respond to an agency
carrier provisional operating authority demand for a written response dem-
under part 365 of this subchapter. onstrating corrective action within 30
days will result in the suspension of
§ 385.105 Expedited action. 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 (c) A satisfactory response to a writ-
audit or compliance review, or may be ten demand for corrective action does
required to submit a written response not excuse a carrier from the require-
demonstrating corrective action: ment that it undergo a safety audit or
(1) Using drivers not possessing, or compliance review, as appropriate, dur-
operating without, a valid Licencia ing the provisional registration period.
Federal de Conductor. An invalid
Licencia Federal de Conductor includes § 385.107 The safety audit.
one that is falsified, revoked, expired, (a) The criteria used in a safety audit
or missing a required endorsement. to determine whether a Mexico-domi-
(2) Operating vehicles that have been ciled carrier exercises the necessary
placed out of service for violations of basic safety management controls are
the Commercial Vehicle Safety Alli- specified in appendix A to this part.
ance (CVSA) North American Standard (b) If the FMCSA determines, based
Out-of-Service Criteria, without mak- on the safety audit, that the Mexico-
ing the required repairs. domiciled carrier has adequate basic
(3) Involvement in, due to carrier act safety management controls, the
or omission, a hazardous materials in- FMCSA will provide the carrier written
cident within the United States involv- notice of this finding as soon as prac-
ing: ticable, but not later than 45 days after
(i) A highway route controlled quan- the completion of the safety audit. The
tity of a Class 7 (radioactive) material carrier’s Certificate of Registration
as defined in § 173.403 of this title; will remain provisional and the car-
(ii) Any quantity of a Class 1, Divi- rier’s on-highway performance will
sion 1.1, 1.2, or 1.3 explosive as defined continue to be closely monitored for
in § 173.50 of this title; or the remainder of the 18-month provi-
(iii) Any quantity of a poison inhala- sional registration period.
tion hazard Zone A or B material as de- (c) If the FMCSA determines, based
fined in § 173.115, § 173.132, or § 173.133 of on the safety audit, that the Mexico-
this title. domiciled carrier’s basic safety man-
(4) Involvement in, due to carrier act agement controls are inadequate, it
or omission, two or more hazardous will initiate a suspension and revoca-
material incidents occurring within tion proceeding in accordance with
the United States and involving any § 385.111 of this subpart.
hazardous material not listed in para- (d) The safety audit is also used to
graph (a)(3) of this section and defined assess the basic safety management
in chapter I of this title. controls of Mexico-domiciled appli-
(5) Using a driver who tests positive cants for provisional operating author-
for controlled substances or alcohol or ity to operate beyond United States
who refuses to submit to required con- municipalities and commercial zones
trolled substances or alcohol tests. on the United States-Mexico border
(6) Operating within the United under § 365.507 of this subchapter.
States a motor vehicle that is not in-
sured as required by part 387 of this § 385.109 The compliance review.
chapter. (a) The criteria used in a compliance
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§ 385.111 49 CFR Ch. III (10–1–20 Edition)
terial error is a mistake or series of § 385.105, that the carrier has taken the
mistakes that resulted in an erroneous necessary corrective action.
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Federal Motor Carrier Safety Administration, DOT § 385.117
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§ 385.119 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 385.303T
§ 385.205 How can a person who has In addition, for-hire motor carriers
lost his or her certification be re- must obtain operating authority from
certified? FMCSA following the registration pro-
He or she must successfully complete cedures described in 49 CFR part 365,
the requirements of § 385.203(a) and (b). unless providing transportation exempt
from 49 CFR part 365 registration re-
quirements.
Subpart D—New Entrant Safety
(b) This subpart applies to motor car-
Assurance Program riers domiciled in the United States
and Canada.
SOURCE: 67 FR 31983, May 13, 2002, unless (c) A Mexico-domiciled motor carrier
otherwise noted. of property or passengers must register
§ 385.301 What is a motor carrier re- with the FMCSA by following the reg-
quired to do before beginning inter- istration procedures described in 49
state operations? CFR part 365 or 368, as appropriate. The
regulations in this subpart do not
(a) Before a motor carrier of property
apply to Mexico-domiciled carriers.
or passengers begins interstate oper-
ations, it must register with FMCSA [82 FR 5304, Jan. 17, 2017]
and receive a USDOT Number. In addi-
tion, for-hire motor carriers must ob- § 385.302 [Reserved]
tain operating authority from FMCSA,
EFFECTIVE DATE NOTE: At 82 FR 5304, Jan.
unless exclusively providing transpor-
17, 2017, § 385.302 was suspended, effective Jan.
tation exempt from the commercial 14, 2017.
registration requirements in 49 U.S.C.
chapter 139. Both the USDOT Number § 385.303 How does a motor carrier
and operating authority are obtained register with the FMCSA?
by following registration procedures A motor carrier registers with
described in 49 CFR part 390, subpart E. FMCSA by completing Form MCSA–1,
Part 365 of this chapter provides de- the URS online application which is
tailed instructions for obtaining oper- available at http://www.fmcsa.dot.gov/
ating authority. urs. Complete instructions for the
(b) This subpart applies to motor car- Form MCSA–1 also are available at the
riers domiciled in the United States same location.
and Canada.
(c) The regulations in this subpart do [80 FR 63707, Oct. 21, 2015]
not apply to a Mexico-domiciled motor EFFECTIVE DATE NOTE: At 82 FR 5304, Jan.
carrier. A Mexico-domiciled motor car- 17, 2017, § 385.303 was suspended, effective Jan.
rier of property or passengers must 14, 2017.
register with FMCSA by following the
registration procedures described in 49 § 385.303T How does a motor carrier
CFR parts 365, 368 and 390. Parts 365 register with the FMCSA?
(for long-haul carriers) and 368 (for A motor carrier may contact the
commercial zone carriers) of this chap- FMCSA by internet
ter provide detailed information about (www.fmcsa.dot.gov); or Washington, DC
how a Mexico-domiciled motor carrier headquarters by mail at, Federal Motor
may obtain operating authority. Carrier Safety Administration, 1200
New Jersey Ave. SE., Washington, DC
[80 FR 63707, Oct. 21, 2015]
20590–0001; fax 202–366–3477; or telephone
EFFECTIVE DATE NOTE: At 82 FR 5304, Jan. 1–800–832–5660, and request the applica-
17, 2017, § 385.301 was suspended, effective Jan. tion materials for a new entrant motor
14, 2017.
carrier. Forms can also be downloaded
§ 385.301T What is a motor carrier re- from https://www.fmcsa.dot.gov/registra-
quired to do before beginning inter- tion/registration-forms. A motor carrier
state operations? which does not already have a USDOT
number must apply online via the Uni-
(a) Before a motor carrier of property
fied Registration System (URS) at
or passengers begins interstate oper-
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www.fmcsa.dot.gov/urs.
ations, it must register with the
FMCSA and receive a USDOT number. [82 FR 5304, Jan. 17, 2017]
305
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§ 385.304 49 CFR Ch. III (10–1–20 Edition)
FMCSA Internet Web site operation for enough time to have suf-
(www.fmcsa.dot.gov) to secure and/or ficient records to allow the agency to
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Federal Motor Carrier Safety Administration, DOT § 385.311
evaluate the adequacy of its basic safe- (6) Operating a commercial motor ve-
ty management controls. This period hicle without the levels of financial re-
will generally be at least 3 months. sponsibility required under part 387 of
(c) All records and documents re- this subchapter.
quired for the safety audit shall be (7) Having a driver or vehicle out-of-
made available for inspection upon re- service rate of 50 percent or more based
quest by an individual certified under upon at least three inspections occur-
FMCSA regulations to perform safety ring within a consecutive 90-day pe-
audits. riod.
(b) If a new entrant that commits
[67 FR 31983, May 13, 2002, as amended at 73 any of the actions listed in paragraph
FR 76488, Dec. 16, 2008]
(a) of this section:
§ 385.308 What may cause an expedited (1) Has not had a safety audit or com-
action? pliance review, FMCSA will schedule
the new entrant for a safety audit as
(a) A new entrant that commits any soon as practicable.
of the following actions, identified (2) Has had a safety audit or compli-
through roadside inspections or by any ance review, FMCSA will send the new
other means, may be subjected to an entrant a notice advising it to submit
expedited safety audit or a compliance evidence of corrective action within 30
review or may be required to submit a days of the service date of the notice.
written response demonstrating correc- (c) FMCSA may schedule a compli-
tive action: ance review of a new entrant that com-
(1) Using a driver not possessing a mits any of the actions listed in para-
valid commercial driver’s license to op- graph (a) of this section at any time if
erate a commercial motor vehicle as it determines the violation warrants a
defined under § 383.5 of this chapter. An thorough review of the new entrant’s
invalid commercial driver’s license in- operation.
cludes one that is falsified, revoked, (d) Failure to respond within 30 days
expired, or missing a required endorse- of the notice to an Agency demand for
ment. a written response demonstrating cor-
(2) Operating a vehicle placed out of rective action will result in the revoca-
service for violations of the Federal tion of the new entrant’s registration.
Motor Carrier Safety Regulations or
[73 FR 76488, Dec. 16, 2008, as amended at 80
compatible State laws and regulations
FR 59457, Oct. 2, 2015]
without taking necessary corrective
action. § 385.309 What is the purpose of the
(3) Being involved in, through action safety audit?
or omission, a hazardous materials re- The purpose of a safety audit is to:
portable incident, as described under 49 (a) Provide educational and technical
CFR 171.15 or 171.16, involving— assistance to the new entrant; and
(i) A highway route controlled quan- (b) Gather safety data needed to
tity of certain radioactive materials make an assessment of the new en-
(Class 7). trant’s safety performance and ade-
(ii) Any quantity of certain explo- quacy of its basic safety management
sives (Class 1, Division 1.1, 1.2, or 1.3). controls.
(iii) Any quantity of certain poison
inhalation hazard materials (Zone A or § 385.311 What will the safety audit
B). consist of?
(4) Being involved in, through action The safety audit will consist of a re-
or omission, two or more hazardous view of the new entrant’s safety man-
materials reportable incidents as de- agement systems and a sample of re-
scribed under 49 CFR 171.15 or 171.16, in- quired records to assess compliance
volving hazardous materials other than with the FMCSRs, applicable HMRs
those listed above. and related record-keeping require-
(5) Using a driver who tests positive ments as specified in appendix A of this
for controlled substances or alcohol or part. The areas for review include, but
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who refuses to submit to required con- are not limited to, the following:
trolled substances or alcohol tests. (a) Driver qualification;
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§ 385.313 49 CFR Ch. III (10–1–20 Edition)
308
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Federal Motor Carrier Safety Administration, DOT § 385.325
TABLE TO § 385.321—VIOLATIONS THAT WILL RESULT IN AUTOMATIC FAILURE OF THE NEW ENTRANT
SAFETY AUDIT
Guidelines for determining automatic
Violation failure of the safety audit
[73 FR 76489, Dec. 16, 2008, as amended at 77 tional time to determine the adequacy
FR 26989, May 8, 2012; 80 FR 59073, Oct. 1, of the corrective action.
2015]
[73 FR 76490, Dec. 16, 2008]
§ 385.323 May FMCSA extend the pe-
riod under § 385.319(c) for a new en- § 385.325 What happens after a new en-
trant has been notified under
trant to take corrective action to § 385.319(c) to take corrective action
remedy its safety management to remedy its safety management
practices? practices?
(a) FMCSA may extend the 60-day pe- (a) If the new entrant provides evi-
riod in § 385.319(c)(1) for up to an addi- dence of corrective action acceptable
tional 60 days provided FMCSA deter- to the FMCSA within the time period
mines the new entrant is making a provided in § 385.319(c), including any
good faith effort to remedy its safety extension of that period authorized
management practices. under § 385.323, the FMCSA will provide
(b) FMCSA may extend the 45-day pe- written notification to the new entrant
riod in § 385.319(c)(2) for up to an addi- that its DOT new entrant registration
tional 10 days if the new entrant has will not be revoked and it may con-
submitted evidence that corrective ac- tinue operations.
tions have been taken pursuant to (b) If a new entrant, after being noti-
fied that it is required to take correc-
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§ 385.327 49 CFR Ch. III (10–1–20 Edition)
fied that its basic safety management (2) Submit evidence that it has cor-
controls are inadequate. rected the deficiencies that resulted in
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Federal Motor Carrier Safety Administration, DOT § 385.333
to submit to a safety audit, it must do ing that its new entrant designation is
all of the following: removed and that its registration has
311
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§ 385.335 49 CFR Ch. III (10–1–20 Edition)
become permanent. Thereafter, the istration will be revoked and its inter-
FMCSA will evaluate the motor carrier state operations placed out of service
on the same basis as any other carrier. effective on the 11th day from the serv-
(d) If a safety audit or compliance re- ice date of the notice issued under
view has not been performed by the end paragraph (a) of this section.
of the 18-month monitoring period
through no fault of the motor carrier, [67 FR 31983, May 13, 2002, as amended at 73
the carrier will be permitted to con- FR 76491, Dec. 16, 2008]
tinue operating as a new entrant until
a safety audit or compliance review is Subpart E—Hazardous Materials
performed and a final determination is Safety Permits
made regarding the adequacy of its
safety management controls. Based on
SOURCE: 69 FR 39367, June 30, 2004, unless
the results of the safety audit or com-
otherwise noted.
pliance review, the FMCSA will either:
(1) Remove the new entrant designa- § 385.401 What is the purpose and
tion and notify the new entrant in scope of this subpart?
writing that its registration has be-
come permanent; or (a) This subpart contains the require-
(2) Revoke the new entrant registra- ments for obtaining and maintaining a
tion in accordance with § 385.319(c). safety permit to transport certain haz-
ardous materials. No one may trans-
§ 385.335 If the FMCSA conducts a port the materials listed in § 385.403
compliance review on a new en- without a safety permit required by
trant, will the new entrant also be
subject to a safety audit? this subpart.
(b) This subpart includes:
If the FMCSA conducts a compliance
review on a new entrant that has not (1) Definitions of terms used in this
previously been subject to a safety subpart;
audit and issues a safety fitness deter- (2) The list of hazardous materials
mination, the new entrant will not that require a safety permit if trans-
have to undergo a safety audit under ported in commerce;
this subpart. However, the new entrant (3) The requirements and procedures
will continue to be subject to the 18- a carrier must follow in order to be
month safety-monitoring period prior issued a safety permit and maintain a
to removal of the new entrant designa- safety permit;
tion. (4) The procedures for a motor carrier
to follow to initiate an administrative
§ 385.337 What happens if a new en-
trant refuses to permit a safety review of a denial, suspension, or rev-
audit to be performed on its oper- ocation of a safety permit.
ations?
§ 385.402 What definitions are used in
(a) If a new entrant refuses to permit
this subpart?
a safety audit to be performed on its
operations, FMCSA will provide the (a) The definitions in parts 390 and
carrier with written notice that its 385 of this chapter apply to this sub-
registration will be revoked and its op- part, except where otherwise specifi-
erations placed out of service unless cally noted.
the new entrant agrees in writing, (b) As used in this part,
within 10 days from the service date of Hazardous material has the same
the notice, to permit the safety audit meaning as under § 171.8 of this title: A
to be performed. The refusal to permit substance or material that the Sec-
a safety audit to be performed may retary of Transportation has deter-
subject the new entrant to the penalty mined is capable of posing an unreason-
provisions of 49 U.S.C. 521(b)(2)(A), as able risk to health, safety, and prop-
adjusted for inflation by 49 CFR part
erty when transported in commerce,
386, appendix B.
and has designated as hazardous under
(b) If the new entrant does not agree
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Federal Motor Carrier Safety Administration, DOT § 385.405
5103). The term includes hazardous sub- (a) A highway route-controlled quan-
stances, hazardous wastes, marine pol- tity of a Class 7 (radioactive) material,
lutants, elevated temperature mate- as defined in § 173.403 of this title;
rials, materials designated as haz- (b) More than 25 kg (55 pounds) net
ardous in the Hazardous Materials weight of a Division 1.1, 1.2, or 1.3 (ex-
Table (see § 172.101 of this title), and plosive) material or articles or an
materials that meet the defining cri- amount of a Division 1.5 (explosive)
teria for hazard classes and divisions in material requiring placarding under
part 173 of this title. part 172 of this title;
Hazmat employee has the same mean- (c) More than one liter (1.08 quarts)
ing as under § 171.8 of this title: A per- per package of a ‘‘material poisonous
son who is employed by a hazmat em- by inhalation,’’ as defined in § 171.8 of
ployer as defined under § 171.8 of this this title, that meets the criteria for
title, and who in the course of employ- ‘‘hazard zone A,’’ as specified in
ment directly affects hazardous mate- § 173.116(a) or § 173.133(a) of this title;
rials transportation safety. This term (d) A ‘‘material poisonous by inhala-
includes an owner-operator of a motor tion,’’ in a ‘‘bulk packaging,’’ both as
vehicle that transports hazardous ma- defined in § 171.8 of this title, that
terials in commerce. This term in- meets the criteria for ‘‘hazard zone B,’’
cludes an individual who, during the as specified in § 173.116(a) or § 173.133(a);
course of employment: (e) A ‘‘material poisonous by inhala-
(1) Loads, unloads, or handles haz- tion,’’ as defined in § 171.8 of this title,
ardous materials; that meets the criteria for ‘‘hazard
(2) Manufactures, tests, reconditions, zone C,’’ or ‘‘hazard zone D,’’ as speci-
repairs, modifies, marks, or otherwise fied in § 173.116(a) of this title, in a
represents containers, drums, or pack- packaging having a capacity equal to
aging as qualified for use in the trans- or greater than 13,248 L (3,500) gallons;
portation of hazardous materials; or
(f) A shipment of methane (com-
(3) Prepares hazardous materials for
pressed or refrigerated liquid), natural
transportation;
gas (compressed or refrigerated liquid),
(4) Is responsible for the safe trans- or any other compressed or refrig-
portation of hazardous materials; or erated liquefied gas with a methane
(5) Operates a vehicle used to trans- content of at least 85 percent, in bulk
port hazardous materials. packaging having a capacity equal to
Liquefied natural gas (LNG) means a or greater than 13,248 L (3,500 gallons).
Division 2.1 liquefied natural gas mate-
rial that is transported in a liquid [69 FR 39367, June 30, 2004, as amended at 77
FR 59826, Oct. 1, 2012; 80 FR 59073, Oct. 1, 2015;
state with a methane content of 85 per-
84 FR 51433, Sept. 30, 2019]
cent or more.
Safety permit means a document § 385.405 How does a motor carrier
issued by FMCSA that contains a per- apply for a safety permit?
mit number and confers authority to (a) Application form. (1) To apply for a
transport in commerce the hazardous new safety permit or renewal of the
materials listed in § 385.403. safety permit, a motor carrier must
Shipment means the offering or load- complete and submit Form MCSA–1,
ing of hazardous materials at one load- the URS online application and meet
ing facility using one transport vehi- the requirements under 49 CFR part
cle, or the transport of that transport 390, subpart E.
vehicle. (2) Form MCSA–1, the URS online ap-
plication, will also satisfy the require-
§ 385.403 Who must hold a safety per- ments for obtaining and renewing a
mit? USDOT Number.
A motor carrier may not transport in (b) How to apply. Form MCSA–1, the
interstate or intrastate commerce any URS online application, is accessible,
of the following hazardous materials, including complete instructions, at
in the quantity indicated for each, un- http://www.fmcsa.dot.gov/urs.
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less the motor carrier holds a safety (c) Signature and certification. An offi-
permit: cial of the motor carrier must sign and
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§ 385.405T 49 CFR Ch. III (10–1–20 Edition)
314
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Federal Motor Carrier Safety Administration, DOT § 385.409T
mit for an additional 60 days, provided mit for an additional 60 days, provided
the motor carrier demonstrates that it the motor carrier demonstrates that it
315
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§ 385.411 49 CFR Ch. III (10–1–20 Edition)
(3) The telephone number, including tions must contain the name of the
area code or country code, of an em- driver, identification of the vehicle,
316
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Federal Motor Carrier Safety Administration, DOT § 385.421
permitted material(s) being trans- permit) is effective for two years, ex-
ported, and the date, location, and cept that:
time of each contact required under (a) A safety permit will be subject to
this section. revocation if a motor carrier fails to
(2) The motor carrier should contact submit a renewal application (Form
the Transportation Security Adminis- MCS–150B) in accordance with the
tration’s Transportation Security Co- schedule set forth for filing Form MCS–
ordination Center (703–563–3236 or 703– 150 in § 390.19T(a) of this chapter; and
563–3237) at any time the motor carrier (b) An existing safety permit will re-
suspects its shipment of a hazardous main in effect pending FMCSA’s proc-
material listed in § 385.403 is lost, sto- essing of an application for renewal if a
len or otherwise unaccounted for. motor carrier submits the required ap-
[69 FR 39367, June 30, 2004, as amended at 72 plication (Form MS–150B) in accord-
FR 55701, Oct. 1, 2007; 77 FR 59826, Oct. 1, 2012; ance with the schedule set forth in
84 FR 32326, July 8, 2019] § 390.19T(a)(2) and (3) of this chapter.
Unless suspended or revoked, a safety carrier is not fit to transport the haz-
permit (other than a temporary safety ardous materials listed in § 385.403;
317
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§ 385.421T 49 CFR Ch. III (10–1–20 Edition)
(8) A motor carrier fails to maintain EFFECTIVE DATE NOTE: At 82 FR 5305, Jan.
the minimum financial responsibility 17, 2017, § 385.421 was suspended, effective Jan.
required by § 387.9 of this chapter or an 14, 2017.
applicable State requirement;
§ 385.421T Under what circumstances
(9) A motor carrier fails to maintain will a safety permit be subject to
current hazardous materials registra- revocation or suspension by
tion with the Pipeline and Hazardous FMCSA?
Materials Safety Administration; or
(a) Grounds. A safety permit will be
(10) A motor carrier loses its oper- subject to revocation or suspension by
ating rights or has its registration sus- FMCSA for the following reasons:
pended in accordance with § 386.83 or (1) A motor carrier fails to submit a
§ 386.84 of this chapter for failure to pay renewal application (Form MCS–150B)
a civil penalty or abide by a payment in accordance with the schedule set
plan. forth in § 390.19T(a)(2) and (3) of this
(b) Determining whether a safety permit chapter;
is revoked or suspended. A motor car- (2) A motor carrier provides any false
rier’s safety permit will be suspended or misleading information on its appli-
the first time any of the conditions cation (Form MCS–150B) or as part of
specified in paragraph (a) of this sec- updated information it is providing on
tion are found to apply to the motor Form MCS–150B (see § 385.405T(d)).
carrier. A motor carrier’s safety permit (3) A motor carrier is issued a final
will be revoked if any of the conditions safety rating that is less than Satisfac-
specified in paragraph (a) of this sec- tory;
tion are found to apply to the motor
(4) A motor carrier fails to maintain
carrier and the carrier’s safety permit
a satisfactory security plan as set forth
has been suspended in the past for any
in § 385.407(b);
of the reasons specified in paragraph
(5) A motor carrier fails to comply
(a) of this section.
with applicable requirements in the
(c) Effective date of suspension or rev- FMCSRs, the HMRs, or compatible
ocation. A suspension or revocation of a State requirements governing the
safety permit is effective: transportation of hazardous materials,
(1) Immediately after FMCSA deter- in a manner showing that the motor
mines that an imminent hazard exists, carrier is not fit to transport the haz-
after FMCSA issues a final safety rat- ardous materials listed in § 385.403;
ing that is less than Satisfactory, or (6) A motor carrier fails to comply
after a motor carrier loses its oper- with an out-of-service order;
ating rights or has its registration sus- (7) A motor carrier fails to comply
pended for failure to pay a civil pen- with any other order issued under the
alty or abide by a payment plan; FMCSRs, the HMRs, or compatible
(2) Thirty (30) days after service of a State requirements governing the
written notification that FMCSA pro- transportation of hazardous materials,
poses to suspend or revoke a safety per- in a manner showing that the motor
mit, if the motor carrier does not sub- carrier is not fit to transport the haz-
mit a written request for administra- ardous materials listed in § 385.403;
tive review within that time period; or (8) A motor carrier fails to maintain
(3) As specified in § 385.423(c), when the minimum financial responsibility
the motor carrier submits a written re- required by § 387.9 of this chapter or an
quest for administrative review of applicable State requirement;
FMCSA’s proposal to suspend or revoke (9) A motor carrier fails to maintain
a safety permit. current hazardous materials registra-
(4) A motor carrier whose safety per- tion with the Pipeline and Hazardous
mit has been revoked will not be issued Materials Safety Administration; or
a replacement safety permit or tem- (10) A motor carrier loses its oper-
porary safety permit for 365 days from ating rights or has its registration sus-
the time of revocation. pended in accordance with § 386.83 or
§ 386.84 of this chapter for failure to pay
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Federal Motor Carrier Safety Administration, DOT § 385.423
(b) Determining whether a safety permit rier has had an opportunity for admin-
is revoked or suspended. A motor car- istrative review of, or change to, a pro-
rier’s safety permit will be suspended posed safety rating, FMCSA’s issuance
the first time any of the conditions of a final safety rating constitutes
specified in paragraph (a) of this sec- final agency action, and a motor car-
tion are found to apply to the motor rier has no right to further administra-
carrier. A motor carrier’s safety permit tive review of FMCSA’s denial, suspen-
will be revoked if any of the conditions sion, or revocation of a safety permit
specified in paragraph (a) of this sec- when the motor carrier has been issued
tion are found to apply to the motor a final safety rating that is less than
carrier and the carrier’s safety permit Satisfactory.
has been suspended in the past for any (b) Failure to pay civil penalty or abide
of the reasons specified in paragraph by payment plan. If a motor carrier is
(a) of this section. notified that failure to pay a civil pen-
(c) Effective date of suspension or rev- alty will result in suspension or termi-
ocation. A suspension or revocation of a nation of its operating rights, it has
safety permit is effective: the right to an administrative review
(1) Immediately after FMCSA deter- of that proposed action in a show cause
mines that an imminent hazard exists, proceeding, as set forth in § 386.83(b) or
after FMCSA issues a final safety rat- § 386.84(b) of this chapter. The decision
ing that is less than Satisfactory, or by FMCSA’s Chief Safety Officer in the
after a motor carrier loses its oper- show cause proceeding constitutes final
ating rights or has its registration sus- agency action, and a motor carrier has
pended for failure to pay a civil pen- no right to further administrative re-
alty or abide by a payment plan; view of FMCSA’s denial, suspension, or
(2) Thirty (30) days after service of a revocation of a safety permit when the
written notification that FMCSA pro- motor carrier has lost its operating
poses to suspend or revoke a safety per- rights or had its registration suspended
mit, if the motor carrier does not sub- for failure to pay a civil penalty or
mit a written request for administra- abide by a payment plan.
tive review within that time period; or (c) Other grounds. Under cir-
(3) As specified in § 385.423(c), when cumstances other than those set forth
the motor carrier submits a written re- in paragraphs (a) and (b) of this sec-
quest for administrative review of tion, a motor carrier may submit a
FMCSA’s proposal to suspend or revoke written request for administrative re-
a safety permit. view within 30 days after service of a
(4) A motor carrier whose safety per- written notification that FMCSA has
mit has been revoked will not be issued denied a safety permit, that FMCSA
a replacement safety permit or tem- has immediately suspended or revoked
porary safety permit for 365 days from a safety permit, or that FMCSA has
the time of revocation. proposed to suspend or revoke a safety
[82 FR 5305, Jan. 17, 2017] 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).
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§ 385.501 49 CFR Ch. III (10–1–20 Edition)
1200 New Jersey Ave., SE., Washington, (6) The Chief Safety Officer will issue
DC 20590–0001. a final decision on any request for ad-
(2) A request for administrative re- ministrative review when:
view must state the specific grounds (i) The request for administrative re-
for review and include all information, view has not been referred to an admin-
evidence, and arguments upon which istrative law judge;
the motor carrier relies to support its (ii) A petition for review of a rec-
request for administrative review. ommended decision by an administra-
(3) Within 30 days after service of a tive law judge has not been remanded
written request for administrative re- to the administrative law judge for fur-
view, the Office of the Chief Counsel ther proceedings; or
(iii) An administrative law judge has
shall submit to the Chief Safety Officer
held further proceedings on a petition
a written response to the request for
for review and issued a supplementary
administrative review. The Office of
recommended decision.
the Chief Counsel must serve a copy of (7) The decision of the Chief Safety
its written response on the motor car- Officer (including a recommended deci-
rier requesting administrative review. sion of an administrative law judge
(4) The Chief Safety Officer may de- that becomes the decision of the Chief
cide a motor carrier’s request for ad- Safety Officer under paragraph (c)(5) of
ministrative review on the written sub- this section) constitutes final agency
missions, hold a hearing personally, or action, and there is no right to further
refer the request to an administrative administrative reconsideration or re-
law judge for a hearing and rec- view.
ommended decision. The Chief Safety (8) Any appeal of a final agency ac-
Officer or administrative law judge is tion under this section must be taken
authorized to specify, and must notify to an appropriate United States Court
the parties of, specific procedural rules of Appeals. Unless the Court of Appeals
to be followed in the proceeding (which issues a stay pending appeal, the final
may include the procedural rules in agency action shall not be suspended
part 386 of this chapter that are consid- while the appeal is pending.
ered appropriate). [69 FR 39367, June 30, 2004, as amended at 72
(5) If a request for administrative re- FR 55701, Oct. 1, 2007]
view is referred to an administrative
law judge, the recommended decision Subpart F—Intermodal Equipment
of the administrative law judge be- Providers
comes the final decision of the Chief
Safety Officer 45 days after service of
SOURCE: 73 FR 76819, Dec. 17, 2008, unless
the recommended decision is served, otherwise noted.
unless either the motor carrier or the
Office of the Chief Counsel submits a § 385.501 Roadability review.
petition for review to the Chief Safety (a) FMCSA will perform roadability
Officer (and serves a copy of its peti- reviews of intermodal equipment pro-
tion on the other party) within 15 days viders, as defined in § 390.5 of this chap-
after service of the recommended deci- ter.
sion. In response to a petition for re- (b) FMCSA will evaluate the results
view of a recommended decision of an of the roadability review using the cri-
administrative law judge: teria in appendix A to this part as they
(i) The other party may submit a relate to compliance with parts 390,
written reply within 15 days of service 393, and 396 of this chapter.
of the petition for review.
(ii) The Chief Safety Officer may § 385.503 Results of roadability review.
adopt, modify, or set aside the rec- (a) FMCSA will not assign a safety
ommended decision of an administra- rating to an intermodal equipment pro-
tive law judge, and may also remand vider based on the results of a road-
the petition for review to the adminis- ability review. However, FMCSA may
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trative law judge for further pro- cite the intermodal equipment provider
ceedings. for violations of parts 390, 393, and 396
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Federal Motor Carrier Safety Administration, DOT § 385.603T
of this chapter and may impose civil quired supporting documents and appli-
penalties resulting from the road- cable certifications in accordance with
ability review. the instructions to Form MCSA–1 and
(b) FMCSA may prohibit the inter- Form BOC–3.
modal equipment provider from ten- (3) The application must include the
dering specific items of intermodal filing fee payable to the FMCSA in the
equipment determined to constitute an amount set forth at 49 CFR 360.3(f)(1).
‘‘imminent hazard’’ (See § 386.72(b)(1) of (4) The application must be signed by
this chapter). the applicant.
(c) FMCSA may prohibit an inter- (c) An applicant must electronically
modal equipment provider from ten- file Form MCSA–1.
dering any intermodal equipment from (d) Form MCSA–1 is the URS online
a particular location or multiple loca- application and is available, including
tions if the agency determines the complete instructions, at http://
intermodal equipment provider’s fail- www.fmcsa.dot.gov/urs.
ure to comply with the FMCSRs con- [80 FR 63708, Oct. 21, 2015]
stitutes an imminent hazard under
EFFECTIVE DATE NOTE: At 82 FR 5305, Jan.
§ 386.72(b)(1). 17, 2017, § 385.603 was suspended, effective Jan.
14, 2017.
Subpart G [Reserved]
§ 385.603T Application.
Subpart H—Special Rules for New (a) Each applicant applying under
Entrant Non-North America- this subpart must submit an applica-
Domiciled Carriers tion that consists of:
(1) Form OP–1(NNA)—Application for
U.S. Department of Transportation
SOURCE: 73 FR 76491, Dec. 16, 2008, unless
(USDOT) Registration by Non-North
otherwise noted.
America-Domiciled Motor Carriers;
§ 385.601 Scope of rules. (2) Form MCS–150—Motor Carrier
Identification Report; and
The rules in this subpart govern the (3) A notification of the means used
application by a non-North America- to designate process agents, either by
domiciled motor carrier to provide submission in the application package
transportation of property and pas- of Form BOC–3—Designation of
sengers in interstate commerce in the Agents—Motor Carriers, Brokers and
United States. Freight Forwarders or a letter stating
that the applicant will use a process
§ 385.603 Application.
agent service that will submit the
(a) Each applicant applying under Form BOC–3 electronically.
this subpart must submit an applica- (b) FMCSA will only process an appli-
tion that consists of: cation if it meets the following condi-
(1) Form MCSA–1, the URS online ap- tions:
plication; and (1) The application must be com-
(2) A notification of the means used pleted in English;
to designate process agents, either by (2) The information supplied must be
submission in the application package accurate, complete, and include all re-
of Form BOC–3, Designation of quired supporting documents and appli-
Agents—Motor Carriers, Brokers and cable certifications in accordance with
Freight Forwarders, or a letter stating the instructions to Form OP–1(NNA),
that the applicant will use a process Form MCS–150 and Form BOC–3;
agent service that will submit the (3) The application must include the
Form BOC–3 electronically. filing fee payable to the FMCSA in the
(b) The FMCSA will process an appli- amount set forth at 49 CFR 360.3T(f)(1);
cation only if it meets the following and
conditions: (4) The application must be signed by
(1) The application must be com- the applicant.
pleted in English. (c) An applicant must submit the ap-
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§ 385.605 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 385.609
rating as the result of a compliance re- ized to operate in the United States. In
view. order to initiate operations in the
[73 FR 76491, Dec. 16, 2008, as amended at 80
United States, a non-North America-
FR 63708, Oct. 21, 2015] domiciled motor carrier with new en-
trant registration must:
EFFECTIVE DATE NOTE: At 82 FR 5306, Jan. (1) Have its surety or insurance pro-
17, 2017, § 385.607 was suspended, effective Jan.
14, 2017.
vider file proof of financial responsi-
bility in the form of certificates of in-
§ 385.607T FMCSA action on the appli- surance, surety bonds, and endorse-
cation. ments, as required by §§ 387.7(e)(2),
(a) FMCSA will review and act on 387.31(e)(2), and 387.301T of this sub-
each application submitted under this chapter, as applicable; and
subpart in accordance with the proce- (2) File a hard copy of, or have its
dures set out in this part. process agent(s) electronically submit,
(b) FMCSA will validate the accuracy Form BOC–3—Designation of Agents—
of information and certifications pro- Motor Carriers, Brokers and Freight
vided in the application by checking, Forwarders, as required by part 366 of
to the extent available, data main- this subchapter.
tained in databases of the governments (f) A non-North America-domiciled
of the country where the carrier’s prin- motor carrier must comply with all
cipal place of business is located and provisions of the safety monitoring
the United States. system in subpart I of this part, includ-
(c) Pre-authorization safety audit. ing successfully passing North Amer-
Every non-North America-domiciled ican Standard commercial motor vehi-
motor carrier that applies under this cle inspections at least every 90 days
part must satisfactorily complete an and having safety decals affixed to
FMCSA-administered safety audit be- each commercial motor vehicle oper-
fore FMCSA will grant new entrant ated in the United States as required
registration to operate in the United by § 385.703(c).
States. The safety audit is a review by (g) FMCSA may not re-designate a
FMCSA of the carrier’s written proce- non-North America-domiciled carrier’s
dures and records to validate the accu- registration from new entrant to per-
racy of information and certifications manent prior to 18 months after the
provided in the application and deter- date its USDOT Number is issued and
mine whether the carrier has estab- subject to successful completion of the
lished or exercises the basic safety safety monitoring system for non-
management controls necessary to en- North America-domiciled carriers set
sure safe operations. FMCSA will out in subpart I of this part. Successful
evaluate the results of the safety audit completion includes obtaining a Satis-
using the criteria in the appendix to factory safety rating as the result of a
this subpart. compliance review.
(d) An application of a non-North [82 FR 5306, Jan. 17, 2017]
America-domiciled motor carrier re-
questing for-hire operating authority § 385.609 Requirement to notify
under part 365 of this subchapter may FMCSA of change in applicant in-
be protested under § 365.109T(b). Such a formation.
carrier will be granted new entrant (a)(1) A motor carrier subject to this
registration after successful comple- subpart must notify FMCSA of any
tion of the pre-authorization safety changes or corrections to the informa-
audit and the expiration of the protest tion the Form BOC–3—Designation of
period, provided the application is not Agents—Motor Carriers, Brokers and
protested. If a protest to the applica- Freight Forwarders that occur during
tion is filed with FMCSA, new entrant the application process or after having
registration will be granted only if been granted new entrant registration.
FMCSA denies or rejects the protest. (2) A motor carrier subject to this
(e) If FMCSA grants new entrant reg- subpart must notify FMCSA of any
istration to the applicant, it will as- changes or corrections to the informa-
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sign a distinctive USDOT Number that tion in Section A of Form MCSA–1 that
identifies the motor carrier as author- occur during the application process or
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§ 385.609T 49 CFR Ch. III (10–1–20 Edition)
after the motor carrier has been grant- APPENDIX TO SUBPART H OF PART 385—
ed new entrant registration. The motor EXPLANATION OF PRE-AUTHORIZA-
carrier must report the changes or cor- TION SAFETY AUDIT EVALUATION
rections within 30 days of the change. CRITERIA FOR NON-NORTH AMERICA-
The motor carrier must use Form DOMICILED MOTOR CARRIERS
MCSA–1, the URS online application, I. GENERAL
to report the new information.
(a) FMCSA will perform a safety audit of
(3) A motor carrier must notify each non-North America-domiciled motor
FMCSA in writing within 45 days of the carrier before granting the carrier new en-
change or correction to information trant registration to operate within the
under paragraphs (a)(1) or (a)(2) of this United States.
section. (b) FMCSA will conduct the safety audit at
a location specified by the FMCSA. All
(b) If a motor carrier fails to comply records and documents must be made avail-
with paragraph (a) of this section, able for examination within 48 hours after a
FMCSA may suspend or revoke its new request is made. Saturdays, Sundays, and
entrant registration until it meets Federal holidays are excluded from the com-
those requirements. putation of the 48-hour period.
(c) The safety audit will include:
[73 FR 76491, Dec. 16, 2008, as amended at 78 (1) Verification of available performance
FR 52650, Aug. 23, 2013; 80 FR 63708, Oct. 21, data and safety management programs;
2015] (2) Verification of a controlled substances
and alcohol testing program consistent with
EFFECTIVE DATE NOTE: At 82 FR 5306, Jan. part 40 of this title;
17, 2017, § 385.609 was suspended, effective Jan. (3) Verification of the carrier’s system of
14, 2017. compliance with hours-of-service rules in
part 395 of this subchapter, including record-
§ 385.609T Requirement to notify keeping and retention;
FMCSA of change in applicant in- (4) Verification of proof of financial re-
formation. sponsibility;
(5) Review of available data concerning the
(a)(1) A motor carrier subject to this carrier’s safety history, and other informa-
subpart must notify FMCSA of any tion necessary to determine the carrier’s
changes or corrections to the informa- preparedness to comply with the Federal
tion the Form BOC–3—Designation of Motor Carrier Safety Regulations, parts 382
Agents—Motor Carriers, Brokers and through 399 of this subchapter, and the Fed-
Freight Forwarders that occur during eral Hazardous Material Regulations, parts
171 through 180 of this title;
the application process or after having (6) Inspection of available commercial
been granted new entrant registration. motor vehicles to be used under new entrant
(2) A motor carrier subject to this registration, if any of these vehicles have
subpart must notify FMCSA of any not received a decal required by § 385.703(c) of
changes or corrections to the informa- this subchapter;
(7) Evaluation of the carrier’s safety in-
tion in Section I, IA or II of Form OP–
spection, maintenance, and repair facilities
1(NNA)—Application for U.S. Depart- or management systems, including
ment of Transportation (USDOT) Reg- verification of records of periodic vehicle in-
istration by Non-North America-Domi- spections;
ciled Motor Carriers that occurs during (8) Verification of drivers’ qualifications,
the application process or after having including confirmation of the validity of the
CDL, Canadian Commercial Driver’s License,
been granted new entrant registration.
or Mexican Licencia de Federal de Con-
(3) A motor carrier must notify ductor, as applicable, of each driver the car-
FMCSA in writing within 45 days of the rier intends to assign to operate under its
change or correction to information new entrant registration; and
under paragraph (a)(1) or (2) of this sec- (9) An interview of carrier officials to re-
tion. view safety management controls and evalu-
ate any written safety oversight policies and
(b) If a motor carrier fails to comply practices.
with paragraph (a) of this section, (d) To successfully complete the safety
FMCSA may suspend or revoke its new audit, a non-North America-domiciled motor
entrant registration until it meets carrier must demonstrate to FMCSA that it
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Federal Motor Carrier Safety Administration, DOT Pt. 385, Subpt. H, App.
place which function adequately to ensure (5) Verify the qualifications of each driver
minimum acceptable compliance with the the carrier intends to assign to operate com-
applicable safety requirements. FMCSA de- mercial motor vehicles in the United States,
veloped ‘‘safety audit evaluation criteria,’’ as required by parts 383 and 391 of this sub-
which uses data from the safety audit and chapter, including confirming the validity of
roadside inspections to determine that each each driver’s CDL, Canadian Commercial
applicant for new entrant registration has Driver’s License, or Mexican Licencia de
basic safety management controls in place. Federal de Conductor, as appropriate.
(e) The safety audit evaluation process de- (b) If FMCSA confirms each item under
veloped by FMCSA is used to: paragraphs III (a)(1) through (5) of this ap-
(1) Evaluate basic safety management con- pendix, the carrier will receive new entrant
trols and determine if each non-North Amer- registration, unless FMCSA finds the carrier
ica-domiciled carrier and each driver is able has inadequate basic safety management
to operate safely in the United States; and controls in at least three separate factors de-
(2) Identify motor carriers and drivers who scribed in part IV of this appendix. If FMCSA
are having safety problems and need im- makes such a determination, the carrier’s
provement in their compliance with the application for new entrant registration will
FMCSRs and the HMRs, before FMCSA be denied.
issues new entrant registration to operate
within the United States. IV. EVALUATION OF REGULATORY COMPLIANCE
II. SOURCE OF THE DATA FOR THE SAFETY (a) During the safety audit, FMCSA gath-
AUDIT EVALUATION CRITERIA ers information by reviewing a motor car-
rier’s compliance with ‘‘acute’’ and ‘‘crit-
(a) The FMCSA’s evaluation criteria are ical’’ regulations of the FMCSRs and HMRs.
built upon the operational tool known as the (b) Acute regulations are those where non-
safety audit. FMCSA developed this tool to compliance is so severe as to require imme-
assist auditors, inspectors, and investigators diate corrective actions by a motor carrier
in assessing the adequacy of a non-North regardless of the overall basic safety man-
America-domiciled carrier’s basic safety agement controls of the motor carrier.
management controls. (c) Critical regulations are those where
(b) The safety audit is a review of a non- noncompliance relates to management and/
North America-domiciled motor carrier’s op- or operational controls. These are indicative
eration and is used to: of breakdowns in a carrier’s management
(1) Determine if a carrier has the basic controls.
safety management controls required by 49 (d) The list of the acute and critical regu-
U.S.C. 31144; and lations, which are used in determining if a
(2) In the event that a carrier is found not carrier has basic safety management con-
to be in compliance with applicable FMCSRs trols in place, is included in Appendix B, VII,
and HMRs, educate the carrier on how to List of Acute and Critical Regulations to
comply with U.S. safety rules. part 385 of this subchapter.
(c) Documents such as those contained in (e) Noncompliance with acute and critical
driver qualification files, records of duty sta- regulations are indicators of inadequate
tus, vehicle maintenance records, drug and safety management controls and usually
alcohol testing records, and other records higher than average accident rates.
are reviewed for compliance with the (f) Parts of the FMCSRs and the HMRs
FMCSRs and HMRs. Violations are cited on having similar characteristics are combined
the safety audit. Performance-based infor- together into six regulatory areas called
mation, when available, is utilized to evalu- ‘‘factors.’’ The regulatory factors, evaluated
ate the carrier’s compliance with the vehicle on the adequacy of the carrier’s safety man-
regulations. Recordable accident informa- agement controls, are:
tion is also collected. (1) Factor 1—General: Parts 387 and 390;
(2) Factor 2—Driver: Parts 382, 383, and 391;
III. OVERALL DETERMINATION OF THE CAR-
(3) Factor 3—Operational: Parts 392 and
RIER’S BASIC SAFETY MANAGEMENT CON-
395;
TROLS
(4) Factor 4—Vehicle; Parts 393, 396 and in-
(a) The carrier will not receive new entrant spection data for the last 12 months;
registration if FMCSA cannot: (5) Factor 5—Hazardous Materials: Parts
(1) Verify a controlled substances and alco- 171, 177, 180 and 397; and
hol testing program consistent with part 40 (6) Factor 6—Accident: Recordable Acci-
of this title; dent Rate per Million Miles.
(2) Verify a system of compliance with the (g) For each instance of noncompliance
hours-of-service rules of this subchapter, in- with an acute regulation, 1.5 points will be
cluding recordkeeping and retention; assessed.
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(3) Verify proof of financial responsibility; (h) For each instance of noncompliance
(4) Verify records of periodic vehicle in- with a critical regulation, 1 point will be as-
spections; and sessed.
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Pt. 385, Subpt. H, App. 49 CFR Ch. III (10–1–20 Edition)
(i) Vehicle Factor. (1) When at least three per million miles greater than 1.7 will be
vehicle inspections are recorded in the Motor deemed to have inadequate basic safety man-
Carrier Management Information System agement controls for the accident factor. All
(MCMIS) during the twelve months before other carriers with a recordable accident
the safety audit or performed at the time of rate per million miles greater than 1.5 will
the review, the Vehicle Factor (part 396) will be deemed to have inadequate basic safety
be evaluated on the basis of the Out-of-Serv- management controls for the accident fac-
ice (OOS) rates and noncompliance with tor. The rates are the result of roughly dou-
acute and critical regulations. The results of bling the United States national average ac-
the review of the OOS rate will affect the Ve- cident rate in Fiscal Years 1994, 1995, and
hicle Factor as follows: 1996.
(i) If the motor carrier has had at least (4) FMCSA will continue to consider pre-
three roadside inspections in the twelve ventability when a new entrant contests the
months before the safety audit, and the vehi- evaluation of the accident factor by pre-
cle OOS rate is 34 percent or higher, one senting compelling evidence that the record-
point will be assessed against the carrier. able rate is not a fair means of evaluating its
That point will be added to any other points accident factor. Preventability will be deter-
assessed for discovered noncompliance with mined according to the following standard:
acute and critical regulations of part 396 of ‘‘If a driver, who exercises normal judgment
this chapter to determine the carrier’s level and foresight, could have foreseen the possi-
of safety management control for that fac- bility of the accident that in fact occurred,
tor. and avoided it by taking steps within his/her
(ii) If the motor carrier’s vehicle OOS rate control which would not have risked causing
is less than 34 percent, or if there are less another kind of mishap, the accident was
than three inspections, the determination of preventable.’’
the carrier’s level of safety management (k) Factor Ratings. (1) The following table
controls will only be based on discovered shows the five regulatory factors, parts of
noncompliance with the acute and critical
the FMCSRs and HMRs associated with each
regulations of part 396 of this chapter.
factor, and the accident factor. Each car-
(2) Roadside inspection information is re-
rier’s level of basic safety management con-
tained in the MCMIS and is integral to eval-
trols with each factor is determined as fol-
uating a motor carrier’s ability to success-
lows:
fully maintain its vehicles, thus preventing
being placed OOS during a roadside inspec- (i) Factor 1—General: Parts 390 and 387;
tion. Each safety audit will continue to have (ii) Factor 2—Driver: Parts 382, 383, and 391;
the requirements of part 396 of this chapter, (iii) Factor 3—Operational: Parts 392 and
Inspection, Repair, and Maintenance, re- 395;
viewed as indicated by the above expla- (iv) Factor 4—Vehicle: Parts 393, 396 and
nation. the Out of Service Rate;
(j) Accident Factor. (1) In addition to the (v) Factor 5—Hazardous Materials: Part
five regulatory factors, a sixth factor is in- 171, 177, 180 and 397; and
cluded in the process to address the accident (vi) Factor 6—Accident: Recordable Acci-
history of the motor carrier. This factor is dent Rate per Million Miles;
the recordable accident rate, which the car- (2) For paragraphs IV (k)(1)(i) through (v)
rier has experienced during the past 12 of this appendix (Factors 1 through 5), if the
months. Recordable accident, as defined in 49 combined violations of acute and/or critical
CFR 390.5, means an accident involving a regulations for each factor is equal to three
commercial motor vehicle operating on a or more points, the carrier is determined not
public road in interstate or intrastate com- to have basic safety management controls
merce which results in a fatality; a bodily for that individual factor.
injury to a person who, as a result of the in- (3) For paragraph IV (k)(1)(vi) of this ap-
jury, immediately receives medical treat- pendix, if the recordable accident rate is
ment away from the scene of the accident; or greater than 1.7 recordable accidents per
one or more motor vehicles incurring dis- million miles for an urban carrier (1.5 for all
abling damage as a result of the accident re- other carriers), the carrier is determined to
quiring the motor vehicle to be transported have inadequate basic safety management
away from the scene by a tow truck or other controls.
motor vehicle. (l) Notwithstanding FMCSA verification of
(2) [Reserved] the items listed in paragraphs III (a)(1)
(3) The recordable accident rate will be through (5) of this appendix, if the safety
used in determining the carrier’s basic safety audit determines the carrier has inadequate
management controls in Factor 6, Accident. basic safety management controls in at least
It will be used only when a carrier incurs two three separate factors described in paragraph
or more recordable accidents within the 12 III of this appendix, the carrier’s application
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months before the safety audit. An urban for new entrant registration will be denied.
carrier (a carrier operating entirely within a For example, FMCSA evaluates a carrier
radius of 100 air miles) with a recordable rate finding:
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Federal Motor Carrier Safety Administration, DOT § 385.705
(1) One instance of noncompliance with a entrant will be subject to intensified
critical regulation in part 387 scoring one monitoring through frequent roadside
point for Factor 1; inspections.
(2) Two instances of noncompliance with
acute regulations in part 382 scoring three (c) Safety decal. Each non-North
points for Factor 2; America-domiciled carrier must have
(3) Three instances of noncompliance with on every commercial motor vehicle it
critical regulations in part 396 scoring three operates in the United States a current
points for Factor 4; and decal attesting to a satisfactory North
(4) Three instances of noncompliance with American Standard Commercial Vehi-
acute regulations in parts 171 and 397 scoring
four and one-half (4.5) points for Factor 5.
cle inspection by a certified FMCSA or
Under this example, the carrier will not re- State inspector pursuant to 49 CFR
ceive new entrant registration because it 350.201(k). This requirement applies
scored three or more points for Factors 2, 4, during the new entrant operating pe-
and 5 and FMCSA determined the carrier had riod and for three years after the car-
inadequate basic safety management con- rier’s registration becomes permanent
trols in at least three separate factors. following removal of its new entrant
designation.
Subpart I—Safety Monitoring Sys- (d) Compliance review. FMCSA will
tem for Non-North American conduct a compliance review on a non-
Carriers North America-domiciled carrier with-
in 18 months after FMCSA issues the
SOURCE: 73 FR 76494, Dec. 16, 2008, unless carrier a USDOT Number.
otherwise noted.
§ 385.705 Expedited action.
§ 385.701 Definitions.
(a) A non-North America-domiciled
The following definitions apply to motor carrier committing any of the
this subpart: following actions identified through
Compliance review means a compli- roadside inspections, or by any other
ance review as defined in § 385.3 of this means, may be subjected to an expe-
part. dited compliance review, or may be re-
New entrant registration means the quired to submit a written response
provisional registration under subpart demonstrating corrective action:
H of this part that FMCSA grants to a (1) Using a driver not possessing, or
non-North America-domiciled motor operating without, a valid CDL, Cana-
carrier to provide interstate transpor- dian Commercial Driver’s License, or
tation within the United States. It will Mexican Licencia Federal de Con-
be revoked if the registrant is not as- ductor. An invalid commercial driver’s
signed a Satisfactory safety rating fol- license includes one that is falsified,
lowing a compliance review conducted revoked, expired, or missing a required
during the safety monitoring period es- endorsement.
tablished in this subpart.
(2) Operating a vehicle placed out of
Non-North America-domiciled motor
service for violations of the Federal
carrier means a motor carrier of prop-
erty or passengers whose principal Motor Carrier Safety Regulations with-
place of business is located in a coun- out taking the necessary corrective ac-
try other than the United States, Can- tion.
ada or Mexico. (3) Being involved in, through action
or omission, a hazardous materials re-
§ 385.703 Safety monitoring system. portable incident, as described under 49
(a) General. Each non-North America- CFR 171.15 or 171.16, within the United
domiciled carrier new entrant will be States involving—
subject to an oversight program to (i) A highway route controlled quan-
monitor its compliance with applicable tity of certain radioactive materials
Federal Motor Carrier Safety Regula- (Class 7).
tions (FMCSRs), Federal Motor Vehicle (ii) Any quantity of certain explo-
Safety Standards (FMVSSs), and Haz- sives (Class 1, Division 1.1, 1.2, or 1.3).
ardous Materials Regulations (HMRs). (iii) Any quantity of certain poison
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§ 385.707 49 CFR Ch. III (10–1–20 Edition)
(4) Being involved in, through action carrier a Conditional rating following a
or omission, two or more hazardous compliance review conducted under
materials reportable incidents, as de- this subpart, it will initiate a revoca-
scribed under 49 CFR 171.15 or 171.16, tion proceeding in accordance with
occurring within the United States and § 385.709 of this subpart. The carrier’s
involving any hazardous material not new entrant registration will not be
listed in paragraph (a)(3) of this sec- suspended prior to the conclusion of
tion. the revocation proceeding.
(5) Using a driver who tests positive (d) Unsatisfactory Rating. If FMCSA
for controlled substances or alcohol or assigns a non-North America-domiciled
who refuses to submit to required con- carrier an Unsatisfactory rating fol-
trolled substances or alcohol tests. lowing a compliance review conducted
(6) Operating within the United
under this subpart, it will initiate a
States a commercial motor vehicle
suspension and revocation proceeding
without the levels of financial respon-
in accordance with § 385.709 of this sub-
sibility required under part 387 of this
subchapter. part.
(7) Having a driver or vehicle out-of-
§ 385.709 Suspension and revocation of
service rate of 50 percent or more based non-North America-domiciled car-
upon at least three inspections occur- rier registration.
ring within a consecutive 90-day pe-
riod. (a) If a carrier is assigned an ‘‘Unsat-
(b) Failure to respond to an Agency isfactory’’ safety rating following a
demand for a written response dem- compliance review conducted under
onstrating corrective action within 30 this subpart, FMCSA will provide the
days will result in the suspension of carrier written notice, as soon as prac-
the carrier’s new entrant registration ticable, that its registration will be
until the required showing of correc- suspended effective 15 days from the
tive action is submitted to the FMCSA. service date of the notice unless the
(c) A satisfactory response to a writ- carrier demonstrates, within 10 days of
ten demand for corrective action does the service date of the notice, that the
not excuse a carrier from the require- compliance review contains material
ment that it undergo a compliance re- error.
view during the new entrant registra- (b) For purposes of this section, ma-
tion period. terial error is a mistake or series of
mistakes that resulted in an erroneous
§ 385.707 The compliance review.
safety rating.
(a) The criteria used in a compliance (c) If the carrier demonstrates that
review to determine whether a non- the compliance review contained mate-
North America-domiciled new entrant rial error, its new entrant registration
exercises the necessary basic safety will not be suspended. If the carrier
management controls are specified in fails to show a material error in the
appendix B to this part.
compliance review, FMCSA will issue
(b) Satisfactory Rating. If FMCSA as-
an Order:
signs a non-North America-domiciled
carrier a Satisfactory rating following (1) Suspending the carrier’s new en-
a compliance review conducted under trant registration and requiring it to
this subpart, FMCSA will provide the immediately cease all further oper-
carrier written notice as soon as prac- ations in the United States; and
ticable, but not later than 45 days after (2) Notifying the carrier that its new
the completion of the compliance re- entrant registration will be revoked
view. The carrier’s registration will re- unless it presents evidence of necessary
main in provisional status and its on- corrective action within 30 days from
highway performance will continue to the service date of the Order.
be closely monitored for the remainder (d) If a carrier is assigned a ‘‘Condi-
of the 18-month new entrant registra- tional’’ rating following a compliance
tion period. review conducted under this subpart,
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Federal Motor Carrier Safety Administration, DOT § 385.713
except that its new entrant registra- offense under part 386, Appendix B of
tion will not be suspended under para- this subchapter.
graph (c)(1) of this section. (i) Notwithstanding any provision of
(e) If a carrier subject to this subpart this subpart, a carrier subject to this
fails to provide the necessary docu- subpart is also subject to the suspen-
ments for a compliance review upon sion and revocation provisions of 49
reasonable request, or fails to submit U.S.C. 13905 for repeated violations of
evidence of the necessary corrective DOT regulations governing its motor
action as required by § 385.705 of this carrier operations.
subpart, FMCSA will provide the car-
rier with written notice, as soon as § 385.711 Administrative review.
practicable, that its new entrant reg- (a) A non-North America-domiciled
istration will be suspended 15 days motor carrier may request FMCSA to
from the service date of the notice un- conduct an administrative review if it
less it provides all necessary docu- believes FMCSA has committed an
ments or information. This suspension error in assigning a safety rating or
will remain in effect until the nec- suspending or revoking the carrier’s
essary documents or information is new entrant registration under this
produced and: subpart.
(1) The carrier is rated Satisfactory (b) The carrier must submit its re-
after a compliance review; or quest in writing, in English, to the As-
(2) FMCSA determines, following re- sociate Administrator for Enforcement
view of the carrier’s response to a de- and Program Delivery, Federal Motor
mand for corrective action under Carrier Safety Administration, 1200
§ 385.705, that the carrier has taken the New Jersey Avenue, SE., Washington
necessary corrective action. DC 20590.
(f) If a carrier commits any of the ac- (c) The carrier’s request must explain
tions specified in § 385.705(a) of this sub- the error it believes FMCSA com-
part after the removal of a suspension mitted in assigning the safety rating or
issued under this section, the suspen- suspending or revoking the carrier’s
sion will be automatically reinstated. new entrant registration and include
FMCSA will issue an Order requiring any information or documents that
the carrier to cease further operations support its argument.
in the United States and demonstrate, (d) FMCSA will complete its adminis-
within 15 days from the service date of trative review no later than 10 days
the Order, that it did not commit the after the carrier submits its request for
alleged action(s). If the carrier fails to review. The Associate Administrator’s
demonstrate that it did not commit decision will constitute the final Agen-
the action(s), FMCSA will issue an cy action.
Order revoking its new entrant reg-
istration. § 385.713 Reapplying for new entrant
(g) If FMCSA receives credible evi- registration.
dence that a carrier has operated in (a) A non-North America-domiciled
violation of a suspension order issued motor carrier whose provisional new
under this section, it will issue an entrant registration has been revoked
Order requiring the carrier to show may reapply for new entrant registra-
cause, within 10 days of the service tion no sooner than 30 days after the
date of the Order, why its new entrant date of revocation.
registration should not be revoked. If (b) If the provisional new entrant
the carrier fails to make the necessary registration was revoked because the
showing, FMCSA will revoke its reg- new entrant failed to receive a Satis-
istration. factory rating after undergoing a com-
(h) If a non-North America-domiciled pliance review, the new entrant must
motor carrier operates a commercial do all of the following:
motor vehicle in violation of a suspen- (1) Submit an updated Form MCSA–1,
sion or out-of-service order, it is sub- the URS online application;
ject to the penalty provisions in 49 (2) Submit evidence that it has cor-
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§ 385.713T 49 CFR Ch. III (10–1–20 Edition)
otherwise ensure that it will have basic (4) Begin the 18-month new entrant
safety management controls in effect. monitoring cycle again as of the date
(3) Successfully complete a pre-au- the re-filed application is approved.
thorization safety audit in accordance (c) If the provisional new entrant reg-
with § 385.607(c) of this part. istration was revoked because FMCSA
(4) Begin the 18-month new entrant found that the new entrant had failed
monitoring cycle again as of the date to submit to a compliance review, it
the re-filed application is approved. must do all of the following:
(c) If the provisional new entrant reg- (1) Submit an updated MCS–150.
istration was revoked because FMCSA (2) Successfully complete a pre-au-
found the new entrant failed to submit thorization safety audit in accordance
to a compliance review, the new en- with § 385.607T(c).
trant must do all of the following: (3) Begin the 18-month new entrant
(1) Submit an updated Form MCSA–1, monitoring cycle again as of the date
the URS online application; the re-filed application is approved.
(2) Successfully complete a pre-au- (4) Submit to a compliance review
thorization safety audit in accordance upon request.
with § 385.607(c) of this part.
(d) If the new entrant is a for-hire
(3) Begin the 18-month new entrant
carrier subject to the registration pro-
monitoring cycle again as of the date
visions under 49 U.S.C. 13901 and also
the re-filed application is approved.
has had its operating authority re-
(4) Submit to a compliance review
voked, it must re-apply for operating
upon request.
authority as set forth in part 365 of this
(d) If the new entrant is a for-hire
subchapter.
carrier subject to the registration pro-
visions under 49 U.S.C. 13901 and also [82 FR 5306, Jan. 17, 2017]
has had its operating authority re-
voked, it must reapply for operating § 385.715 Duration of safety moni-
authority as set forth in § 390.201(b) and toring system.
part 365 of this subchapter. (a) Each non-North America-domi-
[73 FR 76494, Dec. 16, 2008, as amended at 80 ciled carrier subject to this subpart
FR 63708, Oct. 21, 2015] will remain in the safety monitoring
system for at least 18 months from the
EFFECTIVE DATE NOTE: At 82 FR 5306, Jan.
17, 2017, § 385.713 was suspended, effective Jan. date FMCSA issues its new entrant
14, 2017. registration, except as provided in
paragraphs (c) and (d) of this section.
§ 385.713T Reapplying for new entrant (b) If, at the end of this 18-month pe-
registration. riod, the carrier’s most recent safety
(a) A non-North America-domiciled rating was Satisfactory and no addi-
motor carrier whose provisional new tional enforcement or safety improve-
entrant registration has been revoked ment actions are pending under this
may reapply for new entrant registra- subpart, the non-North America-domi-
tion no sooner than 30 days after the ciled carrier’s new entrant registration
date of revocation. will become permanent.
(b) If the provisional new entrant (c) If, at the end of this 18-month pe-
registration was revoked because the riod, FMCSA has not been able to con-
new entrant failed to receive a Satis- duct a compliance review, the carrier
factory rating after undergoing a com- will remain in the safety monitoring
pliance review, the new entrant must system until a compliance review is
do all of the following: conducted. If the results of the compli-
(1) Submit an updated MCS–150. ance review are satisfactory, the car-
(2) Submit evidence that it has cor- rier’s new entrant registration will be-
rected the deficiencies that resulted in come permanent.
revocation of its registration and will (d) If, at the end of this 18-month pe-
otherwise ensure that it will have basic riod, the carrier’s new entrant registra-
safety management controls in effect. tion is suspended under § 385.709(a) of
(3) Successfully complete a pre-au- this subpart, the carrier will remain in
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Federal Motor Carrier Safety Administration, DOT § 385.905
(1) Determines that the carrier has to those functions, and any person,
taken corrective action; or however designated, exercising control-
(2) Completes measures to revoke the ling influence over the operations of a
carrier’s new entrant registration motor carrier.
under § 385.709(c) of this subpart. Registration means the registration
required under 49 U.S.C. 13902, 49 CFR
§ 385.717 Applicability of safety fitness part 365, and 49 CFR part 368.
and enforcement procedures.
At all times during which a non- § 385.905 Suspension or revocation of
North America-domiciled motor car- registration.
rier is subject to the safety monitoring (a) General. (1) If a motor carrier en-
system in this subpart, it is also sub- gages or has engaged in a pattern or
ject to the general safety fitness proce- practice of avoiding compliance, or
dures established in subpart A of this masking or otherwise concealing non-
part and to compliance and enforce- compliance, with regulations on com-
ment procedures applicable to all car- mercial motor vehicle safety under 49
riers regulated by the FMCSA. U.S.C. Chapter 311, subchapter III,
FMCSA may suspend or revoke the
Subpart J [Reserved] motor carrier’s registration.
(2) If a motor carrier permits any
Subpart K—Pattern or Practice of person to exercise controlling influence
Safety Violations by Motor over the motor carrier’s operations and
Carrier Management that person engages in or has engaged
in a pattern or practice of avoiding
SOURCE: 79 FR 3537, Jan. 22, 2014, unless compliance, or masking or otherwise
otherwise noted. concealing noncompliance, with regu-
lations on commercial motor vehicle
§ 385.901 Applicability. safety 49 U.S.C. Chapter 311, sub-
The requirements in this subpart chapter III while acting on behalf of
apply to for-hire motor carriers, em- any motor carrier, FMCSA may sus-
ployers, officers and persons registered pend or revoke the motor carrier’s reg-
or required to be registered under 49 istration.
U.S.C. 13902, 49 CFR part 365, and 49 (b) Determination. (1) The Agency Of-
CFR part 368. When used in this sub- ficial may issue an order to revoke or
part, the term ‘‘motor carrier’’ in- suspend a motor carrier’s registration,
cludes all for-hire motor carriers, em- or require compliance with an order
ployers, officers and other persons, issued to redress violations of a statu-
however designated, that are registered tory or regulatory requirement pre-
or required to be registered under 49 scribed under 49 U.S.C. Chapter 311,
U.S.C. 13902, 49 CFR part 365, and 49 subchapter III, upon a determination
CFR part 368. that the motor carrier engages or has
engaged in a pattern or practice of
§ 385.903 Definitions. avoiding regulatory compliance or
As used in this subpart: masking or otherwise concealing regu-
Agency Official means the Director of latory noncompliance.
FMCSA’s Office of Enforcement and (2) The Agency Official may issue an
Compliance or his or her designee. order to revoke or suspend a motor car-
Controlling Influence means having or rier’s registration, or require compli-
exercising authority, whether by act or ance with an order issued to redress
omission, to direct some or all of a violations of a statutory or regulatory
motor carrier’s operational policy and/ requirement prescribed under 49 U.S.C.
or safety management controls. Chapter 311, subchapter III, upon a de-
Officer means an owner, director, termination that the motor carrier
chief executive officer, chief operating permitted a person to exercise control-
officer, chief financial officer, safety ling influence over the motor carrier’s
director, vehicle maintenance super- operations if that person engages in or
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§ 385.907 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 385.911
right to contest the order suspending trator may, however, ask the parties to
the registration and will result in the submit additional information. If the
333
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§ 385.913 49 CFR Ch. III (10–1–20 Edition)
petitioner does not provide the infor- chapter III for a period of at least 30
mation requested, the Assistant Ad- days.
ministrator may dismiss the petition (b) Commencement of proceedings. The
for review. Agency Official commences a pro-
(5) The Assistant Administrator will ceeding under this section by serving
serve a written decision on the petition an order to show cause to the motor
for review within 60 days of the close of carrier and, if the proceeding is based
the time period for serving a response on the conduct of another person, by
to the petition for review or the date of also serving a copy on the person al-
service of the response served under leged to have engaged in the pattern or
paragraph (e)(3), whichever is later. practice that resulted in a proceeding
(6) If a petition for review is timely instituted under this section, which:
served in accordance with this section, (1) Provides notice that the Agency is
the disputed order is stayed, pending considering whether to revoke the
the Assistant Administrator’s review. motor carrier’s registration;
The Assistant Administrator may (2) Provides notice of the factual and
enter an order vacating the automatic legal basis for the order;
stay in accordance with the following
(3) Directs the motor carrier to com-
procedures:
ply with a statute, regulation or condi-
(i) The Agency Official may file a
tion of its registration;
motion to vacate the automatic stay
demonstrating good cause why the (4) Informs the motor carrier that
order should not be stayed. The Agency the response to the order to show cause
Official’s motion must be in writing, must be in writing, state the factual
state the factual and legal basis for the and legal basis for its response and in-
motion, be accompanied by affidavits clude all documentation, if any, the
or other evidence relied on, and be motor carrier wants considered;
served on all parties. (5) Informs the motor carrier of the
(ii) Within 10 days of service of the address and name of the person to
motion to vacate the automatic stay, whom the response should be directed
the petitioner may serve an answer in and served;
opposition, accompanied by affidavits (6) Provides notice to the person, if
or other evidence relied on. any, of his or her right to intervene in
(iii) The Assistant Administrator will the proceeding within 30 days of service
issue a decision on the motion to va- of the order; and
cate within 10 days of the close of the (7) Informs the motor carrier that its
time period for serving the answer to registration may be revoked on the
the motion. The 60-day period for a de- 35th day after service of the order
cision on the petition for review in issued under this section if the motor
paragraph (e)(5) of this section does not carrier or intervening person has not
begin until the Assistant Adminis- demonstrated, in writing, compliance
trator issues a decision on the motion with the order, or otherwise shown
to vacate the stay. good cause why compliance is not re-
(7) The Assistant Administrator’s de- quired or the registration should not be
cision on a petition for review of an revoked.
order issued under this section con- (c) Right of individual person(s) to in-
stitutes the Final Agency Order. tervene. A person(s) alleged to have en-
gaged in the pattern or practice that
§ 385.913 Revocation proceedings. resulted in a proceeding instituted
(a) General. The Agency Official may under this section may intervene in the
issue an order to revoke a motor car- proceeding. The person(s) may—but are
rier’s registration, if he or she: not required to—serve a separate re-
(1) Makes a determination in accord- sponse and supporting documentation
ance with § 385.905(b), and to an order served under paragraph (b)
(2) Determines that the motor carrier of this section, within 30 days of being
has willfully violated any order direct- served with the order. Failure to time-
ing compliance with any statutory or ly serve a response constitutes waiver
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Federal Motor Carrier Safety Administration, DOT § 385.915
under § 385.911 based on the same con- § 385.915 Petitions for rescission.
duct, a person who was given the op-
(a) A motor carrier or intervening
portunity to but did not intervene
person may submit a petition for re-
under § 385.911(c) may not intervene
scission of an order suspending or re-
under this section. voking registration under this subpart
(d) Review of response. The Agency Of- based on action taken to correct the
ficial will review the response(s) to the deficiencies that resulted in the sus-
order and determine whether the motor pension or revocation.
carrier’s registration should be re- (b) A petition for rescission must be
voked. made in writing to the Agency Official.
(1) The Agency Official will take one (c) A petition for rescission must in-
of the following actions: clude a copy of the order suspending or
(i) If the Agency Official determines revoking the motor carrier’s registra-
the motor carrier’s registration should tion, a factual statement identifying
be revoked, he or she will enter an all corrective action taken, and copies
order revoking the motor carrier’s reg- of supporting documentation.
istration; or (d) The Agency Official will issue a
(ii) If the Agency Official determines written decision on the petition within
the motor carrier’s registration should 60 days of service of the petition. The
not be revoked, he or she will enter an decision will state the factual and legal
order terminating the proceeding. basis for the decision.
(2) If the Agency Official issues an (e) If the Agency Official grants the
order to revoke the motor carrier’s reg- petition, the written decision under
istration, the order will: paragraph (d) is the Final Agency
(i) Provide notice to the motor car- Order. Rescinding an order suspending
rier and any intervening person(s) of a motor carrier’s registration permits
the right to petition for administrative that motor carrier to resume oper-
review of the order within 15 days of ations so long as it is in compliance
service of the order revoking the motor with all other statutory and regulatory
carrier’s registration, and provide no- requirements. Rescinding an order re-
tice of the procedures in § 385.911(e); voking a motor carrier’s registration
(ii) Provide notice that a timely peti- does not have the effect of reinstating
tion for review will stay the effective the revoked registration. In order to
date of the order unless the Assistant resume operations in interstate com-
Administrator orders otherwise for merce, the motor carrier whose reg-
good cause; and istration was revoked must reapply for
registration. If registration is granted,
(iii) Provide notice that failure to
the motor carrier would also become
timely serve a petition for review con-
subject to the new entrant regulations
stitutes waiver of the right to contest
at 49 CFR part 385.
the order revoking the motor carrier’s
(f) If the Agency Official denies the
registration and will result in the order
petition, the petitioner may petition
becoming a Final Agency Order 20 days
the Assistant Administrator for review
after it is served.
of the denial. The petition must be in
(iv) Provide notice that a Final Agen- writing and served on the Assistant Ad-
cy Order revoking the motor carrier’s ministrator. Service on the Assistant
registration will remain in effect and Administrator is effected by delivering
bar approval of any subsequent applica- a copy to USDOT Dockets, Docket Op-
tion for registration until rescinded by erations, 1200 New Jersey Avenue, West
the Agency Official pursuant to Building Ground Floor, Room 12–140
§ 385.915. SE., Washington, DC 20590–0001 or by
(e) Administrative review. The motor submitting the documents electroni-
carrier or intervening person may peti- cally to www.regulations.gov. The peti-
tion the Assistant Administrator for tion must also be served on all parties
review of an order issued under para- to the proceedings and on Adjudica-
graph (d)(1)(i) of this section by fol- tions Counsel, Federal Motor Carrier
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lowing the procedures set forth in Safety Administration, 1200 New Jer-
§ 385.911(e). sey Ave. SE., Washington, DC 20590–
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§ 385.917 49 CFR Ch. III (10–1–20 Edition)
0001. The petition for review of the de- of 49 U.S.C. 521(b) and applicable regu-
nial must be served within 15 days of lations.
the service of the decision denying the
petition for rescission. The petition for § 385.921 Service and computation of
review must identify the legal, factual time.
or procedural issues in dispute with re- Service of documents and computa-
spect to the denial of the petition for tions of time will be made in accord-
rescission. The petition for review may ance with §§ 386.6 and 386.8 of this sub-
not, however, challenge the basis of the chapter. All documents that are re-
underlying suspension or revocation quired to be served or filed must be
order. served or filed with a certificate of
(g) The Agency Official may file a service.
written response within 15 days of re-
ceipt of the petition for review. Subpart L—Reincarnated Carriers
(h) The Assistant Administrator will
issue a written decision on the petition
SOURCE: 79 FR 3540, Jan. 22, 2014, unless
for review within 60 days of service of
otherwise noted.
the petition for review or a timely
served response, whichever is later. § 385.1001 Applicability.
The Assistant Administrator’s decision
constitutes the Final Agency Order. The requirements in this subpart
apply to for-hire motor carriers reg-
§ 385.917 Other orders unaffected; not istered or required to be registered
exclusive remedy. under 49 U.S.C. 13902, 49 CFR part 365,
If a motor carrier subject to an order and 49 CFR part 368.
issued under this subpart is or becomes § 385.1003 Definitions.
subject to any other order, prohibition,
or requirement of the FMCSA, an order As used in this subpart:
issued under this subpart is in addition Agency Official means the Director of
to, and does not amend or supersede FMCSA’s Office of Enforcement and
the other order, prohibition, or require- Compliance or his or her designee.
ment. Nothing in this subpart pre- Registration means the registration
cludes FMCSA from taking action required under 49 U.S.C. 13902, 49 CFR
against any motor carrier under 49 part 365, and 49 CFR part 368.
U.S.C. 13905 or 49 U.S.C. 31134 for other Reincarnated or affiliated motor car-
conduct amounting to willful failure to riers means motor carriers with com-
comply with an applicable statute, reg- mon ownership, common management,
ulation or FMCSA order. common control or common familial
relationship.
§ 385.919 Penalties.
§ 385.1005 Prohibition.
(a) Any motor carrier that the Agen-
cy determines engages or has engaged Two or more motor carriers shall not
in a pattern or practice of avoiding reg- use common ownership, common man-
ulatory compliance or masking non- agement, common control, or common
compliance or violates an order issued familial relationship to enable any or
under this subpart shall be subject to all such motor carriers to avoid com-
the civil or criminal penalty provisions pliance, or mask or otherwise conceal
of 49 U.S.C. 521(b) and applicable regu- non-compliance, or a history of non-
lations. compliance, with statutory or regu-
(b) Any motor carrier who permits latory requirements prescribed under
the exercise of controlling influence 49 U.S.C. Chapter 311, subchapter III, or
over its operations by any person that with an order issued under such re-
the Agency determines, under this sub- quirements.
part, engages in or has engaged in a
pattern or practice of avoiding regu- § 385.1007 Determination of violation.
latory compliance or masking non- (a) General. The Agency Official may
compliance while acting on behalf of issue an order to suspend or revoke the
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any motor carrier, shall be subject to registration of one or more motor car-
the civil or criminal penalty provisions riers if he or she determines that the
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Federal Motor Carrier Safety Administration, DOT § 385.1009
motor carrier or motor carriers have (3) Directs the motor carrier to com-
reincarnated or affiliated to avoid reg- ply with a regulation or condition of
ulatory compliance or mask or other- its registration;
wise conceal regulatory noncompli- (4) Informs the motor carrier that
ance, or a history of noncompliance. the response to the order must be in
(b) Reincarnation or affiliation. The writing, state the factual or legal basis
Agency Official may determine that for its response, and include all docu-
one or more motor carriers are reincar- mentation, if any, the motor carrier
nated if there is substantial continuity wants considered;
between entities such that one is mere- (5) Informs the motor carrier of the
ly a continuation of the other. The address and name of the person to
Agency Official may determine that whom the response should be directed
motor carriers are affiliates if business and served;
operations are under common owner- (6) Informs the motor carrier that its
ship, common management, common registration may be suspended on the
control or common familial relation- 35th day after service of the order
ship. To make these determinations, issued under this section if the motor
the Agency Official may consider, carrier has not demonstrated, in writ-
among other things, the factors in 49 ing, compliance with any compliance
CFR 386.73(c) and examine, among directive issued, or otherwise shown
other things, the records identified in good cause why compliance is not re-
49 CFR 386.73(d). quired or the registration should not be
(c) Regulatory noncompliance. The suspended.
Agency Official may determine that a (c) Review of response. The Agency Of-
motor carrier or its officer, employee, ficial will review the responses to the
agent, or authorized representative, order and determine whether the motor
avoids regulatory compliance or masks carrier’s registration should be sus-
or otherwise conceals regulatory non- pended.
compliance, or a history of noncompli- (1) The Agency Official will take one
ance by operating or attempting to op- of the following actions:
erate a motor carrier as a reincarnated (i) If the Agency Official determines
or affiliated entity to: the motor carrier’s registration should
(1) Avoid complying with an FMCSA be suspended, he or she will enter an
order; order suspending the motor carrier’s
(2) Avoid complying with a statutory registration; or
or regulatory requirement; (ii) If the Agency Official determines
(3) Avoid paying a civil penalty; the motor carrier’s registration should
not be suspended, he or she will enter
(4) Avoid responding to an enforce-
an order terminating the proceeding.
ment action; or
(2) If the Agency Official issues an
(5) Avoid being linked with a nega-
order to suspend the motor carrier’s
tive compliance history.
registration, the order will:
§ 385.1009 Suspension proceedings. (i) Provide notice to the motor car-
rier of the right to petition the Assist-
(a) General. The Agency Official may ant Administrator for review of the
issue an order to suspend a motor car- order within 15 days of service of the
rier’s registration based on a deter- order suspending the registration, and
mination made in accordance with provide notice of the procedures in
§ 385.1007. § 385.911(e);
(b) Commencement of proceedings. The (ii) Provide notice that a timely peti-
Agency Official may commence a pro- tion for review will stay the effective
ceeding under this section by serving date of the order unless the Assistant
an order to one or more motor carriers Administrator orders otherwise for
which: good cause; and
(1) Provides notice that the Agency is (iii) Provide notice that failure to
considering whether to suspend the timely serve a petition for review con-
motor carrier’s registration; stitutes waiver of the right to contest
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(2) Provides notice of the factual and the order suspending the motor car-
legal basis for the order; rier’s registration and will result in the
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§ 385.1011 49 CFR Ch. III (10–1–20 Edition)
order becoming a Final Agency Order (c) Review of response. The Agency Of-
20 days after it is served. ficial will review the response(s) to the
(iv) Provide notice that a Final Agen- order and determine whether the motor
cy Order suspending the motor car- carrier’s registration should be re-
rier’s registration will remain in effect voked.
and bar approval of any subsequent ap- (1) The Agency Official will take one
plication for registration until re- of the following actions:
scinded by the Agency Official pursu- (i) If the Agency Official determines
ant to § 385.1013. the motor carrier’s registration should
(d) Administrative Review. The motor be revoked, he or she will enter an
carrier may petition the Assistant Ad- order revoking the motor carrier’s reg-
ministrator for review of an order istration; or
issued under paragraph (c)(1)(i) of this (ii) If the Agency Official determines
section by following the procedures set the motor carrier’s registration should
forth in § 385.911(e). not be revoked, he or she will enter an
order terminating the proceeding.
§ 385.1011 Revocation proceedings.
(2) If the Agency Official issues an
(a) General. The Agency Official may order to revoke the motor carrier’s reg-
issue an order to revoke a motor car- istration, the order will:
rier’s registration, if he or she: (i) Provide notice to the motor car-
(1) Makes a determination in accord- rier and any intervening person(s) of
ance with § 385.1007, and the right to petition the Assistant Ad-
(2) Determines that the motor carrier ministrator for review of the order
has willfully violated an order direct- within 15 days of service of the order
ing compliance for a period of at least revoking the motor carrier’s registra-
30 days. tion, and provide notice of the proce-
(b) Commencement of proceedings. The dures in § 385.911(e);
Agency Official commences a pro-
(ii) Provide notice that a timely peti-
ceeding under this section by serving
tion for review will stay the effective
an order to one or more motor carriers,
date of the order unless the Assistant
which:
Administrator orders otherwise for
(1) Provides notice that the Agency is
good cause; and
considering whether to revoke the
(iii) Provide notice that failure to
motor carrier’s registration;
(2) Provides notice of the factual and timely serve a petition for review con-
legal basis for the order; stitutes waiver of the right to contest
(3) Directs the motor carrier to com- the order revoking the motor carrier’s
ply with a statute, regulation or condi- registration and will result in the order
tion of its registration; becoming a Final Agency Order 20 days
(4) Informs the motor carrier that after it is served.
the response to the show cause order (iv) Provide notice that a Final Agen-
must be in writing, state the factual or cy Order revoking the motor carrier’s
legal basis for its response, and include registration will remain in effect and
all documentation, if any, the motor bar approval of any subsequent applica-
carrier wants considered; tion for registration until rescinded by
(5) Informs the motor carrier of the the Agency Official pursuant to
address and name of the person to § 385.1013.
whom the response should be directed (d) Administrative review. The motor
and served; and carrier or intervening person may peti-
(6) Informs the motor carrier that its tion the Assistant Administrator for
registration may be revoked on the review of an order issued under para-
35th day after service of the order graph (c)(1)(i) of this section by fol-
issued under this section if the motor lowing the procedures set forth in
carrier has not demonstrated, in writ- § 385.911(e).
ing, compliance with any order direct-
ing compliance, or otherwise shown § 385.1013 Petitions for rescission.
good cause why compliance is not re- A motor carrier may submit a peti-
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quired or the registration should not be tion for rescission of an order sus-
revoked. pending or revoking registration under
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Federal Motor Carrier Safety Administration, DOT Pt. 385, App. A
this subpart by following the proce- safety audit and roadside inspections to de-
dures set forth in § 385.915. termine that each owner and each operator
applicant for new entrant registration, pro-
§ 385.1015 Other orders unaffected; not visional operating authority, or provisional
exclusive remedy. Certificate of Registration has basic safety
management controls in place. The term
If a motor carrier subject to an order ‘‘safety audit’’ is the equivalent to the
issued under this subpart is or becomes ‘‘safety review’’ required by Sec. 210. Using
subject to any other order, prohibition, ‘‘safety audit’’ avoids any possible confusion
or requirement of the FMCSA, an order with the safety reviews previously conducted
issued under this subpart is in addition by the agency that were discontinued on
to, and does not amend or supersede September 30, 1994.
the other order, prohibition, or require- (c) The safety audit evaluation process de-
ment. Nothing in this subpart pre- veloped by the FMCSA is used to:
cludes FMCSA from taking action 1. Evaluate basic safety management con-
trols and determine if each owner and each
against any motor carrier under 49 operator is able to operate safely in inter-
U.S.C. 13905 for other conduct amount- state commerce; and
ing to willful failure to comply with an 2. Identify owners and operators who are
applicable statute, regulation or having safety problems and need improve-
FMCSA order. ment in their compliance with the FMCSRs
and the HMRs, before they are granted per-
§ 385.1017 Penalties. manent registration.
Any motor carrier that the Agency II. SOURCE OF THE DATA FOR THE SAFETY
determines to be in violation of this AUDIT EVALUATION CRITERIA
subpart shall be subject to the civil or
criminal penalty provisions of 49 U.S.C. (a) The FMCSA’s evaluation criteria are
521(b) and applicable regulations. built upon the operational tool known as the
safety audit. This tool was developed to as-
§ 385.1019 Service and computation of sist auditors and investigators in assessing
time. the adequacy of a new entrant’s basic safety
management controls.
Service of documents and computa- (b) The safety audit is a review of a Mex-
tions of time will be made in accord- ico-domiciled or new entrant motor carrier’s
ance with §§ 386.6 and 386.8 of this sub- operation and is used to:
chapter. All documents that are re- 1. Determine if a carrier has the basic safe-
quired to be served or filed must be ty management controls required by 49
served or filed with a certificate of U.S.C. 31144;
service. 2. Meet the requirements of Section 350 of
the DOT Appropriations Act; and
APPENDIX A TO PART 385—EXPLANATION 3. In the event that a carrier is found not
OF SAFETY AUDIT EVALUATION CRITERIA to be in compliance with applicable FMCSRs
and HMRs, the safety audit can be used to
I. GENERAL educate the carrier on how to comply with
U.S. safety rules.
(a) Section 210 of the Motor Carrier Safety
(c) Documents such as those contained in
Improvement Act (49 U.S.C. 31144) directed
the driver qualification files, records of duty
the Secretary to establish a procedure
status, vehicle maintenance records, and
whereby each owner and each operator
other records are reviewed for compliance
granted new authority must undergo a safe-
with the FMCSRs and HMRs. Violations are
ty review within 12 months after receipt of
cited on the safety audit. Performance-based
its US DOT number for motor carriers of
information, when available, is utilized to
property and 120 days for motor carriers of
evaluate the carrier’s compliance with the
passengers. The Secretary was also required
vehicle regulations. Recordable accident in-
to establish the elements of this safety re-
formation is also collected.
view, including basic safety management
controls. The Secretary, in turn, delegated III. DETERMINING IF THE CARRIER HAS BASIC
this to the FMCSA. SAFETY MANAGEMENT CONTROLS
(b) To meet the safety standard, a motor
carrier must demonstrate to the FMCSA (a) During the safety audit, the FMCSA
that it has basic safety management con- gathers information by reviewing a motor
trols in place which function adequately to carrier’s compliance with ‘‘acute’’ and ‘‘crit-
ensure minimum acceptable compliance with ical’’ regulations of the FMCSRs and HMRs.
kpayne on VMOFRWIN702 with $$_JOB
the applicable safety requirements. A ‘‘safe- (b) Acute regulations are those where non-
ty audit evaluation criteria’’ was developed compliance is so severe as to require imme-
by the FMCSA, which uses data from the diate corrective actions by a motor carrier
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Pt. 385, App. A 49 CFR Ch. III (10–1–20 Edition)
regardless of the overall basic safety man- 2. If the motor carrier’s vehicle OOS rate is
agement controls of the motor carrier. less than 34 percent, or if there are less than
(c) Critical regulations are those where three inspections, the determination of the
noncompliance relates to management and/ carrier’s level of safety management con-
or operational controls. These are indicative trols will only be based on discovered non-
of breakdowns in a carrier’s management compliance with the acute and critical regu-
controls. lations of part 396.
(d) The list of the acute and critical regu- (b) Over two million inspections occur on
lations, which are used in determining if a the roadside each year. This vehicle inspec-
carrier has basic safety management con- tion information is retained in the MCMIS
trols in place, is included in Appendix B, VII. and is integral to evaluating motor carriers’
List of Acute and Critical Regulations. ability to successfully maintain their vehi-
(e) Noncompliance with acute and critical cles, thus preventing them from being placed
regulations are indicators of inadequate
OOS during roadside inspections. Each safety
safety management controls and usually
audit will continue to have the requirements
higher than average accident rates.
of part 396, Inspection, Repair, and Mainte-
(f) Parts of the FMCSRs and the HMRs
nance, reviewed as indicated by the above ex-
having similar characteristics are combined
together into six regulatory areas called planation.
‘‘factors.’’ The regulatory factors, evaluated
B. The Accident Factor
on the basis of the adequacy of the carrier’s
safety management controls, are: (a) In addition to the five regulatory fac-
1. Factor 1—General: Parts 387 and 390; tors, a sixth factor is included in the process
2. Factor 2—Driver: Parts 382, 383 and 391; to address the accident history of the motor
3. Factor 3—Operational: Parts 392 and 395; carrier. This factor is the recordable acci-
4. Factor 4—Vehicle: Part 393, 396 and in- dent rate, which the carrier has experienced
spection data for the last 12 months; during the past 12 months. Recordable acci-
5. Factor 5—Hazardous Materials: Parts dent, as defined in 49 CFR 390.5, means an ac-
171, 177, 180 and 397; and cident involving a commercial motor vehicle
6. Factor 6—Accident: Recordable Accident operating on a public road in interstate or
Rate per Million Miles. intrastate commerce which results in a fa-
(g) For each instance of noncompliance tality; a bodily injury to a person who, as a
with an acute regulation, 1.5 points will be result of the injury, immediately receives
assessed.
medical treatment away from the scene of
(h) For each instance of noncompliance
the accident; or one or more motor vehicles
with a critical regulation, 1 point will be as-
incurring disabling damage as a result of the
sessed.
(i) FMCSA also gathers information on accident requiring the motor vehicle to be
compliance with applicable household goods transported away from the scene by a tow
and Americans with Disabilities Act of 1990 truck or other motor vehicle.
requirements, but failure to comply with (b) Experience has shown that urban car-
these requirements does not affect the deter- riers, those motor carriers operating entirely
mination of the adequacy of basic safety within a radius of less than 100 air miles
management controls. (normally urban areas), have a higher expo-
sure to accident situations because of their
A. Vehicle Factor environment and normally have higher acci-
(a) When at least three vehicle inspections dent rates.
are recorded in the Motor Carrier Manage- (c) The recordable accident rate will be
ment Information System (MCMIS) during used in determining the carrier’s basic safety
the twelve months before the safety audit or management controls in Factor 6, Accident.
performed at the time of the review, the Ve- It will be used only when a carrier incurs two
hicle Factor (Part 396) will be evaluated on or more recordable accidents within the 12
the basis of the Out-of-Service (OOS) rates months before the safety audit. An urban
and noncompliance with acute and critical carrier (a carrier operating entirely within a
regulations. The results of the review of the radius of 100 air miles) with a recordable rate
OOS rate will affect the Vehicle Factor as per million miles greater than 1.7 will be
follows: deemed to have inadequate basic safety man-
1. If the motor carrier has had at least agement controls for the accident factor. All
three roadside inspections in the twelve other carriers with a recordable accident
months before the safety audit, and the vehi- rate per million miles greater than 1.5 will
cle OOS rate is 34 percent or higher, one be deemed to have inadequate basic safety
point will be assessed against the carrier. management controls for the accident fac-
That point will be added to any other points tor. The rates are the result of roughly dou-
assessed for discovered noncompliance with bling the national average accident rate in
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acute and critical regulations of part 396 to Fiscal Years 1994, 1995, and 1996.
determine the carrier’s level of safety man- (d) The FMCSA will continue to consider
agement control for that factor; and preventability when a new entrant contests
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Federal Motor Carrier Safety Administration, DOT Pt. 385, App. B
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).
C. Factor Ratings (b) As directed, FMCSA promulgated a
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-
tions for each factor is equal to three or procedure to determine the safety fitness of
more points, the carrier is determined not to motor carriers through the assignment of
have basic safety management controls for safety ratings and established a ‘‘safety fit-
that individual factor. ness standard’’ which a motor carrier must
If the recordable accident rate is greater meet to obtain a satisfactory safety rating.
than 1.7 recordable accidents per million (c) To meet the safety fitness standard, a
miles for an urban carrier (1.5 for all other motor carrier must demonstrate to the
carriers), the carrier is determined to have FMCSA that it has adequate safety manage-
inadequate basic safety management con- ment controls in place which function effec-
trols. tively to ensure acceptable compliance with
the applicable safety requirements. A ‘‘safe-
IV. OVERALL DETERMINATION OF THE CAR- ty fitness methodology’’ (SFRM) was devel-
RIER’S BASIC SAFETY MANAGEMENT CON-
oped by the FMCSA, which uses data from
TROLS
compliance reviews (CRs) and roadside in-
(a) If the carrier is evaluated as having in- spections to rate motor carriers.
adequate basic safety management controls (d) The safety rating process developed by
in at least three separate factors, the carrier FMCSA is used to:
will be considered to have inadequate safety 1. Evaluate safety fitness and assign one of
management controls in place and corrective three safety ratings (satisfactory, conditional,
action will be necessary in order to avoid or unsatisfactory) to motor carriers operating
having its new entrant registration, provi- in interstate commerce. This process con-
sional operating authority, or provisional forms to 49 CFR 385.5, Safety fitness stand-
Certificate of Registration revoked. ard, and § 385.7, Factors to be considered in
(b) For example, FMCSA evaluates a car- determining a safety rating.
rier finding:
2. Identify motor carriers needing improve-
(1) One instance of noncompliance with a
critical regulation in part 387 scoring one ment in their compliance with the Federal
point for Factor 1; Motor Carrier Safety Regulations (FMCSRs)
(2) Two instances of noncompliance with and applicable Hazardous Materials Regula-
acute regulations in part 382 scoring three tions (HMRs). These are carriers rated unsat-
points for Factor 2; isfactory or conditional.
(3) Three instances of noncompliance with 2. Identify motor carriers needing improve-
critical regulations in part 396 scoring three ment in their compliance with the Federal
points for Factor 4; and Motor Carrier Safety Regulations (FMCSRs)
(4) Three instances of noncompliance with and applicable Hazardous Materials Regula-
acute regulations in parts 171 and 397 scoring tions (HMRs). These are carriers rated Un-
four and one-half (4.5) points for Factor 5. satisfactory or Conditional.
(c) In this example, the carrier scored (e) The hazardous materials safety permit
three or more points for Factors 2, 4 and 5 requirements of part 385, subpart E apply to
and FMCSA determined the carrier had inad- intrastate motor carriers. Intrastate motor
equate basic safety management controls in carriers that are subject to the hazardous
at least three separate factors. FMCSA will materials safety permit requirements in sub-
require corrective action in order to avoid part E will be rated using equivalent State
having the carrier’s new entrant registration requirements whenever the FMCSRs are ref-
revoked, or having the provisional operating erenced in this appendix.
authority or provisional Certificate of Reg- (f) The safety rating will be determined by
istration suspended and possibly revoked. applying the SFRM equally to all of a com-
kpayne on VMOFRWIN702 with $$_JOB
[67 FR 12773, Mar. 19, 2002, as amended a6 67 pany’s motor carrier operations in com-
FR 31985, May 13, 2002; 73 FR 76496, Dec. 16, merce, including if applicable its operations
2008; 78 FR 60232, Oct. 1, 2013] in Canada and/or Mexico.
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Pt. 385, App. B 49 CFR Ch. III (10–1–20 Edition)
I. SOURCE OF DATA FOR RATING METHODOLOGY (e) Noncompliance with acute regulations
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
follow-up investigation on motor carriers basis of the adequacy of the carrier’s safety
rated unsatisfactory or conditional as a result management controls, are: (1) Parts 172 and
of a previous review, (3) to investigate com- 173; (2) Parts 387 and 390; (3) Parts 382, 383,
plaints, or (4) in response to a request by a and 391; (4) Parts 392 and 395; (5) Parts 393
motor carrier to reevaluate its safety rating. and 396 when there are less than three vehi-
Documents such as those contained in driver cle inspections in the last 12 months to
qualification files, records of duty status, ve- evaluate; and (6) Parts 397, 171, 177 and 180.
hicle maintenance records, and other records (g) For each instance of noncompliance
are thoroughly examined for compliance with an acute regulation or each pattern of
with the FMCSRs and HMRs. Violations are noncompliance with a critical regulation
cited on the CR document. Performance- during the CR, one point will be assessed. A
based information, when available, is uti- pattern is more than one violation. When a
lized to evaluate the carrier’s compliance number of documents are reviewed, the num-
with the vehicle regulations. Recordable ac- ber of violations required to meet a pattern
cident information is also collected. is equal to at least 10 percent of those exam-
ined.
II. CONVERTING CR INFORMATION INTO A (h) However, each pattern of noncompli-
SAFETY RATING ance with a critical regulation relative to
Part 395, Hours of Service of Drivers, will be
(a) The FMCSA gathers information
assessed two points.
through an in-depth examination of the
motor carrier’s compliance with identified A. Vehicle Factor
‘‘acute’’ or ‘‘critical’’ regulations of the
FMCSRs and HMRs. (a) When a total of three or more inspections
(b) Acute regulations are those identified are recorded in the Motor Carrier Management
as such where noncompliance is so severe as Information System (MCMIS) during the twelve
months prior to the CR or performed at the time
to require immediate corrective actions by a
of the review, the Vehicle Factor (Parts 393
motor carrier regardless of the overall safety
and 396) will be evaluated on the basis of the
posture of the motor carrier. An example of
Out-of-Service (OOS) rates and noncompli-
an acute regulation is § 383.37(b), allowing,
ance with acute regulations and/or a pattern
requiring, permitting, or authorizing an em-
of noncompliance with critical regulations.
ployee with more than one Commercial Driv-
The results of the review of the OOS rate
er’s License (CDL) to operate a commercial
will affect the Vehicle Factor rating as fol-
motor vehicle. Noncompliance with
lows:
§ 383.37(b) is usually discovered when the 1. If a motor carrier has three or more
motor carrier’s driver qualification file re- roadside vehicle inspections in the twelve
flects that the motor carrier had knowledge months prior to the carrier review, or three
of a driver with more than one CDL, and still vehicles inspected at the time of the review,
permitted the driver to operate a commer- or a combination of the two totaling three or
cial motor vehicle. If the motor carrier did more, and the vehicle OOS rate is 34 percent
not have such knowledge or could not rea- or greater, the initial factor rating will be
sonably be expected to have such knowledge, conditional. The requirements of Part 396, In-
then a violation would not be cited. spection, Repair, and Maintenance, will be
(c) Critical regulations are those identified examined during each review. The results of
as such where noncompliance relates to man- the examination could lower the factor rat-
agement and/or operational controls. These ing to unsatisfactory if noncompliance with
are indicative of breakdowns in a carrier’s an acute regulation or a pattern of non-
management controls. An example of a crit- compliance with a critical regulation is dis-
ical regulation is § 395.3(a)(1), requiring or covered. If the examination of the Part 396
permitting a property-carrying commercial requirements reveals no such problems with
motor vehicle driver to drive more than 11 the systems the motor carrier is required to
hours. maintain for compliance, the Vehicle Factor
(d) The list of the acute and critical regu- remains conditional.
kpayne on VMOFRWIN702 with $$_JOB
lations which are used in determining safety 2. If a carrier’s vehicle OOS rate is less
ratings is included at the end of this docu- than 34 percent, the initial factor rating will
ment. be satisfactory. If noncompliance with an
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Federal Motor Carrier Safety Administration, DOT Pt. 385, App. B
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
tion, Repair, and Maintenance, reviewed as
(a) Parts of the FMCSRs and the HMRs
indicated by the above explanation.
having similar characteristics are combined
B. Accident Factor together into five regulatory areas called
‘‘factors.’’
(a) In addition to the five regulatory rating (b) The following table shows the five regu-
factors, a sixth factor is included in the proc- latory factors, parts of the FMCSRs and
ess to address the accident history of the HMRs associated with each factor, and the
motor carrier. This factor is the recordable accident factor. Factor Ratings are deter-
accident rate for the past 12 months. A re- mined as follows:
cordable accident, consistent with the defini-
tion for ‘‘accident’’ in 49 CFR 390.5, means an FACTORS
occurrence involving a commercial motor
Factor 1 General = Parts 387 and 390
vehicle on a highway in motor carrier oper-
Factor 2 Driver = Parts 382, 383 and 391
ations in commerce or within Canada or
Factor 3 Operational = Parts 392 and 395
Mexico (if the motor carrier also operates in
Factor 4 Vehicle = Parts 393 and 396
the United States) that results in a fatality;
Factor 5 Haz. Mat. = Parts 397, 171, 177 and
in bodily injury to a person who, as a result
180
of the injury, immediately receives medical
Factor 6 Accident Factor = Recordable
treatment away from the scene of the acci-
dent; or in one or more motor vehicles incur- Rate
ring disabling damage that requires the ‘‘Satisfactory’’—if the acute and/or critical =
motor vehicle to be transported away from 0 points
the scene by a tow truck or other motor ve- ‘‘Conditional’’—if the acute and/or critical =
hicle. 1 point
(b) Recordable accidents per million miles ‘‘Unsatisfactory’’—if the acute and/or crit-
were computed for each CR performed in Fis- ical = 2 or more points
cal Years 1994,1995 and 1996. The national av-
erage for all carriers rated was 0.747, and .839 III. SAFETY RATING
for carriers operating entirely within the 100 A. Rating Table
air mile radius.
(c) Experience has shown that urban car- (a) The ratings for the six factors are then
riers, those motor carriers operating pri- entered into a rating table which establishes
marily within a radius of less than 100 air the motor carrier’s safety rating.
miles (normally in urban areas) have a high- (b) The FMCSA has developed a computer-
er exposure to accident situations because of ized rating formula for assessing the infor-
their environment and normally have higher mation obtained from the CR document and
accident rates. is using that formula in assigning a safety
(d) The recordable accident rate will be rating.
used to rate Factor 6, Accident. It will be
used only when a motor carrier incurs two or MOTOR CARRIER SAFETY RATING TABLE
more recordable accidents occurred within
the 12 months prior to the CR. An urban car- Factor ratings Overall
kpayne on VMOFRWIN702 with $$_JOB
rier (a carrier operating entirely within a ra- Unsatisfactory Conditional Safety rating
dius of 100 air miles) with a recordable acci-
dent rate greater than 1.7 will receive an un- 0 ............................ 2 or fewer ............. Satisfactory
343
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Pt. 385, App. B 49 CFR Ch. III (10–1–20 Edition)
MOTOR CARRIER SAFETY RATING TABLE— the procedural avenues a motor carrier
Continued which believes its safety rating to be in error
may exercise, and the means to request an-
Factor ratings Overall other review after corrective action has been
Safety rating taken.
Unsatisfactory Conditional
their ratings if there are factual or procedural gone return-to-duty testing with a nega-
disputes, and to request another review after tive drug test result and/or an alcohol test
corrective actions have been taken. They are with an alcohol concentration of less than
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Federal Motor Carrier Safety Administration, DOT Pt. 385, App. B
0.02 in accordance with 49 CFR 40.305 § 391.11(b)(4) Using a physically unqualified
(acute). driver (acute).
§ 382.503 Allowing a driver to perform safety § 391.15(a) Using a disqualified driver
sensitive function, after engaging in con- (acute).
duct prohibited by subpart B, without § 391.45(a) Using a driver not medically ex-
being evaluated by substance abuse profes- amined and certified (critical).
sional, as required by § 382.605 (critical). § 391.45(b) Using a driver not medically exam-
§ 382.505(a) Using a driver within 24 hours ined and certified during the preceding 24
after being found to have an alcohol con- months (critical).
centration of 0.02 or greater but less than § 391.51(a) Failing to maintain driver quali-
0.04 (acute). fication file on each driver employed (crit-
§ 382.605 Failing to subject a driver who has ical).
been identified as needing assistance to at § 391.51(b)(2) Failing to maintain inquiries
least six unannounced follow-up drug and/ into driver’s driving record in driver’s
or alcohol tests in the first 12 months fol- qualification file (critical).
lowing the driver’s return-to-duty in ac- § 391.51(b)(7) Failing to maintain medical
cordance with 49 CFR 40.307 (critical). examiner’s certificate in driver’s qualifica-
§ 383.23(a) Operating a commercial motor tion file (critical).
vehicle without a valid commercial driv- § 392.2 Operating a motor vehicle not in ac-
cordance with the laws, ordinances, and
er’s license (critical).
regulations of the jurisdiction in which it
§ 383.37(a) Knowingly allowing, requiring,
is being operated (critical).
permitting, or authorizing an employee
§ 392.4(b) Requiring or permitting a driver
who does not have a current CLP or CDL,
to drive while under the influence of, or in
who does not have a CLP or CDL with the
possession of, a narcotic drug, amphet-
proper class or endorsements, or who oper-
amine, or any other substance capable of
ates a CMV in violation of any restriction
rendering the driver incapable of safely op-
on the CLP or CDL to operate a CMV
erating a motor vehicle (acute).
(acute).
§ 392.5(b)(1) Requiring or permitting a driver
§ 383.37(b) Knowingly allowing, requiring, to drive a motor vehicle while under the
permitting, or authorizing an employee influence of, or in possession of, an intoxi-
with a commercial driver’s license which is cating beverage (acute).
suspended, revoked, or canceled by a state § 392.5(b)(2) Requiring or permitting a driver
or who is disqualified to operate a commer- who shows evidence of having consumed an
cial motor vehicle (acute). intoxicating beverage within 4 hours to op-
§ 383.37(c) Knowingly allowing, requiring, erate a motor vehicle (acute).
permitting, or authorizing an employee § 392.6 Scheduling a run which would neces-
with more than one commercial driver’s li- sitate the vehicle being operated at speeds
cense to operate a commercial motor vehi- in excess of those prescribed (critical).
cle (acute). § 392.9(a)(1) Requiring or permitting a driver
§ 383.51(a) Knowingly allowing, requiring, to drive without the vehicle’s cargo being
permitting, or authorizing a driver to drive properly distributed and adequately se-
who is disqualified to drive a commercial cured (critical).
motor vehicle (acute). § 395.1(h)(1)(i)(A) Requiring or permitting a
§ 387.7(a) Operating a motor vehicle without property-carrying commercial motor vehi-
having in effect the required minimum lev- cle driver to drive more than 15 hours
els of financial responsibility coverage (Driving in Alaska) (critical).
(acute). § 395.1(h)(1)(i)(B) Requiring or permitting a
§ 387.7(d) Failing to maintain at principal property-carrying commercial motor vehi-
place of business required proof of finan- cle driver to drive after having been on
cial responsibility (critical). duty 20 hours (Driving in Alaska) (critical).
§ 387.31(a) Operating a passenger carrying § 395.1(h)(1)(i)(C) Requiring or permitting a
vehicle without having in effect the re- property-carrying commercial motor vehi-
quired minimum levels of financial respon- cle driver to drive after having been on
sibility (acute). duty more than 70 hours in 7 consecutive
§ 387.31(d) Failing to maintain at principal days (Driving in Alaska) (critical).
place of business required proof of finan- § 395.1(h)(1)(i)(D) Requiring or permitting a
cial responsibility for passenger carrying property-carrying commercial motor vehi-
vehicles (critical). cle driver to drive after having been on
§ 390.15(b)(2) Failing to maintain copies of duty more than 80 hours in 8 consecutive
all accident reports required by State or days (Driving in Alaska) (critical).
other governmental entities or insurers § 395.1(h)(2)(i) Requiring or permitting a pas-
(critical). senger-carrying commercial motor vehicle
§ 390.35 Making, or causing to make fraudu- driver to drive more than 15 hours (Driving
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Pt. 385, App. B 49 CFR Ch. III (10–1–20 Edition)
driver to drive after having been on duty 20 § 395.8(a)(2)(ii) Failure to require a driver to
hours (Driving in Alaska) (critical). submit record of duty status (critical).
§ 395.1(h)(2)(iii) Requiring or permitting a § 395.8(e)(1) Making, or permitting a driver to
passenger-carrying commercial motor ve- make, a false report regarding duty status
hicle driver to drive after having been on (critical).
duty more than 70 hours in 7 consecutive § 395.8(e)(2) or (3) Disabling, deactivating, dis-
days (Driving in Alaska) (critical). engaging, jamming, or otherwise blocking
§ 395.1(h)(2)(iv) Requiring or permitting a or degrading a signal transmission or re-
passenger-carrying commercial motor ve- ception; tampering with an automatic on-
hicle driver to drive after having been on board recording device or ELD; or permit-
duty more than 80 hours in 8 consecutive ting or requiring another person to engage
days (Driving in Alaska) (critical). in such activity (acute).
§ 395.1(o) Requiring or permitting a property- § 395.8(k)(1) Failing to preserve a driver’s
carrying commercial motor vehicle driver record of duty status or supporting docu-
to drive after having been on duty 16 con- ments for 6 months (critical).
secutive hours (critical). § 395.11(b) Failing to require a driver to sub-
§ 395.3(a)(1) Requiring or permitting a prop- mit supporting documents (critical).
erty-carrying commercial motor vehicle § 395.11(c) Failing to retain types of sup-
driver to drive without taking an off-duty porting documents as required by § 395.11(c)
period of at least 10 consecutive hours (critical).
prior to driving (critical). § 395.11(e) Failing to retain supporting docu-
§ 395.3(a)(2) Requiring or permitting a prop- ments in a manner that permits the effec-
erty-carrying commercial motor vehicle tive matching of the documents to the
driver to drive after the end of the 14th driver’s record of duty status (critical).
hour after coming on duty (critical). § 395.11(f) Altering, defacing, destroying, mu-
§ 395.3(a)(3)(i) Requiring or permitting a prop- tilating, or obscuring a supporting docu-
erty-carrying commercial motor vehicle ment (critical).
driver to drive more than 11 hours (crit- § 395.30(f) Failing to retain ELD information
ical). (acute).
§ 395.3(a)(3)(ii) Requiring or permitting a § 396.3(b) Failing to keep minimum records
property-carrying commercial motor vehi- of inspection and vehicle maintenance
cle driver to drive if more than 8 hours of (critical).
driving time have passed without a con- § 396.9(c)(2) Requiring or permitting the op-
secutive interruption in driving status of eration of a motor vehicle declared ‘‘out-
at least 30 minutes, either off-duty, sleeper of-service’’ before repairs were made
berth or on-duty not driving (critical). (acute).
§ 395.3(b)(1) Requiring or permitting a prop- § 396.11(a) Failing to require driver to pre-
erty-carrying commercial motor vehicle pare driver vehicle inspection report (crit-
driver to drive after having been on duty ical).
more than 60 hours in 7 consecutive days § 396.11(a)(3) Failing to correct Out-of-Service
(critical). defects listed by driver in a driver vehicle
§ 395.3(b)(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 having been on duty § 396.17(a) Using a commercial motor vehi-
more than 70 hours in 8 consecutive days cle not periodically inspected (critical).
(critical). § 396.17(g) Failing to promptly repair parts
§ 395.5(a)(1) Requiring or permitting a pas- and accessories not meeting minimum
senger-carrying commercial motor vehicle periodic inspection standards (acute).
driver to drive more than 10 hours (crit- § 397.5(a) Failing to ensure a motor vehicle
ical). containing Division 1.1, 1.2, or 1.3 (explo-
§ 395.5(a)(2) Requiring or permitting a pas- sive) material is attended at all times by
senger-carrying commercial motor vehicle its driver or a qualified representative
driver to drive after having been on duty 15 (acute).
hours (critical). § 397.7(a)(1) Parking a motor vehicle con-
§ 395.5(b)(1) Requiring or permitting a pas- taining Division 1.1, 1.2, or 1.3 materials
senger-carrying commercial motor vehicle within 5 feet of traveled portion of high-
driver to drive after having been on duty way or street (critical).
more than 60 hours in 7 consecutive days § 397.7(b) Parking a motor vehicle con-
(critical). taining hazardous material(s) other than
§ 395.5(b)(2) Requiring or permitting a pas- Division 1.1, 1.2, or 1.3 materials within 5
senger-carrying commercial motor vehicle feet of traveled portion of highway or
driver to drive after having been on duty street (critical).
more than 70 hours in 8 consecutive days § 397.13(a) Permitting a person to smoke or
(critical). carry a lighted cigarette, cigar or pipe
kpayne on VMOFRWIN702 with $$_JOB
§ 395.8(a)(1) Failing to require a driver to pre- within 25 feet of a motor vehicle con-
pare a record of duty status using appro- taining Class 1 materials, Class 5 mate-
priate method (critical). rials, or flammable materials classified as
346
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Federal Motor Carrier Safety Administration, DOT Pt. 385, App. B
Division 2.1, Class 3, Divisions 4.1 and 4.2 § 173.443(a) Accepting for transportation or
(critical). transporting a package containing Class 7
§ 397.19(a) Failing to furnish driver of motor (radioactive) material with removable con-
vehicle transporting Division 1.1, 1.2, or 1.3 tamination on the external surfaces of the
(explosive) materials with a copy of the package in excess of permissible limits
rules of part 397 and/or emergency response (acute).
instructions (critical). § 177.800(c) Failing to instruct a category of
§ 397.67(d) Requiring or permitting the oper- employees in hazardous materials regula-
ation of a motor vehicle containing explo- tions (critical).
sives in Class 1, Divisions 1.1, 1.2, or 1.3
§ 177.801 Accepting for transportation or
that is not accompanied by a written route
transporting a forbidden material (acute).
plan (critical).
§ 171.15 Carrier failing to give immediate § 177.835(a) Loading or unloading a Class 1
telephone notice of an incident involving (explosive) material with the engine run-
hazardous materials (critical). ning (acute).
§ 171.16 Carrier failing to make a written re- § 177.835(c) Accepting for transportation or
port of an incident involving hazardous transporting Division 1.1 or 1.2 (explosive)
materials (critical). materials in a motor vehicle or combina-
§ 172.313(a) Accepting for transportation or tion of vehicles that is not permitted
transporting a package containing a poi- (acute).
sonous-by-inhalation material that is not § 177.835(j) Transferring Division 1.1, 1.2, or
marked with the words ‘‘Inhalation Haz- 1.3 (explosive) materials between con-
ard’’ (acute). tainers or motor vehicles when not per-
§ 172.704(a)(4) Failing to provide security mitted (acute).
awareness training (critical). § 177.817(a) Transporting a shipment of haz-
§ 172.704(a)(5) Failing to provide in-depth se- ardous materials not accompanied by a
curity awareness training (critical). properly prepared shipping paper (critical).
§ 172.800(b) Transporting HM without a secu- § 177.817(e) Failing to maintain proper ac-
rity plan (acute).
cessibility of shipping papers (critical).
§ 172.800(b) Transporting HM without a secu-
§ 177.823(a) Moving a transport vehicle con-
rity plan that conforms to Subpart I re-
taining hazardous material that is not
quirements (acute).
properly marked or placarded (critical).
§ 172.800(b) Failure to adhere to a required
security plan (acute). § 177.841(e) Transporting a package bearing
§ 173.24(b)(1) Accepting for transportation or a poison label in the same transport vehi-
transporting a package that has an identi- cle with material marked or known to be
fiable release of a hazardous material to foodstuff, feed, or any edible material in-
the environment (acute). tended for consumption by humans or ani-
§ 173.421 Accepting for transportation or mals unless an exception in § 177.841(e)(i) or
transporting a Class 7 (radioactive) mate- (ii) is met (acute).
rial described, marked, and packaged as a § 180.407(a) Transporting a shipment of haz-
limited quantity when the radiation level ardous material in cargo tank that has not
on the surface of the package exceeds been inspected or retested in accordance
0.005mSv/hour (0.5 mrem/hour) (acute). with § 180.407 (critical).
§ 173.431(a) Accepting for transportation or § 180.407(c) Failing to periodically test and
transporting in a Type A packaging a inspect a cargo tank (critical).
greater quantity of Class 7 (radioactive) § 180.415 Failing to mark a cargo tank which
material than authorized (acute). passed an inspection or test required by
§ 173.431(b) Accepting for transportation or § 180.407 (critical).
transporting in a Type B packaging a
§ 180.417(a)(1) Failing to retain cargo tank
greater quantity of Class 7 (radioactive)
manufacturer’s data report certificate and
material than authorized (acute).
related papers, as required (critical).
§ 173.441(a) Accepting for transportation or
transporting a package containing Class 7 § 180.417(a)(2) Failing to retain copies of
(radioactive) material with external radi- cargo tank manufacturer’s certificate and
ation exceeding allowable limits (acute). related papers (or alternative report) as re-
§ 173.442(b) Accepting for transportation or quired (critical).
transporting a package containing Class 7 [62 FR 60043, Nov. 6, 1997]
(radioactive) material when the tempera-
ture of the accessible external surface of EDITORIAL NOTE: For FEDERAL REGISTER ci-
the loaded package exceeds 50 °C (122 °F) in tations affecting appendix B to part 385, see
kpayne on VMOFRWIN702 with $$_JOB
other than an exclusive use shipment, or 85 the List of CFR Sections Affected, which ap-
°C (185 °F) in an exclusive use shipment pears in the Finding Aids section of the
(acute). printed volume and at www.govinfo.gov.
347
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Pt. 386 49 CFR Ch. III (10–1–20 Edition)
348
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Federal Motor Carrier Safety Administration, DOT § 386.2
the Chief Safety Officer of the Federal Agency means the Federal Motor Car-
Motor Carrier Safety Administration, rier Safety Administration.
under applicable provisions of the Fed- Agency Counsel means the attorney
eral Motor Carrier Safety Regulations who prosecutes a civil penalty matter
(49 CFR parts 350–399), including the on behalf of the Field Administrator.
commercial regulations (49 CFR parts Assistant Administrator means the As-
360–379), and the Hazardous Materials sistant Administrator of the Federal
Regulations (49 CFR parts 171–180). Motor Carrier Safety Administration.
(b) The purpose of the proceedings is The Assistant Administrator is the
to enable the Assistant Administrator: Chief Safety Officer of the agency pur-
(1) To determine whether a motor suant to 49 U.S.C. 113(e). Decisions of
carrier, intermodal equipment provider the Assistant Administrator in motor
(as defined in § 390.5 of this chapter), carrier, broker, freight forwarder, and
property broker, freight forwarder, or hazardous materials proceedings under
its agents, employees, or any other per- this part are administratively final.
son subject to the jurisdiction of Broker means a person who, for com-
FMCSA, has failed to comply with the pensation, arranges or offers to arrange
provisions or requirements of applica- the transportation of property by an
ble statutes and the corresponding reg- authorized motor carrier. A motor car-
ulations; and rier, or person who is an employee or
(2) To issue an appropriate order to bona fide agent of a carrier, is not a
compel compliance with the statute or broker within the meaning of this sec-
regulation, assess a civil penalty, or tion when it arranges or offers to ar-
both, if such violations are found. range the transportation of shipments
(c)(1) The rules in § 386.12(a) govern which it is authorized to transport and
the filing of a complaint of a substan- which it has accepted and legally
tial violation and the handling of the bound itself to transport.
complaint by the appropriate Division Civil forfeiture proceedings means pro-
Administrator. ceedings to collect civil penalties for
(2) The rules in § 386.12(b) govern the violations under the Commercial
filing by a driver and the handling by Motor Vehicle Safety Act of 1986 (49
the appropriate Division Administrator U.S.C. Chapter 313); the Hazardous Ma-
of a complaint of harassment in viola- terials Transportation Act of 1975, as
tion of § 390.36 of this subchapter. amended (49 U.S.C. Chapter 51); the
(3) The rules in § 386.12(c) govern the Motor Carrier Safety Act of 1984 (49
filing by a driver and the handling by U.S.C. Chapter 311, Subchapter III);
the appropriate Division Administrator section 18 of the Bus Regulatory Re-
of a complaint of coercion in violation form Act of 1982 (49 U.S.C. 31138); sec-
of § 390.6 of this subchapter. tion 30 of the Motor Carrier Act of 1980
[73 FR 76819, Dec. 17, 2008, as amended at 80 (49 U.S.C. 31139); and the ICC Termi-
FR 74709, Nov. 30, 2015; 81 FR 78381, Dec. 16, nation Act of 1995 (49 U.S.C. Chapters
2015; 81 FR 68347, Oct. 4, 2016] 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,
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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
349
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§ 386.2 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 386.4
Motor carrier means a motor carrier, tion, engaged in the performance of in-
motor private carrier, or motor carrier vestigative or prosecutorial functions
of migrant workers as defined in 49 in a civil penalty proceeding may not,
U.S.C. 13102 and 31501. in that case or a factually related case,
Notice of Claim (NOC) means the ini- discuss or communicate the facts or
tial document issued by FMCSA to as- issues involved with the Agency deci-
sert a civil penalty for alleged viola- sionmaker, Administrative Law Judge,
tions of the FMCSRs, HMRs, or Hearing Officer or others listed in para-
FMCCRs. graph (d) of this section, except as
Notice of Violation (NOV) means a doc- counsel or a witness in the public pro-
ument alleging a violation of the ceedings. This prohibition also includes
FMCSRs, HMRs, or FMCCRs, for which the staff of those covered by this sec-
corrective action, other than payment tion.
of a civil penalty, is recommended. (c) The Deputy Chief Counsel, Assist-
Person means any individual, part- ant Chief Counsel for Enforcement and
nership, association, corporation, busi- Litigation, and attorneys in the En-
ness trust, or any other organized forcement and Litigation Division
group of individuals. serve as enforcement counsel in the
Reply means a written response to a prosecution of all cases brought under
Notice of Claim, admitting or denying this part.
the allegations contained within the (d) The Chief Counsel, the Special
Notice of Claim. In addition, the reply Counsel to the Chief Counsel, and at-
provides the mechanism for deter- torneys serving as Adjudications Coun-
mining whether the respondent seeks sel advise the Agency decisionmaker
to pay, settle, contest, or seek binding regarding all cases brought under this
arbitration of the claim. See § 386.14. If Part.
contesting the allegations, the reply (e) Nothing in this part shall pre-
must also set forth all known affirma- clude agency decisionmakers or anyone
tive defenses and factors in mitigation advising an agency decisionmaker from
of the claim. taking part in a determination to
Petitioner means a party petitioning launch an investigation or issue a com-
to overturn a determination in a driver plaint, or similar preliminary decision.
qualification proceeding.
Respondent means a party against [70 FR 28479, May 18, 2005]
whom relief is sought or claim is made.
Secretary means the Secretary of § 386.4 Appearances and rights of par-
ties.
Transportation.
Submission of written evidence without (a) A party may appear in person, by
hearing means the submission of writ- counsel, or by other representative, as
ten evidence and legal argument to the the party elects, in a proceeding under
Agency decisionmaker, or his/her rep- this subpart.
resentative, in lieu of a formal or infor- (b) A person representing a party
mal hearing. must file a notice of appearance in the
proceeding, in the manner provided in
[50 FR 40306, Oct. 2, 1985, as amended at 53 FR
2036, Jan. 26, 1988; 56 FR 10182, Mar. 11, 1991; § 386.7 of this subpart. The notice of ap-
65 FR 7755, Feb. 16, 2000; 65 FR 78427, Dec. 15, pearance must list the name, address,
2000; 67 FR 61821, Oct. 2, 2002; 70 FR 28748, telephone number, and facsimile num-
May 18, 2005; 72 FR 55701, Oct. 1, 2007; 78 FR ber of the person designated to rep-
58481, Sept. 24, 2013] 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
(a) Civil penalty proceedings will be of this subpart. The notice of appear-
prosecuted by Agency Counsel who rep- ance must be filed and served before
resent the Field Administrator. In No- the representative can participate in
tices of Violation, the Field Adminis- the proceeding. Any changes in an at-
trator will be represented by Agency torney or representative’s contact in-
Counsel. formation must be served and filed ac-
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§ 386.5 49 CFR Ch. III (10–1–20 Edition)
served in accordance with § 386.6. A been made on the next day that is not
copy must also be served upon the per- a Saturday, Sunday, or legal holiday.
352
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Federal Motor Carrier Safety Administration, DOT § 386.11
(f) Presumption of service. There shall (3) Whenever a party has a right or a
be a presumption of service if the docu- duty to act or to make any response
ment is served where a party or a per- within a prescribed period after service
son customarily receives mail or at the by mail, or on a date certain after serv-
address designated in the entry of ap- ice by mail, 5 days will be added to the
pearance. If an entry of appearance has prescribed period.
been filed on behalf of the party, serv- [70 FR 28480, May 18, 2005, as amended at 78
ice is effective upon service of a docu- FR 58481, Sept. 24, 2013]
ment to its representative.
[70 FR 28480, May 18, 2005] Subpart B—Commencement of
Proceedings, Pleadings
§ 386.7 Filing of documents.
Address and method of filing. A person § 386.11 Commencement of pro-
ceedings.
serving or tendering a document for fil-
ing must personally deliver or mail one (a) Driver qualification proceedings.
copy of each document to all parties These proceedings are commenced by
and counsel or their designated rep- the issuance of a determination by the
resentative of record if represented. A Director, Office of Carrier, Driver, and
signed original and one copy of each Vehicle Safety Standards (MC–PS), in
document submitted for the consider- a case arising under § 391.47 of this
ation of the Assistant Administrator, chapter or by the issuance of a letter of
an Administrative Law Judge, or Hear- disqualification.
ing Officer must be personally deliv- (1) Such determination and letters
ered or mailed to: Department of must be accompanied by the following:
Transportation Docket Operations, 1200 (i) A citation of the regulation under
New Jersey Ave., SE., Washington, DC which the action is being taken;
20590–0001. A person will serve a copy of (ii) A copy of all documentary evi-
each document on each party in ac- dence relied on or considered in taking
cordance with § 386.6 of this subpart. such action, or in the case of volumi-
nous evidence a summary of such evi-
[70 FR 28480, May 18, 2005, as amended at 72 dence;
FR 55701, Oct. 1, 2007; 78 FR 58481, Sept. 24, (iii) Notice to the driver and motor
2013]
carrier involved in the case that they
§ 386.8 Computation of time. may petition for review of the action;
(iv) Notice that a hearing will be
(a) Generally. In computing any time granted if the Assistant Administrator
period set out in these rules or in an determines there are material factual
order issued hereunder, the time com- issues in dispute;
putation begins with the day following (v) Notice that failure to petition for
the act, event, or default. The last day review will constitute a waiver of the
of the period is included unless it is a right to contest the action; and
Saturday, Sunday, or legal Federal hol- (vi) Notice that the burden or proof
iday in which case the time period will will be on the petitioner in cases aris-
run to the end of the next day that is ing under § 391.47 of this chapter.
not a Saturday, Sunday, or legal Fed- (2) At any time before the close of
eral holiday. All Saturdays, Sundays, hearing, upon application of a party,
and legal Federal holidays except those the letter or determination may be
falling on the last day of the period amended at the discretion of the ad-
will be computed. ministrative law judge upon such
(b) Date of entry of orders. In com- terms as he/she approves.
puting any period of time involving the (b) Notice of Violation. The Agency
date of the entry of an order, the date may issue a Notice of Violation as a
of entry is the date the order is served. means of notifying any person subject
(c) Computation of time for delivery by to the rules in this part that it has re-
mail. (1) Service of all documents is ceived information (i.e., from an inves-
deemed effected at the time of mailing. tigation, audit, or any other source)
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(2) Documents are not deemed filed wherein it has been alleged the person
until received by Docket Operations. has violated provisions of the FMCSRs,
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§ 386.12 49 CFR Ch. III (10–1–20 Edition)
354
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Federal Motor Carrier Safety Administration, DOT § 386.12
shall be timely notified of findings re- rable from the ELD was used to con-
sulting from the investigation. The Di- tribute to harassment;
vision Administrator shall not be re- (B) The date of the alleged action;
quired to conduct separate investiga- and
tions of duplicative complaints. If the (C) How the motor carrier’s action
Division Administrator determines the violated either § 392.3 or part 395.
complaint is frivolous or does not meet Each complaint may include any sup-
the requirements of paragraph (a)(1), porting evidence that will assist the
the Division Administrator shall dis- Division Administrator in determining
miss the complaint and notify the com- the merits of the complaint.
plainant in writing of the reasons for (2) Upon the filing of a complaint of
the dismissal. a violation under paragraph (b)(1) of
(3) Notwithstanding the provisions of this section, the appropriate Division
5 U.S.C. 552, the Division Adminis- Administrator shall determine whether
trator shall not disclose the identity of the complaint is non-frivolous and
complainants unless it is determined meets the requirements of paragraph
that such disclosure is necessary to (b)(1) of this section.
prosecute a violation. If disclosure be- (i) If the Division Administrator de-
comes necessary, the Division Adminis- termines the complaint is non-frivo-
trator shall take every practical means lous and meets the requirements of
within the Division Administrator’s paragraph (b)(1) of this section, the Di-
authority to ensure that the complain- vision Administrator shall investigate
ant is not subject to coercion, harass- the complaint. The complaining driver
ment, intimidation, disciplinary ac- shall be timely notified of findings re-
tion, discrimination, or financial loss sulting from the investigation. The Di-
as a result of such disclosure. vision Administrator shall not be re-
(b) Complaint of harassment. (1) A quired to conduct separate investiga-
driver alleging a violation of tions of duplicative complaints.
§ 390.36(b)(1) of this subchapter (harass- (ii) If the Division Administrator de-
ment) must file a written complaint termines the complaint is frivolous or
with FMCSA stating the substance of does not meet the requirements of
the alleged harassment by a motor car- paragraph (b)(1) of this section, the Di-
rier no later than 90 days after the vision Administrator shall dismiss the
event. The written complaint, includ- complaint and notify the complainant
ing the information described below, in writing of the reasons for the dis-
must be filed with the National Con- missal.
sumer Complaint Database at http:// (3) Because prosecution of harass-
nccdb.fmcsa.dot.gov or the FMCSA Divi- ment in violation of § 390.36(b)(1) of this
sion Administrator for the State where subchapter will require disclosure of
the driver is employed. The Agency the driver’s identity, the Agency shall
may refer a complaint to another Divi- take every practical means within its
sion Administrator who the Agency be- authority to ensure that the driver is
lieves is best able to handle the com- not subject to coercion, harassment,
plaint. Information on filing a written intimidation, disciplinary action, dis-
complaint may be obtained by calling crimination, or financial loss as a re-
1–800–DOT–SAFT (1–800–368–7238). Each sult of the disclosure. This will include
complaint must be signed by the driver notification that 49 U.S.C. 31105 in-
and must contain: cludes broad employee protections and
(i) The driver’s name, address, and that retaliation for filing a harassment
telephone number; complaint may subject the motor car-
(ii) The name and address of the rier to enforcement action by the Occu-
motor carrier allegedly harassing the pational Safety and Health Adminis-
driver; and tration.
(iii) A concise but complete state- (c) Complaint of coercion. (1) A driver
ment of the facts relied upon to sub- alleging a violation of § 390.6(a)(1) or (2)
stantiate each allegation of harass- of this subchapter must file a written
ment, including: complaint with FMCSA stating the
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(A) How the ELD or other technology substance of the alleged coercion no
used in combination with and not sepa- later than 90 days after the event. The
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§ 386.13 49 CFR Ch. III (10–1–20 Edition)
means within its authority to ensure [50 FR 40306, Oct. 2, 1985, as amended at 78 FR
that the driver is not subject to coer- 58481, Sept. 24, 2013]
356
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Federal Motor Carrier Safety Administration, DOT § 386.16
357
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§ 386.16 49 CFR Ch. III (10–1–20 Edition)
with §§ 386.6 and 386.7. The submission service of the motion for Final Agency
must include all pleadings, notices, and Order, submit and serve a response to
other filings in the case to date. the Field Administrator’s motion.
(2) Respondent will, not later than 45 After reviewing the record, the Assist-
days following service of Agency Coun- ant Administrator will either set the
sel’s written evidence and argument, matter for hearing by referral to the
serve its written evidence and argu- Office of Hearings or issue a Final
ment on the Assistant Administrator Agency Order based upon the submis-
in accordance with §§ 386.6 and 386.7. sions.
(3) Agency Counsel may file a written (4) Requests for informal hearing. (i) If
response to respondent’s submission. the Field Administrator objects with
Any such submission must be filed basis to a request for an informal hear-
within 20 days of service of respond- ing, he/she must serve the objection, a
ent’s submission. copy of the Notice of Claim, and a copy
(4) All written evidence submitted by of respondent’s reply, on the respond-
the parties must conform to the re- ent and Assistant Administrator, pur-
quirements of § 386.49. suant to paragraph (b)(2) of this sec-
(5) Following submission of evidence tion. Based upon the Notice of Claim,
and argument as outlined in this sec- the reply, and the objection with basis,
tion, the Assistant Administrator may the Assistant Administrator will issue
issue a Final Agency Order and order an order granting or denying the re-
based on the evidence and arguments quest for informal hearing.
submitted, or may issue any other
(A) Informal hearing granted. If the re-
order as may be necessary to adju-
quest for informal hearing is granted
dicate the matter.
by the Assistant Administrator, a
(b) Requests for hearing. (1) If a re-
quest for a formal or informal hearing Hearing Officer will be assigned to hear
has been filed, the Assistant Adminis- the matter and will set forth the date,
trator will determine whether there ex- time and location for hearing. No fur-
ists a dispute of a material fact at ther motions will be entertained, and
issue in the matter. If so, the matter no discovery will be allowed. At hear-
will be set for hearing in accordance ing, all parties may present evidence,
with respondent’s reply. If it is deter- written and oral, to the Hearing Offi-
mined that there does not exist a dis- cer, following which the Hearing Offi-
pute of a material fact at issue in the cer will issue a report to the Assistant
matter, the Assistant Administrator Administrator containing findings of
may issue a decision based on the writ- fact and recommending a disposition of
ten record, or may request the submis- the matter. The report will serve as the
sion of further evidence or argument. sole record of the proceedings. The As-
(2) If a respondent requests a formal sistant Administrator may issue a
or informal hearing in its reply, the Final Agency Order adopting the re-
Field Administrator must serve upon port, or issue other such orders as he/
the Assistant Administrator and re- she may deem appropriate. By partici-
spondent a notice of consent or objec- pating in an informal hearing, respond-
tion with a basis to the request within ent waives its right to a formal hear-
60 days of service of respondent’s reply. ing.
Failure to serve an objection within (B) Informal hearing denied. If the re-
the time allotted may result in referral quest for informal hearing is denied,
of the matter to hearing. the Field Administrator must serve a
(3) Requests for formal hearing. Fol- motion for Final Agency Order pursu-
lowing the filing of an objection with ant to § 386.36, unless otherwise di-
basis, the Field Administrator must rected by the Assistant Administrator.
serve a motion for Final Agency Order The motion must set forth the reasons
pursuant to § 386.36 unless otherwise or- why the Field Administrator is enti-
dered by the Assistant Administrator. tled to judgment as a matter of law.
The motion must set forth the reasons Respondent must, within 45 days of
why the Field Administrator is enti- service of the motion for Final Agency
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Federal Motor Carrier Safety Administration, DOT § 386.22
After reviewing the record, the Assist- tice of Claim within 30 days following
ant Administrator will set the matter service of the Notice of Claim. No writ-
for formal hearing by referral to the ten reply is necessary if respondent
Office of Hearings, or will issue a Final elects the payment option during the
Agency Order based upon the submis- 30-day reply period. Failure to serve
sions. full payment within 30 days of service
(C) Nothing in this section shall limit of the Notice of Claim when this option
the Assistant Administrator’s author- has been chosen may constitute a de-
ity to refer any matter for formal hear- fault and may result in the Notice of
ing, even in instances where respond- Claim, including the civil penalty as-
ent seeks only an informal hearing. sessed by the Notice of Claim, becom-
[70 FR 28481, May 18, 2005]
ing the Final Agency Order in the pro-
ceeding pursuant to § 386.14(c).
§ 386.17 Intervention. (c) Unless otherwise agreed in writ-
ing by the parties, payment of the full
After the matter is called for hearing
amount in response to the Notice of
and before the date set for the hearing
Claim constitutes an admission of li-
to begin, any person may petition for
ability by the respondent of all facts
leave to intervene. The petition is to be
alleged in the Notice of Claim. Pay-
served on the administrative law judge.
ment waives respondent’s opportunity
The petition must set forth the reasons
to further contest the claim and will
why the petitioner alleges he/she is en-
result in the Notice of Claim becoming
titled to intervene. The petition must
the Final Agency Order.
be served on all parties in accordance
with § 386.31. Any party may file a re- [70 FR 28482, May 18, 2005, as amended at 77
sponse within 10 days of service of the FR 24870, Apr. 26, 2012]
petition. The administrative law judge
shall then determine whether to permit Subpart C—Settlement
or deny the petition. The petition will Agreements
be allowed if the administrative law
judge determines that the final deci- § 386.22 Settlement agreements and
sion could directly and adversely affect their contents.
the petitioner or the class he/she rep- (a) Settlement agreements. (1) When ne-
resents, and if the petitioner may con- gotiations produce an agreement as to
tribute materially to the disposition of the amount or terms of payment of a
the proceedings and his/her interest is civil penalty or the terms and condi-
not adequately represented by existing tions of an order, a settlement agree-
parties. Once admitted, a petitioner is ment shall be drawn and signed by the
a party for the purpose of all subse- respondent and the Field Adminis-
quent proceedings. trator or his/her designee. Such settle-
ment agreement must contain the fol-
§ 386.18 Payment of the claim. lowing:
(a) Payment of the full amount (i) The statutory basis of the claim;
claimed may be made at any time be- (ii) A brief statement of the viola-
fore issuance of a Final Agency Order tions;
and will constitute an admission of li- (iii) The amount claimed and the
ability by the respondent of all facts amount paid;
alleged in the Notice of Claim, unless (iv) The date, time, and place and
the parties agree in writing that pay- form of payment;
ment shall not be treated as an admis- (v) A statement that the agreement
sion. After the issuance of a Final is not binding on the Agency until exe-
Agency Order, claims are subject to in- cuted by the Field Administrator or
terest, penalties, and administrative his/her designee;
charges, in accordance with 31 U.S.C. (vi) A statement that failure to pay
3717; 49 CFR part 89; and 31 CFR 901.9. in accordance with the terms of the
(b) If respondent elects to pay the agreement or to comply with the terms
full amount as its response to the No- of the agreement may result in the re-
tice of Claim, payment must be served instatement of any penalties held in
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upon the Field Administrator at the abeyance and may also result in the
Service Center designated in the No- loss of any reductions in civil penalties
359
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§ 386.30 49 CFR Ch. III (10–1–20 Edition)
asserted in the Notice of Claim, in the case by consent for the consider-
which case the original amount as- ation of the ALJ. The agreement is
serted will be due immediately; and filed with the ALJ who may accept it,
(vii) A statement that the agreement reject it and direct that proceedings in
is the Final Agency Order. the case continue, or take such other
(2) A settlement agreement may con- action as he/she deems appropriate. If
tain any conditions, actions, or provi- the ALJ accepts the agreement, he/she
sions agreed by the parties to redress shall enter an order in accordance with
the violations cited in the Notice of its terms. The settlement agreement
Claim or notice of violation. becomes the Final Agency Order as per
(3) A settlement agreement accepted § 386.61.
and approved by the Assistant Admin- (e) Civil penalty proceedings before
istrator or Administrative Law Judge Hearing Officer. When a respondent has
is a Final Agency Order which is bind- agreed to a settlement of a civil pen-
ing on all parties according to its alty before the hearing is concluded,
terms. Consent to a settlement agree- the parties may execute an appropriate
ment which has not yet been approved agreement for disposal of the case for
by the Assistant Administrator or Ad- the consideration of the Hearing Offi-
ministrative Law Judge may not be cer. The agreement is filed with the
withdrawn for a period of 30 days. Hearing Officer, who, within 20 days of
(b) Civil penalty proceedings not before receipt, will make a report and rec-
agency decisionmaker. When the parties ommendation to the Assistant Admin-
have agreed to a settlement at any istrator who may accept it, reject it
time prior to the case coming before and direct that proceedings in the case
the Agency decisionmaker, the parties continue, or take such other action as
may execute an appropriate agreement he/she deems appropriate. If the Assist-
for disposing of the case. The agree- ant Administrator accepts the agree-
ment does not require approval by the ment, he/she will enter an order in ac-
Agency decisionmaker. The agreement cordance with its terms. The settle-
becomes the Final Agency Order upon ment agreement becomes the Final
execution by the Field Administrator Agency Order as of the date the Assist-
or his/her designee. ant Administrator enters an order ac-
(c) Civil penalty proceedings before cepting the settlement agreement.
agency decisionmaker. When a respond- [70 FR 28482, May 18, 2005, as amended at 78
ent has agreed to a settlement of a FR 58481, Sept. 24, 2013]
civil penalty before a Final Agency
Order has been issued, the parties may Subpart D—General Rules and
execute an appropriate agreement for Hearings
disposal of the case by consent for the
consideration of the Assistant Admin- § 386.30 Enforcement proceedings
istrator. The agreement is filed with under part 395.
the Assistant Administrator, who may (a) General. A motor carrier is liable
accept it, reject it and direct that pro- for any act or failure to act by an em-
ceedings in the case continue, or take ployee, as defined in § 390.5 of this sub-
such other action as he/she deems ap- chapter, that violates any provision of
propriate. If the Assistant Adminis- part 395 of this subchapter if the act or
trator accepts the agreement, he/she failure to act is within the course of
shall enter an order in accordance with the motor carrier’s operations. The
its terms. The settlement agreement fact that an employee may be liable for
becomes the Final Agency Order as of a violation in a proceeding under this
the date the Assistant Administrator subchapter, based on the employee’s
enters an order accepting the settle- act or failure to act, does not affect the
ment agreement. liability of the motor carrier.
(d) Civil penalty proceedings before Ad- (b) Burden of proof. Notwithstanding
ministrative Law Judge (ALJ). When a re- any other provision of this subchapter,
spondent has agreed to a settlement of the burden is on a motor carrier to
a civil penalty before the hearing is prove that the employee was acting
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concluded, the parties may execute an outside the scope of the motor carrier’s
appropriate agreement for disposing of operations when committing an act or
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Federal Motor Carrier Safety Administration, DOT § 386.36
after the motion is served or within sponsive pleadings, notices, and other
such other time as the Assistant Ad- filings in the case to date.
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§ 386.37 49 CFR Ch. III (10–1–20 Edition)
(2) The motion for final order must identity and location of persons having
be accompanied by written evidence in knowledge of any discoverable matter.
accordance with § 386.49. (b) It is not ground for objection that
(3) The motion will state with par- information sought will not be admis-
ticularity the grounds upon which it is sible at the hearing if the information
based and the substantial matters of sought appears reasonably calculated
law to be argued. A Final Agency Order to lead to the discovery of admissible
may be issued if, after reviewing the evidence.
record in a light most favorable to the (c) A party may obtain discovery of
non-moving party, the Agency deci- documents and tangible things other-
sionmaker determines no genuine issue wise discoverable under paragraph (a)
exists as to any material fact. of this section and prepared in antici-
(c) Answer to Motion. The non-moving pation of or for the hearing by or for
party will, within 45 days of service of another party’s representative (includ-
the motion for final order, submit and ing his or her attorney, consultant,
serve a response to rebut movant’s mo- surety, indemnitor, insurer, or agent)
tion. only upon a showing that the party
[70 FR 28483, May 18, 2005]
seeking discovery has substantial need
of the materials in the preparation of
§ 386.37 Discovery. his or her case and that he or she is un-
able without undue hardship to obtain
(a) Parties may obtain discovery by the substantial equivalent of the mate-
one or more of the following methods: rials by other means. In ordering dis-
Depositions upon oral examination or covery of such materials when the re-
written questions; written interrog- quired showing has been made, the As-
atories; request for production of docu- sistant Administrator or the adminis-
ments or other evidence for inspection trative law judge shall protect against
and other purposes; physical and men- disclosure of the mental impressions,
tal examinations; and requests for ad- conclusions, opinions, or legal theories
mission. of an attorney or other representative
(b) Discovery may not commence of a party concerning the proceeding.
until the matter is pending before the
Assistant Administrator or referred to § 386.39 Protective orders.
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
[70 FR 28483, May 18, 2005] following:
(a) The discovery not be had;
§ 386.38 Scope of discovery. (b) The discovery may be had only on
(a) Unless otherwise limited by order specified terms and conditions, includ-
of the Assistant Administrator or, in ing a designation of the time or place;
cases that have been called for a hear- (c) The discovery may be had only by
ing, the administrative law judge, in a method of discovery other than that
accordance with these rules, the par- selected by the party seeking dis-
ties may obtain discovery regarding covery;
any matter, not privileged, which is (d) Certain matters not relevant may
relevant to the subject matter involved not be inquired into, or that the scope
in the proceeding, including the exist- of discovery be limited to certain mat-
ence, description, nature, custody, con- ters;
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dition, and location of any books, docu- (e) Discovery be conducted with no
ments, or other tangible things and the one present except persons designated
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Federal Motor Carrier Safety Administration, DOT § 386.42
any manner, and when so taken may be trator or Administrative Law Judge
used like other depositions, and may order that such an interrogatory
363
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§ 386.43 49 CFR Ch. III (10–1–20 Edition)
need not be answered until after des- (1) That inspection and related ac-
ignated discovery has been completed tivities will be permitted as requested;
or until a prehearing conference or or
other later time. (2) That objection is made in whole
[70 FR 28483, May 18, 2005] or in part, in which case the reasons
for objection shall be stated.
§ 386.43 Production of documents and (f) A copy of each request for produc-
other evidence; entry upon land for tion and each written response shall be
inspection and other purposes; and served on all parties and filed with the
physical and mental examination. Assistant Administrator or the admin-
(a) Any party may serve on any other istrative law judge, if one has been ap-
party a request to: pointed.
(1) Produce and permit the party
making the request, or a person acting § 386.44 Request for admissions.
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
inspection and measuring, forth and numbered. The matter is ad-
photographing, testing, or for other mitted unless within 15 days after serv-
purposes as stated in paragraph (a)(1) ice of the request, the party to whom
of this section. the request is directed serves upon the
(3) Submit to a physical or mental party requesting the admission a writ-
examination by a physician. ten answer signed by the party or his/
(b) The request may be served on any her attorney.
party without leave of the Assistant (3) Each answer must specify whether
Administrator or administrative law the party admits or denies the matter.
judge. If the matter cannot be admitted or de-
(c) The request shall: nied, the party shall set out in detail
(1) Set forth the items to be in- the reasons.
spected either by individual item or (4) A party may not issue a denial or
category; fail to answer on the ground that he/
(2) Describe each item or category she lacks knowledge unless he/she has
with reasonable particularity; made reasonable inquiry to ascertain
(3) Specify a reasonable time, place, information sufficient to allow him/her
and manner of making the inspection to admit or deny.
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 (10–1–20 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
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§ 386.53 49 CFR Ch. III (10–1–20 Edition)
the purposes of judicial review under cial who approved the subpoena. The
§ 386.67. filing of a motion shall stay the effect
(b) Interlocutory appeal for cause. If a of the subpoena until a decision is
party files a written request for an in- reached.
terlocutory appeal for cause with the (b) Witnesses shall be entitled to the
Administrative Law Judge, or orally same fees and mileage as are paid wit-
requests an interlocutory appeal for nesses in the courts of the United
cause, the proceedings are stayed until States. The fees shall be paid by the
the Administrative Law Judge issues a party at whose instance the witness is
decision on the request. If the Adminis- subpoenaed or appears.
trative Law Judge grants the request, (c) Paragraph (a) of this section shall
the proceedings are stayed until the not apply to the Administrator or em-
Assistant Administrator issues a deci- ployees of the FMCSA or to the produc-
sion on the interlocutory appeal. The tion of documents in their custody. Ap-
Administrative Law Judge must grant plications for the attendance of such
an interlocutory appeal for cause if a persons or the production of such docu-
party shows that delay of the appeal ments at a hearing shall be made to
would be detrimental to the public in- the Assistant Administrator or admin-
terest or would result in undue preju- istrative law judge, if one is appointed,
dice to any party. and shall set forth the need for such
(c) [Reserved] 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- (a) Powers of an Administrative Law
ant Administrator, and serve copies on Judge. The Administrative Law Judge
each party and the Administrative Law may take any action and may prescribe
Judge, not later than 10 days after the all necessary rules and regulations to
Administrative Law Judge’s oral deci- govern the conduct of the proceedings
sion has been issued, or a written deci- to ensure a fair and impartial hearing,
sion has been served. A party must file and to avoid delay in the disposition of
a reply brief, if any, with the Assistant the proceedings. In accordance with
Administrator and serve a copy of the the rules in this subchapter, an Admin-
reply brief on each party, not later
istrative Law Judge may do the fol-
than 10 days after service of the appeal
lowing:
brief. The Assistant Administrator will
(1) Give notice of and hold prehearing
render a decision on the interlocutory
conferences and hearings.
appeal, within a reasonable time after
(2) Administer oaths and affirma-
receipt of the interlocutory appeal.
tions.
(e) The Assistant Administrator may
(3) Issue subpoenas authorized by
reject frivolous, repetitive, or dilatory
law.
appeals, and may issue an order pre-
(4) Rule on offers of proof.
cluding one or more parties from mak-
(5) Receive relevant and material evi-
ing further interlocutory appeals, and
dence.
may order such further relief as re-
(6) Regulate the course of the admin-
quired.
istrative adjudication in accordance
[70 FR 28484, May 18, 2005] with the rules of this subchapter and
the Administrative Procedure Act.
§ 386.53 Subpoenas, witness fees. (7) Hold conferences to settle or sim-
(a) Applications for the issuance of plify the issues by consent of the par-
subpoenas must be submitted to the ties.
Assistant Administrator, or in cases (8) Dispose of procedural motions and
that have been called for a hearing, to requests, except motions that under
the administrative law judge. The ap- this part are made directly to the As-
plication must show the general rel- sistant Administrator.
evance and reasonable scope of the evi- (9) Issue orders permitting inspection
dence sought. Any person served with a and examination of lands, buildings,
subpoena may, within 7 days after serv- equipment, and any other physical
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ice, file a motion to quash or modify. thing and the copying of any docu-
The motion must be filed with the offi- 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 supporting
dresses of witnesses and the exchange reasons therefor. If the administrative
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§ 386.58 49 CFR Ch. III (10–1–20 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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§ 386.73 49 CFR Ch. III (10–1–20 Edition)
Chief Counsel or Deputy Chief Counsel (4) Upon the issuance of an order
of the FMCSA may bring, or request under paragraph (b)(1) of this section,
the United States Attorney General to the motor carrier employer, inter-
bring, an action in the appropriate modal equipment provider or driver
United States District Court for an employee shall comply immediately
order suspending or restricting the with such order. Opportunity for re-
transportation by motor vehicle of the view shall be provided in accordance
hazardous material or for such other with 5 U.S.C. 554, except that such re-
order as is necessary to eliminate or view shall occur not later than 10 days
ameliorate the imminent hazard, as after issuance of such order, as pro-
provided by 49 U.S.C. 5122. In this para- vided by section 213(b) of the Motor
graph, ‘‘imminent hazard’’ means the
Carrier Safety Act of 1984 (49 U.S.C.
existence of a condition that presents a
521(b)(5)). An order to an employer or
substantial likelihood that death, seri-
ous illness, severe personal injury, or a intermodal equipment provider to
substantial endangerment to health, cease all or part of its operations shall
property, or the environment may not prevent vehicles in transit at the
occur before a notice of investigation time the order is served from pro-
proceeding, or other administrative ceeding to their immediate destina-
hearing or formal proceeding, to abate tions, unless any such vehicle or its
the risk of harm can be completed. driver is specifically ordered out-of-
(b)(1) Whenever it is determined that service forthwith. However, vehicles
a violation of 49 U.S.C. 31502 or the and drivers proceeding to their imme-
Motor Carrier Safety Act of 1984, as diate destination shall be subject to
amended, or the Commercial Motor Ve- compliance upon arrival.
hicle Safety Act of 1986, as amended, or (5) For purposes of this section, the
a regulation issued under such section term immediate destination is the next
or Acts, or a combination of such viola- scheduled stop of the vehicle already in
tions, poses an imminent hazard to motion where the cargo on board can
safety, the Director of the Office of En- be safely secured.
forcement and Compliance or a Divi- (6) Failure to comply immediately
sion Administrator, or his or her dele- with an order issued under this section
gate, shall order:
shall subject the motor carrier em-
(i) A commercial motor vehicle or
ployer, intermodal equipment provider,
employee operating such vehicle out-
or driver to penalties prescribed in sub-
of-service, or order an employer to
cease all or part of the employer’s com- part G of this part.
mercial motor vehicle operations, as [50 FR 40306, Oct. 2, 1985, as amended at 53 FR
provided by 49 U.S.C. 521(b)(5); 2036, Jan. 26, 1988; 53 FR 50970, Dec. 19, 1988;
(ii) An intermodal equipment pro- 56 FR 10184, Mar. 11, 1991; 65 FR 7756, Feb. 16,
vider’s specific vehicle or equipment 2000; 65 FR 58664, Oct. 2, 2000; 73 FR 76819,
out-of-service, or order an intermodal Dec. 17, 2008; 78 FR 58481, Sept. 24, 2013]
equipment provider to cease all or part
of its operations, as provided by 49 § 386.73 Operations out of service and
U.S.C. 521(b)(5) and 49 U.S.C. record consolidation proceedings
31151(a)(3)(I). (reincarnated carriers).
(2) In making any such order, no re- (a) Out-of-service order. An FMCSA
strictions shall be imposed on any ve- Field Administrator or the Director of
hicle, terminal or facility, employee, FMCSA’s Office of Enforcement and
employer or intermodal equipment pro- Compliance (Director) may issue an
vider beyond that required to abate the out-of-service order to prohibit a motor
hazard. carrier, intermodal equipment pro-
(3) In this paragraph (b), imminent vider, broker, or freight forwarder from
hazard means any condition of vehicle, conducting operations subject to
intermodal equipment, employee, or FMCSA jurisdiction upon a determina-
commercial motor vehicle operations tion by the Field Administrator or Di-
that substantially increases the likeli-
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Federal Motor Carrier Safety Administration, DOT § 386.73
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§ 386.73 49 CFR Ch. III (10–1–20 Edition)
and factors in paragraph (c) of this sec- procedural errors in the issuance of the
tion. order under review will be dismissed.
(e) Effective dates. An order issued Petitioners seeking to demonstrate
under this section becomes the Final corrective action may do so by submit-
Agency Order and is effective on the ting a Petition for Rescission under
21st day after it is served unless a re- paragraph (h) of this section.
quest for administrative review is (1) A petition for administrative re-
served and filed as set forth in para- view must be in writing and served on
graph (g) of this section. Any motor the Assistant Administrator, Federal
carrier, intermodal equipment pro- Motor Carrier Safety Administration,
vider, broker, or freight forwarder that 1200 New Jersey Ave. SE., Washington,
fails to comply with any prohibition or DC 20590–0001, Attention: Adjudications
requirement set forth in an order Counsel, or by electronic mail to
issued under this section is subject to FMCSA.Adjudication@dot.gov. A copy of
the applicable penalty provisions for the petition for administrative review
each instance of noncompliance. must also be served on the Field Ad-
(f) Commencement of proceedings. The ministrator or Director who issued the
Field Administrator or Director may order, at the physical address or elec-
commence proceedings under this sec- tronic mail account identified in the
tion by issuing an order that: order.
(1) Provides notice of the factual and (2) A petition for administrative re-
legal basis of the order; view must be served within 15 days of
(2) In the case of an out-of-service the date the Field Administrator or Di-
order, identifies the operations prohib- rector served the order issued under
ited by the order; this section. Failure to timely request
(3) In the case of an order that con- administrative review waives the right
solidates records maintained by to administrative review and con-
FMCSA, identifies the previous entity
stitutes an admission of the facts al-
and current or affiliated motor car-
leged in the order.
riers, intermodal equipment providers,
(3) A petition for administrative re-
brokers, or freight forwarders whose
records will be consolidated; view must include:
(4) Provides notice that the order is (i) A copy of the order in dispute; and
effective upon the 21st day after serv- (ii) A statement of all factual and
ice; procedural issues in dispute.
(5) Provides notice of the right to pe- (4) If a petition for administrative re-
tition for administrative review of the view is timely served and filed, the pe-
order and that a timely petition will titioner may supplement the petition
stay the effective date of the order un- by serving documentary evidence and/
less the Assistant Administrator orders or written argument that supports its
otherwise for good cause; and position regarding the procedural or
(6) Provides notice that failure to factual issues in dispute no later than
timely request administrative review 30 days from the date the disputed
of the order constitutes waiver of the order was served. The supplementary
right to contest the order and will re- documentary evidence or written argu-
sult in the order becoming a Final ment may not expand the issues on re-
Agency Order 21 days after it is served. view and need not address every issue
(g) Administrative review. A motor car- identified in the petition. Failure to
rier, intermodal equipment provider, timely serve supplementary documen-
broker, or freight forwarder issued an tary evidence and/or written argument
order under this section may petition constitutes a waiver of the right to do
for administrative review of the order. so.
A petition for administrative review is (5) The Field Administrator or Direc-
limited to contesting factual or proce- tor must serve written argument and
dural errors in the issuance of the supporting documentary evidence, if
order under review and may not be sub- any, in defense of the disputed order no
mitted to demonstrate corrective ac- later than 15 days following the period
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tion. A petition for administrative re- in which petitioner may serve supple-
view that does not identify factual or mental documentary evidence and/or
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Federal Motor Carrier Safety Administration, DOT § 386.73
written argument in support of the pe- tion to rescind an order issued under
tition for administrative review. this section if action has been taken to
(6) The Assistant Administrator may correct the deficiencies that resulted
ask the parties to submit additional in- in the order.
formation or attend a conference to fa- (1) A petition for rescission must be
cilitate administrative review. made in writing to the Field Adminis-
(7) The Assistant Administrator will trator or Director who issued the
issue a written decision on the request order.
for administrative review within 30 (2) A petition for rescission must in-
days of the close of the time period for clude a copy of the order requested to
the Field Administrator or the Direc- be rescinded, a factual statement iden-
tor to serve written argument and sup- tifying all corrective action taken, and
porting documentary evidence in de- copies of supporting documentation.
fense of the order, or the actual filing (3) Upon request and for good cause
of such written argument and docu- shown, the Field Administrator or Di-
mentary evidence, whichever is earlier. rector may grant the petitioner addi-
(8) If a petition for administrative re- tional time, not to exceed 45 days, to
view is timely served in accordance complete corrective action initiated at
with this subsection, the disputed the time the petition for rescission was
order is stayed, pending the Assistant filed.
Administrator’s review. The Assistant
(4) The Field Administrator or Direc-
Administrator may enter an order
tor will issue a written decision on the
vacating the automatic stay in accord-
petition for rescission within 60 days of
ance with the following procedures:
(i) The Agency Official may file a service of the petition. The written de-
motion to vacate the automatic stay cision will include the factual and legal
demonstrating good cause why the basis for the determination.
order should not be stayed. The Agency (5) If the Field Administrator or Di-
Official’s motion must be in writing, rector grants the request for rescission,
state the factual and legal basis for the the written decision is the Final Agen-
motion, be accompanied by affidavits cy Order.
or other evidence relied on, and be (6) If the Field Administrator or Di-
served on the petitioner and Assistant rector denies the request for rescission,
Administrator. the petitioner may file a petition for
(ii) The petitioner may file an answer administrative review of the denial
in opposition, accompanied by affida- with the Assistant Administrator, Fed-
vits or other evidence relied on. The eral Motor Carrier Safety Administra-
answer must be served within 10 days tion, 1200 New Jersey Ave. SE., Wash-
of service of the motion. ington, DC 20590–0001, Attention: Adju-
(iii) The Assistant Administrator will dication Counsel or by electronic mail
issue a decision on the motion to va- to FMCSA.Adjudication@dot.gov. The
cate the automatic stay within 10 days petition for administrative review of
of the close of the time period for serv- the denial must be served and filed
ing the answer to the motion. The 30- within 15 days of the service of the de-
day period for review of the petition for cision denying the request for reces-
administrative review in paragraph sion. The petition for administrative
(g)(7) of this section is tolled from the review must identify the disputed fac-
time the Agency Official’s motion to tual or procedural issues with respect
lift a stay is served until the Assistant to the denial of the petition for rescis-
Administrator issues a decision on the sion. The petition may not, however,
motion. challenge the underlying basis of the
(9) The Assistant Administrator’s de- order for which rescission was sought.
cision on a petition for administrative (7) The Assistant Administrator will
review of an order issued under this issue a written decision on the petition
section constitutes the Final Agency for administrative review of the denial
Order. of the petition for rescission within 60
(h) Petition for rescission. A motor car- days. The Assistant Administrator’s
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§ 386.81 49 CFR Ch. III (10–1–20 Edition)
(i) Other orders unaffected. If a motor (b) When assessing penalties for vio-
carrier, intermodal equipment pro- lations of notices and orders or settling
vider, broker, or freight forwarder sub- claims based on these assessments,
ject to an order issued under this sec- consideration will be given to good
tion is or becomes subject to any other faith efforts to achieve compliance
order, prohibition, or requirement of with the terms of the notices and or-
the FMCSA, an order issued under this ders.
section is in addition to, and does not [56 FR 10184, Mar. 11, 1991, as amended at 65
amend or supersede such other order, FR 7756, Feb. 16, 2000; 78 FR 60232, Oct. 1,
prohibition, or requirement. A motor 2013]
carrier, intermodal equipment pro-
vider, broker, or freight forwarder sub- § 386.82 Civil penalties for violations
ject to an order issued under this sec- of notices and orders.
tion remains subject to the suspension (a) Additional civil penalties are
and revocation provisions of 49 U.S.C. chargeable for violations of notices and
13905 for violations of regulations gov- orders which are issued under civil for-
erning their operations. feiture proceedings pursuant to 49
(j) Inapplicability of subparts. Sub- U.S.C. 521(b). These notices and orders
parts B, C, D, and E of this part, except are as follows:
§ 386.67, do not apply to this section. (1) Notice to abate—§ 386.11 (b)(2) and
[77 FR 24870, Apr. 26, 2012, as amended at 78
(c)(1)(iv);
FR 58481, Sept. 24, 2013] (2) Notice to post—§ 386.11(c)(3);
(3) Final order—§ 386.14, § 386.17,
§ 386.22, and § 386.61; and
Subpart G—Penalties (4) Out-of-service order—§ 386.72(b)(1).
(b) A schedule of these additional
SOURCE: 56 FR 10184, Mar. 11, 1991, unless penalties is provided in the appendix A
otherwise noted. to this part. All the penalties are maxi-
mums, and discretion will be retained
§ 386.81 General. to meet special circumstances by set-
(a) The amounts of civil penalties ting penalties for violations of notices
that can be assessed for regulatory vio- and orders, in some cases, at less than
lations subject to the proceedings in the maximum.
this subchapter are established in the (c) Claims for penalties provided in
statutes granting enforcement powers. this section and in the appendix A to
The determination of the actual civil this part shall be made through the
penalties assessed in each proceeding is civil forfeiture proceedings contained
based on those defined limits or mini- in this part. The issues to be decided in
mums and consideration of information such proceedings will be limited to
available at the time the claim is made whether violations of notices and or-
concerning the nature, gravity of the ders occurred as claimed and the appro-
violation and, with respect to the vio- priate penalty for such violations.
lator, the degree of culpability, history Nothing contained herein shall be con-
of prior offenses, effect on ability to strued to authorize the reopening of a
continue to do business, and such other matter already finally adjudicated
matters as justice and public safety under this part.
may require. In addition to these fac-
[56 FR 10184, Mar. 11, 1991, as amended at 67
tors, a civil penalty assessed under 49 FR 61821, Oct. 2, 2002; 70 FR 28486, May 18,
U.S.C. 14901(a) and (d) concerning 2005; 77 FR 59826, Oct. 1, 2012]
household goods is also based on the
degree of harm caused to a shipper and § 386.83 Sanction for failure to pay
whether the shipper has been ade- civil penalties or abide by payment
quately compensated before institution plan; operation in interstate com-
of the civil penalty proceeding. In adju- merce prohibited.
dicating the claims and orders under (a)(1) General rule. (i) A CMV owner
the administrative procedures herein, or operator that fails to pay a civil
additional information may be devel- penalty in full within 90 days after the
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oped regarding these factors that may date specified for payment by FMCSA’s
affect the final amount of the claim. final agency order, is prohibited from
376
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Federal Motor Carrier Safety Administration, DOT § 386.84
(2) The notice will order the CMV (a)(1) General rule. The registration of
owner or operator, or intermodal a broker, freight forwarder, for-hire
377
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Pt. 386, App. A 49 CFR Ch. III (10–1–20 Edition)
motor carrier, foreign motor carrier or (ii) Evidence that the respondent has
foreign motor private carrier that fails filed for bankruptcy under chapter 11,
to pay a civil penalty in full within 90 title 11, United States Code. Respond-
days after the date specified for pay- ents in bankruptcy must also submit
ment by the FMCSA’s final agency the information required by paragraph
order, will be suspended starting on the (d) of this section.
next (i.e., the 91st) day. The suspension (3) The notice will be delivered by
continues until the FMCSA has re- certified mail or commercial express
ceived full payment of the penalty. service. If a respondent’s principal
(2) Civil penalties paid in installments. place of business is in a foreign coun-
The FMCSA Service Center may allow try, it will be delivered to the respond-
a respondent broker, freight forwarder, ent’s designated agent.
for-hire motor carrier, foreign motor (c) The registration of a broker,
carrier or foreign motor private carrier freight forwarder, for-hire motor car-
to pay a civil penalty in installments. rier, foreign motor carrier or foreign
If the respondent fails to make an in- motor private carrier that continues to
stallment payment on schedule, the operate in interstate commerce in vio-
payment plan is void and the entire lation of this section after its registra-
debt is payable immediately. The reg- tion has been suspended may be re-
istration of a respondent that fails to voked after an additional notice and
pay the remainder of its civil penalty opportunity for a proceeding in accord-
in full within 90 days after the date of ance with 49 U.S.C. 13905(c). Additional
the missed installment payment is sus- sanctions may be imposed under para-
pended on the next (i.e., the 91st) day. graph IV(i) of Appendix A to part 386.
The suspension continues until the (d) This section does not apply to any
FMCSA has received full payment of person who is unable to pay a civil pen-
the entire penalty. alty because the person is a debtor in a
(3) Appeals to Federal Court. If the re- case under chapter 11, title 11, United
spondent broker, freight forwarder, for- States Code. Brokers, freight for-
hire motor carrier, foreign motor car- warders, for-hire motor carriers, for-
rier or foreign motor private carrier eign motor carriers or foreign motor
appeals the final agency order to a Fed- private carriers in bankruptcy pro-
eral Circuit Court of Appeals, the ceedings under chapter 11 must provide
terms and payment due date of the the following information in their re-
final agency order are not stayed un- sponse to the FMCSA:
less the Court so directs. (1) The chapter of the Bankruptcy
Code under which the bankruptcy pro-
(b) Show Cause Proceeding. (1) The
ceeding is filed (i.e., chapter 7 or 11);
FMCSA will notify a broker, freight
(2) The bankruptcy case number;
forwarder, for-hire motor carrier, for-
(3) The court in which the bank-
eign motor carrier or foreign motor
ruptcy proceeding was filed; and
private carrier in writing if it has not
(4) Any other information requested
received payment within 45 days after
by the agency to determine a debtor’s
the date specified for payment by the bankruptcy status.
final agency order or the date of a
missed installment payment. The no- [65 FR 78428, Dec. 15, 2000, as amended at 78
tice will include a warning that failure FR 60232, Oct. 1, 2013]
to pay the entire penalty within 90
APPENDIX A TO PART 386—PENALTY
days after payment was due will result
SCHEDULE: VIOLATIONS OF NOTICES
in the suspension of the respondent’s
AND ORDERS
registration.
(2) The notice will order the respond- The Civil Penalties Inflation Adjustment
ent to show cause why its registration Act Improvements Act of 2015 [Pub. L. 114–74,
should not be suspended on the 91st day sec. 701, 129 Stat. 599] amended the Federal
after the date specified for payment. Civil Penalties Inflation Adjustment Act of
1990 to require agencies to adjust civil pen-
The prohibition may be avoided only
alties for inflation. Pursuant to that author-
by submitting to the Chief Safety Offi- ity, the inflation adjusted civil penalties
cer:
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Federal Motor Carrier Safety Administration, DOT Pt. 386, App. B
I. NOTICE TO ABATE (This violation applies to intermodal
equipment providers and motor carriers, in-
Violation—Failure to cease violations of
cluding an independent owner operator who
the regulations in the time prescribed in the
is not a ‘‘driver,’’ as defined in IV(a) above.)
notice. (The time within which to comply
e. Violation—Failure to return written cer-
with a notice to abate shall not begin to run
tification of correction as required by the
with respect to contested violations, i.e.,
out-of-service order.
where there are material issues in dispute
Penalty—Up to $947 per violation.
under § 386.14, until such time as the viola-
f. Violation—Knowingly falsifies written
tion has been established.)
certification of correction required by the
Penalty—Reinstatement of any deferred
out of service order.
assessment or payment of a penalty or por- Penalty—Considered the same as the viola-
tion thereof. tions described in paragraphs IV(c) and IV(d)
II. SUBPOENA of this appendix, and subject to the same
penalties.
Violation—Failure to respond to Agency
subpoena to appear and testify or produce NOTE: Falsification of certification may
records. also result in criminal prosecution under 18
Penalty—minimum of $1,093 but not more U.S.C.1001.
than $10,932 per violation. g. Violation—Operating in violation of an
order issued under § 386.72(b) to cease all or
III. FINAL ORDER part of the employer’s commercial motor ve-
Violation—Failure to comply with Final hicle operations or to cease part of an inter-
Agency Order. modal equipment provider’s operations, i.e.,
Penalty—Automatic reinstatement of any failure to cease operations as ordered.
penalty previously reduced or held in abey- Penalty—Up to $27,331 per day the oper-
ance and restoration of the full amount as- ation continues after the effective date and
sessed in the Notice of Claim less any pay- time of the order to cease.
ments previously made. h. Violation—Operating in violation of an
order issued under § 386.73.
IV. OUT-OF-SERVICE ORDER Penalty—Up to $24,017 per day the oper-
ation continues after the effective date and
a. Violation—Operation of a commercial
time of the out-of-service order.
vehicle by a driver during the period the
i. Violation—Conducting operations during
driver was placed out of service.
a period of suspension under § 386.83 or § 386.84
Penalty—Up to $1,895 per violation.
for failure to pay penalties.
(For purposes of this violation, the term
Penalty—Up to $15,419 for each day that
‘‘driver’’ means an operator of a commercial
operations are conducted during the suspen-
motor vehicle, including an independent con-
sion or revocation period.
tractor who, while in the course of operating
j. Violation—Conducting operations during
a commercial motor vehicle, is employed or
a period of suspension or revocation under
used by another person.)
§ 385.911, § 385.913, § 385.1009 or § 385.1011.
b. Violation—Requiring or permitting a
Penalty—Up to $24,017 for each day that
driver to operate a commercial vehicle dur-
operations are conducted during the suspen-
ing the period the driver was placed out of
sion or revocation period.
service.
Penalty—Up to $18,943 per violation. [80 FR 18155, Apr. 3, 2015, as amended at 81
(This violation applies to motor carriers FR 41463, June 27, 2016; 82 FR 17590, Apr. 12,
including an independent contractor who is 2017; 83 FR 60750, Nov. 27, 2018; 84 FR 37076,
not a ‘‘driver,’’ as defined under paragraph July 31, 2019]
IV(a) above.)
c. Violation—Operation of a commercial APPENDIX B TO PART 386—PENALTY
motor vehicle or intermodal equipment by a SCHEDULE: VIOLATIONS AND MONE-
driver after the vehicle or intermodal equip- TARY PENALTIES
ment was placed out-of-service and before
the required repairs are made. The Civil Penalties Inflation Adjustment
Penalty—$1,895 each time the vehicle or Act Improvements Act of 2015 [Pub. L. 114–74,
intermodal equipment is so operated. sec. 701, 129 Stat. 599] amended the Federal
(This violation applies to drivers as defined Civil Penalties Inflation Adjustment Act of
in IV(a) above.) 1990 to require agencies to adjust civil pen-
d. Violation—Requiring or permitting the alties for inflation. Pursuant to that author-
operation of a commercial motor vehicle or ity, the inflation adjusted civil penalties
intermodal equipment placed out-of-service identified in this appendix supersede the cor-
before the required repairs are made. responding civil penalty amounts identified
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Penalty—Up to $18,943 each time the vehi- in title 49, United States Code.
cle or intermodal equipment is so operated What are the types of violations and max-
after notice of the defect is received. imum monetary penalties?
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Pt. 386, App. B 49 CFR Ch. III (10–1–20 Edition)
(a) Violations of the Federal Motor Carrier for a first conviction and not less than $6,348
Safety Regulations (FMCSRs): for a second or subsequent conviction;
(1) Recordkeeping. A person or entity that (2) An employer of a CDL-holder who
fails to prepare or maintain a record re- knowingly allows, requires, permits, or au-
quired by parts 40, 382, 385, and 390–99 of this thorizes an employee to operate a CMV dur-
subchapter, or prepares or maintains a re- ing any period in which the CDL-holder is
quired record that is incomplete, inaccurate, subject to an out-of-service order, is subject
or false, is subject to a maximum civil pen- to a civil penalty of not less than $5,732 or
alty of $1,270 for each day the violation con- more than $31,737; and
tinues, up to $12,695. (3) An employer of a CDL–holder who
(2) Knowing falsification of records. A person knowingly allows, requires, permits, or au-
or entity that knowingly falsifies, destroys, thorizes that CDL-holder to operate a CMV
mutilates, or changes a report or record re- in violation of a Federal, State, or local law
quired by parts 382, 385, and 390–99 of this or regulation pertaining to railroad-highway
subchapter, knowingly makes or causes to be grade crossings is subject to a civil penalty
made a false or incomplete record about an of not more than $16,453.
operation or business fact or transaction, or (c) [Reserved]
knowingly makes, prepares, or preserves a
(d) Financial responsibility violations. A
record in violation of a regulation order of
motor carrier that fails to maintain the lev-
the Secretary is subject to a maximum civil
els of financial responsibility prescribed by
penalty of $12,695 if such action misrepre-
Part 387 of this subchapter or any person (ex-
sents a fact that constitutes a violation
cept an employee who acts without knowl-
other than a reporting or recordkeeping vio-
edge) who knowingly violates the rules of
lation.
Part 387 subparts A and B is subject to a
(3) Non-recordkeeping violations. A person or
maximum penalty of $16,915. Each day of a
entity that violates parts 382, 385, or 390–99 of
this subchapter, except a recordkeeping re- continuing violation constitutes a separate
quirement, is subject to a civil penalty not offense.
to exceed $15,419 for each violation. (e) Violations of the Hazardous Materials
(4) Non-recordkeeping violations by drivers. A Regulations (HMRs) and Safety Permitting Reg-
driver who violates parts 382, 385, and 390–99 ulations found in Subpart E of Part 385. This
of this subchapter, except a recordkeeping paragraph applies to violations by motor
violation, is subject to a civil penalty not to carriers, drivers, shippers and other persons
exceed $3,855. who transport hazardous materials on the
(5) Violation of 49 CFR 392.5. A driver placed highway in commercial motor vehicles or
out of service for 24 hours for violating the cause hazardous materials to be so trans-
alcohol prohibitions of 49 CFR 392.5(a) or (b) ported.
who drives during that period is subject to a (1) All knowing violations of 49 U.S.C.
civil penalty not to exceed $3,174 for a first chapter 51 or orders or regulations issued
conviction and not less than $6,348 for a sec- under the authority of that chapter applica-
ond or subsequent conviction. ble to the transportation or shipment of haz-
(6) Egregious violations of driving-time limits ardous materials by commercial motor vehi-
in 49 CFR part 395. A driver who exceeds, and cle on the highways are subject to a civil
a motor carrier that requires or permits a penalty of not more than $81,993 for each vio-
driver to exceed, by more than 3 hours the lation. Each day of a continuing violation
driving-time limit in 49 CFR 395.3(a) or constitutes a separate offense.
395.5(a), as applicable, shall be deemed to (2) All knowing violations of 49 U.S.C.
have committed an egregious driving-time chapter 51 or orders or regulations issued
limit violation. In instances of an egregious under the authority of that chapter applica-
driving-time violation, the Agency will con- ble to training related to the transportation
sider the ‘‘gravity of the violation,’’ for pur- or shipment of hazardous materials by com-
poses of 49 U.S.C. 521(b)(2)(D), sufficient to mercial motor vehicle on the highways are
warrant imposition of penalties up to the subject to a civil penalty of not less than
maximum permitted by law. $493 and not more than $81,993 for each viola-
(7) Harassment. In instances of a violation tion.
of § 390.36(b)(1) of this subchapter the Agency (3) All knowing violations of 49 U.S.C.
may consider the ‘‘gravity of the violation,’’ chapter 51 or orders, regulations or exemp-
for purposes of 49 U.S.C. 521(b)(2)(D), suffi- tions under the authority of that chapter ap-
cient to warrant imposition of penalties up plicable to the manufacture, fabrication,
to the maximum permitted by law. marking, maintenance, reconditioning, re-
(b) Commercial driver’s license (CDL) viola- pair, or testing of a packaging or container
tions. Any person who violates 49 CFR part that is represented, marked, certified, or
383, subparts B, C, E, F, G, or H, is subject to sold as being qualified for use in the trans-
a civil penalty not to exceed $5,732; except: portation or shipment of hazardous mate-
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(1) A CDL-holder who is convicted of vio- rials by commercial motor vehicle on the
lating an out-of-service order shall be sub- highways are subject to a civil penalty of not
ject to a civil penalty of not less than $3,174 more than $81,993 for each violation.
380
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Federal Motor Carrier Safety Administration, DOT Pt. 386, App. B
(4) Whenever regulations issued under the istration requirements of 49 U.S.C. 13901 is
authority of 49 U.S.C. chapter 51 require liable for a minimum penalty of $27,331 per
compliance with the FMCSRs while trans- violation.
porting hazardous materials, any violations (4) A person who operates as a foreign
of the FMCSRs will be considered a violation motor carrier or foreign motor private car-
of the HMRs and subject to a civil penalty of rier of property in violation of the provisions
not more than $81,993. of 49 U.S.C. 13902(c) is liable for a minimum
(5) If any violation subject to the civil pen- penalty of $10,932 per violation.
alties set out in paragraphs (e)(1) through (4) (5) A person who operates as a foreign
of this appendix results in death, serious ill- motor carrier or foreign motor private car-
ness, or severe injury to any person or in rier without authority, before the implemen-
substantial destruction of property, the civil tation of the land transportation provisions
penalty may be increased to not more than of the North American Free Trade Agree-
$191,316 for each offense. ment, outside the boundaries of a commer-
(f) Operating after being declared unfit by as- cial zone along the United States-Mexico
signment of a final ‘‘unsatisfactory’’ safety rat- border, is liable for a maximum penalty of
ing. (1) A motor carrier operating a commer- $15,034 for an intentional violation and a
cial motor vehicle in interstate commerce maximum penalty of $37,587 for a pattern of
(except owners or operators of commercial intentional violations.
motor vehicles designed or used to transport (6) A person who operates as a motor car-
hazardous materials for which placarding of rier or broker for the transportation of haz-
a motor vehicle is required under regulations ardous wastes in violation of the registration
prescribed under 49 U.S.C. chapter 51) is sub- provisions of 49 U.S.C. 13901 is liable for a
ject, after being placed out of service be- minimum penalty of $21,865 and a maximum
cause of receiving a final ‘‘unsatisfactory’’
penalty of $43,730 per violation.
safety rating, to a civil penalty of not more
(7) A motor carrier or freight forwarder of
than $27,331 (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.
(2) A motor carrier operating a commercial pers, is liable for a minimum penalty of
motor vehicle designed or used to transport $1,644 per violation.
hazardous materials for which placarding of (8) A person—
a motor vehicle is required under regulations (i) Who falsifies, or authorizes an agent or
prescribed under 49 U.S.C. chapter 51 is sub- other person to falsify, documents used in
ject, after being placed out of service be- the transportation of household goods by
cause of receiving a final ‘‘unsatisfactory’’ motor carrier or freight forwarder to evi-
safety rating, to a civil penalty of not more dence the weight of a shipment or
than $81,993 for each offense. If the violation (ii) Who charges for services which are not
results in death, serious illness, or severe in- performed or are not reasonably necessary in
jury to any person or in substantial destruc- the safe and adequate movement of the ship-
tion of property, the civil penalty may be in- ment is liable for a minimum penalty of
creased to not more than $191,316 for each of- $3,291 for the first violation and $8,227 for
fense. Each day the transportation continues each subsequent violation.
in violation of a final ‘‘unsatisfactory’’ safe- (9) A person who knowingly accepts or re-
ty rating constitutes a separate offense. ceives from a carrier a rebate or offset
(g) Violations of the commercial regulations against the rate specified in a tariff required
(CRs). Penalties for violations of the CRs are under 49 U.S.C. 13702 for the transportation
specified in 49 U.S.C. chapter 149. These pen- of property delivered to the carrier commits
alties relate to transportation subject to the a violation for which the penalty is equal to
Secretary’s jurisdiction under 49 U.S.C. three times the amount accepted as a rebate
chapter 135. Unless otherwise noted, a sepa- or offset and three times the value of other
rate violation occurs for each day the viola- consideration accepted or received as a re-
tion continues. bate or offset for the six-year period before
(1) A person who operates as a motor car- the action is begun.
rier for the transportation of property in vio- (10) A person who offers, gives, solicits, or
lation of the registration requirements of 49 receives transportation of property by a car-
U.S.C. 13901 is liable for a minimum penalty rier at a different rate than the rate in effect
of $10,931 per violation. under 49 U.S.C. 13702 is liable for a maximum
(2) A person who knowingly operates as a penalty of $164,531 per violation. When acting
broker in violation of registration require- in the scope of his/her employment, the acts
ments of 49 U.S.C 13904 or financial security or omissions of a person acting for or em-
requirements of 49 U.S.C 13906 is liable for a ployed by a carrier or shipper are considered
penalty not to exceed $10,931 for each viola- to be the acts or omissions of that carrier or
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381
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Pt. 386, App. B 49 CFR Ch. III (10–1–20 Edition)
motor carrier transportation subject to ju- penalty is not provided in 49 U.S.C. chapter
risdiction under subchapter I of 49 U.S.C. 149.
chapter 135, or who assists or permits an- (19) A violation of Part B, Subtitle IV,
other person to get that transportation at Title 49, U.S.C., committed by a director, of-
less than the rate in effect under 49 U.S.C. ficer, receiver, trustee, lessee, agent, or em-
13702, commits a violation for which the pen- ployee of a carrier that is a corporation is
alty is $328 for the first violation and $411 for also a violation by the corporation to which
each subsequent violation. the penalties of Chapter 149 apply. Acts and
(12) A freight forwarder, its officer, agent, omissions of individuals acting in the scope
or employee, that assists or willingly per- of their employment with a carrier are con-
mits a person to get service under 49 U.S.C. sidered to be the actions and omissions of
13531 at less than the rate in effect under 49 the carrier as well as the individual.
U.S.C. 13702 commits a violation for which (20) In a proceeding begun under 49 U.S.C.
the penalty is up to $823 for the first viola- 14902 or 14903, the rate that a carrier pub-
tion and up to $3,291 for each subsequent vio- lishes, files, or participates in under section
lation. 13702 is conclusive proof against the carrier,
(13) A person who gets or attempts to get its officers, and agents that it is the legal
service from a freight forwarder under 49 rate for the transportation or service. De-
U.S.C. 13531 at less than the rate in effect parting, or offering to depart, from that pub-
under 49 U.S.C. 13702 commits a violation for lished or filed rate is a violation of 49 U.S.C.
which the penalty is up to $823 for the first 14902 and 14903.
violation and up to $3,291 for each subse-
(21) A person—
quent violation.
(i) Who knowingly and willfully fails, in
(14) A person who knowingly authorizes,
violation of a contract, to deliver to, or un-
consents to, or permits a violation of 49
load at, the destination of a shipment of
U.S.C. 14103 relating to loading and unload-
ing motor vehicles or who knowingly vio- household goods in interstate commerce for
lates subsection (a) of 49 U.S.C. 14103 is liable which charges have been estimated by the
for a penalty of not more than $16,453 per motor carrier transporting such goods, and
violation. for which the shipper has tendered a pay-
(15) [Reserved]. ment in accordance with part 375, subpart G
(16) A person required to make a report to of this chapter, is liable for a civil penalty of
the Secretary, answer a question, or make, not less than $16,453 for each violation. Each
prepare, or preserve a record under part B of day of a continuing violation constitutes a
subtitle IV, title 49, U.S.C., or an officer, separate offense.
agent, or employee of that person, is liable (ii) Who is a carrier or broker and is found
for a minimum penalty of $1,093 and for a to be subject to the civil penalties in para-
maximum penalty of $8,227 per violation if it graph (i) of this appendix may also have his
does not make the report, does not com- or her carrier and/or broker registration sus-
pletely and truthfully answer the question pended for not less than 12 months and not
within 30 days from the date the Secretary more than 36 months under 49 U.S.C. chapter
requires the answer, does not make or pre- 139. Such suspension of a carrier or broker
serve the record in the form and manner pre- shall extend to and include any carrier or
scribed, falsifies, destroys, or changes the re- broker having the same ownership or oper-
port or record, files a false report or record, ational control as the suspended carrier or
makes a false or incomplete entry in the broker.
record about a business-related fact, or pre- (22) A broker for transportation of house-
pares or preserves a record in violation of a hold goods who makes an estimate of the
regulation or order of the Secretary. cost of transporting any such goods before
(17) A motor carrier, water carrier, freight entering into an agreement with a motor
forwarder, or broker, or their officer, re- carrier to provide transportation of house-
ceiver, trustee, lessee, employee, or other hold goods subject to FMCSA jurisdiction is
person authorized to receive information liable to the United States for a civil penalty
from them, who discloses information identi- of not less than $12,695 for each violation.
fied in 49 U.S.C. 14908 without the permission (23) A person who provides transportation
of the shipper or consignee is liable for a of household goods subject to jurisdiction
maximum penalty of $3,291. under 49 U.S.C. chapter 135, subchapter I, or
(18) A person who violates a provision of provides broker services for such transpor-
part B, subtitle IV, title 49, U.S.C., or a regu- tation, without being registered under 49
lation or order under part B, or who violates U.S.C. chapter 139 to provide such transpor-
a condition of registration related to trans- tation or services as a motor carrier or
portation that is subject to jurisdiction broker, as the case may be, is liable to the
under subchapter I or III of chapter 135, or United States for a civil penalty of not less
who violates a condition of registration of a than $31,737 for each violation.
kpayne on VMOFRWIN702 with $$_JOB
foreign motor carrier or foreign motor pri- (h) Copying of records and access to equip-
vate carrier under section 13902, is liable for ment, lands, and buildings. A person subject to
a penalty of $823 for each violation if another 49 U.S.C. chapter 51 or a motor carrier,
382
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Federal Motor Carrier Safety Administration, DOT Pt. 387
broker, freight forwarder, or owner or oper- Subpart B—Motor Carriers of Passengers
ator of a commercial motor vehicle subject
to part B of subtitle VI of title 49 U.S.C. who 387.25 Purpose and scope.
fails to allow promptly, upon demand in per- 387.27 Applicability.
son or in writing, the Federal Motor Carrier 387.29 Definitions.
Safety Administration, an employee des- 387.31 Financial responsibility required.
ignated by the Federal Motor Carrier Safety 387.33 Financial responsibility, minimum
Administration, or an employee of a MCSAP levels.
grant recipient to inspect and copy any 387.33T Financial responsibility, minimum
record or inspect and examine equipment, levels.
lands, buildings, and other property, in ac- 387.35 State authority and designation of
cordance with 49 U.S.C. 504(c), 5121(c), and agent.
14122(b), is subject to a civil penalty of not 387.37 Fiduciaries.
more than $1,270 for each offense. Each day 387.39 Forms.
of a continuing violation constitutes a sepa- 387.41 Violation and penalty.
rate offense, except that the total of all civil
penalties against any violator for all of- Subpart C—Surety Bonds and Policies of
fenses related to a single violation shall not Insurance for Motor Carriers and Prop-
exceed $12,695.
erty Brokers
(i) Evasion. A person, or an officer, em-
ployee, or agent of that person: 387.301 Surety bond, certificate of insur-
(1) Who by any means tries to evade regu- ance, or other securities.
lation of motor carriers under title 49, 387.301T Surety bond, certificate of insur-
United States Code, chapter 5, chapter 51, ance, or other securities.
subchapter III of chapter 311 (except sections 387.303 Security for the protection of the
31138 and 31139) or sections 31302, 31303, 31304, public: Minimum limits.
31305(b), 31310(g)(1)(A), or 31502, or a regula- 387.303T Security for the protection of the
tion issued under any of those provisions, public: Minimum limits.
shall be fined at least $2,187 but not more 387.305 Combination vehicles.
than $5,466 for the first violation and at least 387.307 Property broker surety bond or trust
$2,732 but not more than $8,199 for a subse- fund.
quent violation. 387.309 Qualifications as a self-insurer and
(2) Who tries to evade regulation under other securities or agreements.
part B of subtitle IV, title 49, U.S.C., for car- 387.311 Bonds and certificates of insurance.
riers or brokers is liable for a penalty of at 387.313 Forms and procedures.
least $2,187 for the first violation or at least 387.313T Forms and procedures.
$5,466 for a subsequent violation. 387.315 Insurance and surety companies.
[80 FR 18156, Apr. 3, 2015, as amended at 80 387.317 Refusal to accept, or revocation by
FR 78383, Dec. 16, 2015; 81 FR 41463, June 27, the FMCSA of surety bonds, etc.
2016; 82 FR 17591, Apr. 12, 2017; 83 FR 60751, 387.319 Fiduciaries.
Nov. 27, 2018; 84 FR 37076, July 31, 2019] 387.321 Operations in foreign commerce.
387.323 Electronic filing of surety bonds,
trust fund agreements, certificates of in-
PART 387—MINIMUM LEVELS OF FI- surance and cancellations.
NANCIAL RESPONSIBILITY FOR 387.323T Electronic filing of surety bonds,
MOTOR CARRIERS trust fund agreements, certificates of in-
surance and cancellations.
Subpart A—Motor Carriers of Property
Subpart D—Surety Bonds and Policies of
Sec. Insurance for Freight Forwarders
387.1 Purpose and scope.
387.401 Definitions.
387.3 Applicability.
387.403 General requirements.
387.5 Definitions. 387.403T General requirements.
387.7 Financial responsibility required. 387.405 Limits of liability.
387.9 Financial responsibility, minimum 387.407 Surety bonds and certificates of in-
levels. surance.
387.11 State authority and designation of 387.409 Insurance and surety companies.
agent. 387.411 Qualifications as a self-insurer and
387.13 Fiduciaries. other securities or agreements.
387.15 Forms. 387.413 Forms and procedures.
387.17 Violation and penalty. 387.413T Forms and procedures.
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387.19 Electronic filing of surety bonds, 387.415 Acceptance and revocation by the
trust fund agreements, certificates of in- FMCSA.
surance and cancellations. 387.417 Fiduciaries.
383
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§ 387.1 49 CFR Ch. III (10–1–20 Edition)
387.419 Electronic filing of surety bonds, stances, or wastes in intrastate com-
certificates of insurance and cancella- merce, except that the rules in this
tions. subpart do apply to the transportation
387.419T Electronic filing of surety bonds,
certificates of insurance and cancella-
of a highway route controlled quantity
tions. of a Class 7 material as defined in 49
CFR 173.403, in intrastate commerce.
AUTHORITY: 49 U.S.C. 13101, 13301, 13906,
13908, 14701, 31138, and 31139; sec. 204(a), Pub. [46 FR 30982, June 11, 1981; 46 FR 45612, Sept.
L. 104–88, 109 Stat. 803, 941; and 49 CFR 1.87. 14, 1981, as amended at 48 FR 5559, Feb. 7,
EDITORIAL NOTE: Nomenclature changes to 1983; 48 FR 52683, Nov. 21, 1983; 49 FR 38290,
part 387 appear at 66 FR 49872, Oct. 1, 2001. Sept. 28, 1984; 59 FR 63923, Dec. 12, 1994; 73 FR
76496, Dec. 16, 2008; 83 FR 22876, May 17, 2018]
apply to the transportation of non-bulk In bulk (Division 1.1, 1.2, and 1.3 explo-
oil, non-bulk hazardous materials, sub- sives) means the transportation, as
384
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Federal Motor Carrier Safety Administration, DOT § 387.7
cargo, of any Division 1.1, 1.2, or 1.3 Cancellation may be effected by the in-
materials in any quantity. surer or the insured motor carrier giv-
In bulk (Division 2.3, Hazard Zone A or ing 35 days’ notice in writing to the
Division 6.1, Packing Group I, Hazard other. The 35 days’ notice shall com-
Zone A materials) means the transpor- mence to run from the date the notice
tation, as cargo, of any Division 2.3, is transmitted. Proof of transmission
Hazard Zone A, or Division 6.1, packing shall be sufficient proof of notice.
Group I, Hazard Zone A material, in (2) Exception. Policies of insurance
any quantity. and surety bonds may be obtained for a
Insured and principal means the finite period of time to cover any lapse
motor carrier named in the policy of in continuous compliance.
insurance, surety bond, endorsement, (3) Exception. (i) A Mexico-domiciled
or notice of cancellation, and also the
motor carrier operating solely in mu-
fiduciary of such motor carrier.
nicipalities in the United States on the
Insurance premium means the mone-
U.S.-Mexico international border or
tary sum an insured pays an insurer for
within the commercial zones of such
acceptance of liability for public liabil-
ity claims made against the insured. municipalities with a Certificate of
Motor carrier means a for-hire motor Registration issued under part 368 may
carrier or a private motor carrier. The meet the minimum financial responsi-
term includes, but is not limited to, a bility requirements of this subpart by
motor carrier’s agent, officer, or rep- obtaining insurance coverage, in the
resentative; an employee responsible required amounts, for periods of 24
for hiring, supervising, training, as- hours or longer, from insurers that
signing, or dispatching a driver; or an meet the requirements of § 387.11.
employee concerned with the installa- (ii) A Mexican motor carrier so in-
tion, inspection, and maintenance of sured must have available for inspec-
motor vehicle equipment and/or acces- tion in each of its vehicles copies of the
sories. following documents:
Property damage means damage to or (A) The Certificate of Registration;
loss of use of tangible property. (B) The required insurance endorse-
Public liability means liability for ment (Form MCS–90); and
bodily injury or property damage and (C) An insurance identification card,
includes liability for environmental binder, or other document issued by an
restoration. authorized insurer which specifies both
State means a State of the United the effective date and the expiration
States, the District of Columbia, Puer- date of the temporary insurance cov-
to Rico, the Virgin Islands, American erage authorized by this exception.
Samoa, Guam, and the Northern Mar- (iii) Mexican motor carriers insured
iana Islands. under this exception are also exempt
[46 FR 30982, June 11, 1981; 46 FR 45612, Sept. from the notice of cancellation require-
14, 1981; 47 FR 12801, Mar. 25, 1982, as amended ments stated on Form MCS–90.
at 48 FR 52683, Nov. 21, 1983; 51 FR 33856, (c) Policies of insurance and surety
Sept. 23, 1986; 53 FR 12160, Apr. 13, 1988; 59 FR bonds required under this section may
63923, Dec. 12, 1994; 62 FR 16709, Apr. 8, 1997;
63 FR 33275, June 18, 1998; 78 FR 58482, Sept.
be replaced by other policies of insur-
24, 2013] ance or surety bonds. The liability of
the retiring insurer or surety, as to
§ 387.7 Financial responsibility re- events after the termination date, shall
quired. be considered as having terminated on
(a) No motor carrier shall operate a the effective date of the replacement
motor vehicle until the motor carrier policy of insurance or surety bond or at
has obtained and has in effect the min- the end of the 35 day cancellation pe-
imum levels of financial responsibility riod required in paragraph (b) of this
as set forth in § 387.9 of this subpart. section, whichever is sooner.
(b)(1) Policies of insurance, surety (d) Proof of the required financial re-
bonds, and endorsements required sponsibility shall be maintained at the
kpayne on VMOFRWIN702 with $$_JOB
under this section shall remain in ef- motor carrier’s principal place of busi-
fect continuously until terminated. ness. The proof shall consist of—
385
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§ 387.9 49 CFR Ch. III (10–1–20 Edition)
(1) ‘‘Endorsement(s) for Motor Car- FMCSA in accordance with the require-
rier Policies of Insurance for Public Li- ments of subpart C of this part.
ability Under Sections 29 and 30 of the (f) All vehicles operated within the
Motor Carrier Act of 1980’’ (Form MCS– United States by motor carriers domi-
90) issued by an insurer(s); ciled in a contiguous foreign country,
(2) A ‘‘Motor Carrier Surety Bond for shall have on board the vehicle a leg-
Public Liability Under Section 30 of ible copy, in English, of the proof of
the Motor Carrier Act of 1980’’ (Form the required financial responsibility
MCS–82) issued by a surety; or (Form MCS–90 or MCS–82) used by the
(3) A written decision, order, or au- motor carrier to comply with para-
thorization of the Federal Motor Car- graph (d) of this section.
rier Safety Administration authorizing (g) Any motor vehicle in which there
a motor carrier to self-insure under is no evidence of financial responsi-
§ 387.309, provided the motor carrier bility required by paragraph (f) of this
maintains a satisfactory safety rating section shall be denied entry into the
as determined by the Federal Motor United States.
Carrier Safety Administration under
[46 FR 30982, June 11, 1981; 46 FR 45612, Sept.
part 385 of this chapter.
14, 1981, as amended at 48 FR 5559, Feb. 7,
(e)(1) The proof of minimum levels of 1983; 48 FR 52683, Nov. 21, 1983; 51 FR 22083,
financial responsibility required by June 18, 1986; 54 FR 49092, Nov. 29, 1989; 59 FR
this section shall be considered public 63923, Dec. 12, 1994; 67 FR 12661, Mar. 19, 2002;
information and be produced for review 73 FR 76496, Dec. 16, 2008; 83 FR 16226, Apr. 16,
upon reasonable request by a member 2018; 83 FR 22876, May 17, 2018]
of the public.
(2) In addition to maintaining proof § 387.9 Financial responsibility, min-
of financial responsibility as required imum levels.
by paragraph (d) of this section, non- The minimum levels of financial re-
North America-domiciled private and sponsibility referred to in § 387.7 of this
for-hire motor carriers shall file evi- subpart are hereby prescribed as fol-
dence of financial responsibility with lows:
SCHEDULE OF LIMITS—PUBLIC LIABILITY
Type of carriage Commodity transported January 1, 1985
(1) For-hire (In interstate or foreign commerce, with Property (nonhazardous) ........................................... $750,000
a gross vehicle weight rating of 10,001 or more
pounds).
(2) For-hire and Private (In interstate, foreign, or Hazardous substances, as defined in 49 CFR 5,000,000
intrastate commerce, with a gross vehicle weight 171.8, transported in cargo tanks, portable tanks,
rating of 10,001 or more pounds). or hopper-type vehicles with capacities in excess
of 3,500 water gallons; or in bulk Division 1.1, 1.2
and 1.3 materials. Division 2.3, Hazard Zone A,
or Division 6.1, Packing Group I, Hazard Zone A
material; in bulk Division 2.1 or 2.2; or highway
route controlled quantities of a Class 7 material,
as defined in 49 CFR 173.403.
(3) For-hire and Private (In interstate or foreign Oil listed in 49 CFR 172.101; hazardous waste, 1,000,000
commerce, in any quantity; or in intrastate com- hazardous materials, and hazardous substances
merce, in bulk only; with a gross vehicle weight defined in 49 CFR 171.8 and listed in 49 CFR
rating of 10,001 or more pounds). 172.101, but not mentioned in (2) above or (4)
below.
(4) For-hire and Private (In interstate or foreign Any quantity of Division 1.1, 1.2, or 1.3 material; 5,000,000
commerce, with a gross vehicle weight rating of any quantity of a Division 2.3, Hazard Zone A, or
less than 10,001 pounds). Division 6.1, Packing Group I, Hazard Zone A
material; or highway route controlled quantities of
a Class 7 material as defined in 49 CFR 173.403.
386
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Federal Motor Carrier Safety Administration, DOT § 387.19
[46 FR 30982, June 11, 1981, as amended at 48 § 387.19 Electronic filing of surety
FR 52683, Nov. 21, 1983; 75 FR 38430, July 2, bonds, trust fund agreements, cer-
2010] tificates of insurance and cancella-
tions.
§ 387.13 Fiduciaries. (a) Insurers of exempt for-hire motor
The coverage of fiduciaries shall at- carriers, as defined in § 390.5 of this sub-
tach at the moment of succession of chapter, and private motor carriers
that transport hazardous materials in
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such fiduciaries.
interstate commerce that are reg-
[46 FR 30982, June 11, 1981] istered with FMCSA on September 30,
387
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§ 387.25 49 CFR Ch. III (10–1–20 Edition)
2016, must file certificates of insurance, (3) A motor vehicle carrying less
surety bonds, and other securities and than 16 individuals in a single daily
agreements with FMCSA by April 14, round trip to commute to and from
2017. Insurers of all other exempt for- work; and
hire motor carriers, as defined in § 390.5 (4) A motor vehicle operated by a
of this subchapter, and private motor motor carrier under contract providing
carriers that transport hazardous ma- transportation of preprimary, primary,
terials in interstate commerce must and secondary students for extra-
file certificates of insurance, surety curricular trips organized, sponsored,
bonds, and other securities and agree- and paid by a school district.
ments with FMCSA at the time of the
[48 FR 52683, Nov. 21, 1983, as amended at 63
application for registration. These fil- FR 33275, June 18, 1998]
ings must be made electronically in ac-
cordance with the requirements and § 387.29 Definitions.
procedures set forth at § 387.323.
As used in this subpart—
(b) The requirements of this section
do not apply to motor carriers excepted Accident means includes continuous
under § 387.7(b)(3). or repeated exposure to the same con-
ditions resulting in public liability
[80 FR 63708, Oct. 21, 2015; 81 FR 49554, July which the insured neither expected nor
28, 2016] intended.
EFFECTIVE DATE NOTE: At 82 FR 5307, Jan. Bodily injury means injury to the
17, 2017, § 387.19 was suspended, effective Jan. body, sickness, or disease including
14, 2017. death resulting from any of these.
Endorsement means an amendment to
Subpart B—Motor Carriers of an insurance policy.
Passengers Financial responsibility means the fi-
nancial reserves (e.g., insurance poli-
cies or surety bonds) sufficient to sat-
SOURCE: 48 FR 52683, Nov. 21, 1983, unless
isfy liability amounts set forth in this
otherwise noted.
subpart covering public liability.
§ 387.25 Purpose and scope. For-hire carriage means the business
of transporting, for compensation, pas-
This subpart prescribes the minimum sengers and their property, including
levels of financial responsibility re- any compensated transportation of the
quired to be maintained by for-hire goods or property or another.
motor carriers of passengers operating Insured and principal means the
motor vehicles in interstate or foreign motor carrier named in the policy of
commerce. The purpose of these regu- insurance, surety bond, endorsement,
lations is to create additional incen- or notice of cancellation, and also the
tives to carriers to operate their vehi- fiduciary of such motor carrier.
cles in a safe manner and to assure Insurance premium means the mone-
that they maintain adequate levels of tary sum an insured pays an insurer for
financial responsibility. acceptance of liability for public liabil-
ity claims made against the insured.
§ 387.27 Applicability.
Motor carrier means a for-hire motor
(a) This subpart applies to for-hire carrier. The term includes, but is not
motor carriers transporting passengers limited to, a motor carrier’s agent, of-
in interstate or foreign commerce. ficer, or representative; an employee
(b) Exception. The rules in this sub- responsible for hiring, supervising,
part do not apply to— training, assigning, or dispatching a
(1) A motor vehicle transporting only driver; or an employee concerned with
school children and teachers to or from the installation, inspection, and main-
school; tenance of motor vehicle equipment
(2) A motor vehicle providing taxicab and/or accessories.
service and having a seating capacity Property damage means damage to or
of less than 7 passengers and not oper- loss of use of tangible property.
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388
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Federal Motor Carrier Safety Administration, DOT § 387.31
Seating capacity means any plan view tion in each of its vehicles copies of the
location capable of accommodating a following documents:
person at least as large as a 5th per- (i) The required insurance endorse-
centile adult female, if the overall seat ment (Form MCS–90B); and
configuration and design and vehicle (ii) An insurance identification card,
design is such that the position is like- binder, or other document issued by an
ly to be used as a seating position authorized insurer which specifies both
while the vehicle is in motion, except the effective date and the expiration
for auxiliary seating accommodations date of the temporary insurance cov-
such as temporary or folding jump erage authorized by this exception.
seats. Any bench or split bench seat in Mexican motor carriers insured under
a passenger car, truck or multi-purpose this exception are also exempt from
passenger vehicle with a gross vehicle the notice of cancellation requirements
weight rating less than 10,000 pounds, stated on Form MCS–90B.
having greater than 50 inches of hip (c) Policies of insurance and surety
room (measured in accordance with bonds required under this section may
SEA Standards J1100(a)) shall have not be replaced by other policies of insur-
less than three designated seating posi- ance or surety bonds. The liability of
tions, unless the seat design or vehicle retiring insurer or surety, as to events
design is such that the center position after the termination date, shall be
cannot be used for seating. considered as having terminated on the
effective date of the replacement pol-
[48 FR 52683, Nov. 21, 1983, as amended at 63
icy of insurance or surety bond or at
FR 33276, June 18, 1998; 78 FR 58482, Sept. 24,
2013] the end or the 35 day cancellation pe-
riod required in paragraph (b) of this
§ 387.31 Financial responsibility re- section, whichever is sooner.
quired. (d) Proof of the required financial re-
sponsibility shall be maintained at the
(a) No motor carrier shall operate a
motor carrier’s principal place of busi-
motor vehicle transporting passengers
ness. The proof shall consist of—
until the motor carrier has obtained (1) ‘‘Endorsement(s) for Motor Car-
and has in effect the minimum levels of riers of Passengers Policies of Insur-
financial responsibility as set forth in ance for Public Liability Under Section
§ 387.33 of this subpart. 18 of the Bus Regulatory Reform Act of
(b) Policies of insurance, surety 1982’’ (Form MCS–90B) issued by an in-
bonds, and endorsements required surer(s); or
under this section shall remain in ef- (2) A ‘‘Motor Carrier of Passengers
fect continuously until terminated. Surety Bond for Public Liability Under
(1) Cancellation may be effected by Section 18 of the Bus Regulatory Re-
the insurer or the insured motor car- form Act of 1982’’ (Form MCS–82B)
rier giving 35 days’ notice in writing to issued by a surety.
the other. The 35 days’ notice shall (e)(1) The proof of minimum levels of
commence to run from the date the no- financial responsibility required by
tice is transmitted. Proof of trans- this section shall be considered public
mission shall be sufficient proof of no- information and be produced for review
tice. upon reasonable request by a member
(2) Exception. Policies of insurance of the public.
and surety bonds may be obtained for a (2) In addition to maintaining proof
finite period of time to cover any lapse of financial responsibility as required
in continuous compliance. by paragraph (d) of this section, non-
(3) Exception. Mexican motor carriers North America-domiciled private and
may meet the minimum financial re- for-hire motor carriers shall file evi-
sponsibility requirements of this sub- dence of financial responsibility with
part by obtaining insurance coverage, FMCSA in accordance with the require-
in the required amounts, for periods of ments of subpart C of this part.
24 hours or longer, from insurers that (f) All passenger carrying vehicles
meet the requirements of § 387.35 of this operated within the United States by
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389
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§ 387.33 49 CFR Ch. III (10–1–20 Edition)
board the vehicle a legible copy, in area. Transit service providers con-
English, of the proof of the required fi- ducting such operations must register
nancial responsibility (Forms MCS–90B as for-hire passenger carriers under
or MCS–82B) used by the motor carrier part 365, subpart A and part 390, sub-
to comply with paragraph (d) of this part E, of this subchapter, identify the
section. State(s) in which they operate under
(g) Any motor vehicle in which there the applicable grants, and certify on
is no evidence of financial responsi- their registration documents that they
bility required by paragraph (f) of this have in effect financial responsibility
section shall be denied entry into the levels in an amount equal to or greater
United States. than the highest level required by any
[48 FR 52683, Nov. 21, 1983, as amended at 50 of the States in which they are oper-
FR 7062, Feb. 20, 1985; 54 FR 49092, Nov. 29, ating under a qualifying grant.
1989; 60 FR 38743, July 28, 1995; 73 FR 76496, [80 FR 63709, Oct. 21, 2015, as amended at 83
Dec. 16, 2008; 83 FR 16226, Apr. 16, 2018] FR 22876, May 17, 2018]
§ 387.33 Financial responsibility, min- EFFECTIVE DATE NOTE: At 82 FR 5307, Jan.
imum levels. 17, 2017, § 387.33 was suspended, effective Jan.
14, 2017.
(a) General limits. Except as provided
in § 387.27(b), the minimum levels of fi- § 387.33T Financial responsibility, min-
nancial responsibility referred to in imum levels.
§ 387.31 are prescribed as follows:
Except as provided in § 387.27(b), the
SCHEDULE OF LIMITS minimum levels of financial responsi-
bility referred to in § 387.31 are hereby
PUBLIC LIABILITY prescribed as follows:
For-hire motor carriers of passengers SCHEDULE OF LIMITS
operating in interstate or foreign com-
merce. PUBLIC LIABILITY
Vehicle seating capacity Minimum limits For-hire motor carriers of passengers
operating in interstate or foreign com-
(1) Any vehicle with a seating capacity of 16
passengers or more, including the driver .. $5,000,000 merce.
(2) Any vehicle with a seating capacity of 15
passengers or less, including the driver .... 1,500,000 Vehicle seating capacity Minimum limits
390
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Federal Motor Carrier Safety Administration, DOT § 387.43
sion/forms.
[83 FR 16226, Apr. 16, 2018]
391
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§ 387.301 49 CFR Ch. III (10–1–20 Edition)
Subpart C—Surety Bonds and Poli- unless and until there shall have been
cies of Insurance for Motor filed with and accepted by the FMCSA,
Carriers and Property Brokers a surety bond, certificate of insurance,
proof of qualifications as a self-insurer,
or other securities or agreements in
CROSS REFERENCE: Prescribed forms relat-
the amounts prescribed in § 387.303, con-
ing to this part are listed in 49 CFR part 1003.
ditioned upon such carrier making
SOURCE: 32 FR 20032, Dec. 20, 1967, unless compensation to individual shippers
otherwise noted. Redesignated at 61 FR 54709,
for all property belonging to individual
Oct. 21, 1996.
shippers and coming into the posses-
§ 387.301 Surety bond, certificate of in- sion of such carrier in connection with
surance, or other securities. its transportation service. The terms
(a) Public liability. (1) No for-hire ‘‘household goods motor carrier’’ and
motor carrier or foreign (Mexican) ‘‘individual shipper’’ are defined in
motor private carrier or foreign motor § 375.103 of this subchapter.
carrier transporting exempt commod- (c) Continuing compliance required.
ities subject to Subtitle IV, part B, Such security as is accepted by the
chapter 135 of title 49, United States FMCSA in accordance with the require-
Code, shall engage in interstate or for- ments of section 13906 of title 49 of the
eign commerce, and no certificate shall U.S. Code, shall remain in effect at all
be issued to such a carrier or remain in times.
force unless and until there shall have [48 FR 51780, Nov. 14, 1983, as amended at 60
been filed with and accepted by the FR 63981, Dec. 13, 1995; 62 FR 49941, Sept. 24,
FMCSA surety bonds, certificates of in- 1997; 75 FR 35328, June 22, 2010; 81 FR 63709,
surance, proof of qualifications as self- Oct. 21, 2015; 81 FR 49554, July 28, 2016; 83 FR
insurer, or other securities or agree- 22877, May 17, 2018]
ments, in the amounts prescribed in
EFFECTIVE DATE NOTE: At 82 FR 5307, Jan.
§ 387.303, conditioned to pay any final 17, 2017, § 387.301 was suspended, effective Jan.
judgment recovered against such motor 14, 2017.
carrier for bodily injuries to or the
death of any person resulting from the § 387.301T Surety bond, certificate of
negligent operation, maintenance or insurance, or other securities.
use of motor vehicles in transportation
subject to Subtitle IV, part B, chapter (a) Public liability. (1) No common or
135 of title 49, U.S.C., or for loss of or contract carrier or foreign (Mexican)
damage to property of others, or, in the motor private carrier or foreign motor
case of motor carriers of property oper- carrier transporting exempt commod-
ating freight vehicles described in ities subject to Subtitle IV, part B,
§ 387.303(b)(2), for environmental res- chapter 135 of title 49 of the U.S. Code
toration. Passenger motor carriers ex- shall engage in interstate or foreign
empt under § 387.27 of this part are not commerce, and no certificate or permit
subject to this limitation on transpor- shall be issued to such a carrier or re-
tation or required to file evidence of fi- main in force unless and until there
nancial responsibility. shall have been filed with and accepted
(2) Motor Carriers of property which by the FMCSA surety bonds, certifi-
are subject to the conditions set forth cates of insurance, proof of qualifica-
in paragraph (a)(1) of this section and tions as self-insurer, or other securities
transport the commodities described in or agreements, in the amounts pre-
§ 387.303(b)(2), are required to obtain se- scribed in § 387.303T, conditioned to pay
curity in the minimum limits pre- any final judgment recovered against
scribed in § 387.303(b)(2). such motor carrier for bodily injuries
(b) Household goods motor carriers- to or the death of any person resulting
cargo insurance. No household goods from the negligent operation, mainte-
motor carrier subject to subtitle IV, nance or use of motor vehicles in trans-
part B, chapter 135 of title 49 of the portation subject to Subtitle IV, part
U.S. Code shall engage in interstate or B, chapter 135 of title 49 of the U.S.
foreign commerce, nor shall any cer- Code, or for loss of or damage to prop-
kpayne on VMOFRWIN702 with $$_JOB
tificate be issued to such a household erty of others, or, in the case of motor
goods motor carrier or remain in force carriers of property operating freight
392
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Federal Motor Carrier Safety Administration, DOT § 387.303
Fleet including only vehicles under 10,001 pounds (4,536 Property (non-hazardous) ............................. $300,000
kilograms) GVWR.
(A) Any vehicle with a seating capacity of 16 passengers or more (including the driver) .................................. $5,000,000
(B) Any vehicle designed or used to transport 15 passengers or less (including the driver) for compensation 1,500,000
(iii) Limits applicable to transit service and individuals with disabilities, will
providers. Notwithstanding the provi- be the highest level required for any of
sions of paragraph (b)(1)(ii) of this sec- the States in which it operates. This
tion, the minimum level of financial paragraph applies to transit service
responsibility for a motor vehicle used providers who operate in a transit serv-
to provide transportation services ice area located in more than one
within a transit service area under an State, as well as transit service pro-
agreement with a Federal, State, or viders who operate in only one State
local government funded, in whole or but interline with other motor carriers
in part, with a grant under 49 U.S.C. that provide interstate transportation
5307, 5310 or 5311, including transpor- within or outside the transit service
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tation designed and carried out to meet area. Transit service providers con-
the special needs of elderly individuals ducting such operations must register
393
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§ 387.303 49 CFR Ch. III (10–1–20 Edition)
as for-hire passenger carriers under than the highest level required by any
part 365, subpart A and part 390, sub- of the States in which they are oper-
part E of this subchapter, identify the ating under a qualifying grant.
State(s) in which they operate under (2) Motor carriers subject to
the applicable grants, and certify on § 387.301(a)(2) are required to have secu-
their registration documents that they rity for the required minimum limits
have in effect financial responsibility as follows:
levels in an amount equal to or greater
Minimum
Kind of equipment Commodity transported limits
(i) Freight vehicles of 10,001 pounds (4,536 Property (non-hazardous) ............................................................. $750,000
kilograms) or more GVWR.
(ii) Freight vehicles of 10,001 (4,536 kilo- Hazardous substances, as defined in § 171.8 of this title, trans- 5,000,000
grams) pounds or more GVWR. ported in cargo tanks, portable tanks, or hopper-type vehicles
with capacities in excess of 3,500 water gallons, or in bulk ex-
plosives Division 1,1, 1.2 and 1.3 materials. Division 2.3, Haz-
ard Zone A material; in bulk Division 2.1 or 2.2; or highway
route controlled quantities of a Class 7 material, as defined in
§ 173.403 of this title.
(iii) Freight vehicles of 10,001 pounds Oil listed in § 172.101 of this title; hazardous waste, hazardous 1,000,000
(4,536 kilograms) or more GVWR. materials and hazardous substances defined in § 171.8 of this
title and listed in § 172.101 of this title, but not mentioned in
paragraph (b)(2)(ii) or paragraph (b)(2)(iv) of this section.
(iv) Freight vehicles under 10,001 pounds Any quantity of Division 1.1, 1.2, or 1.3 material; any quantity of 5,000,000
(4,536 kilograms) GVWR. a Division 2.3, Hazard Zone A, or Division 6.1, Packing Group
I, Hazard Zone A material; or highway route controlled quan-
tities of Class 7 material as defined in § 173.455 of this title.
(3) Motor carriers subject to the min- (iii) An insurance identification card,
imum limits governed by this section, binder, or other document issued by an
which are also subject to Department authorized insurer which specifies both
of Transportation limits requirements, the effective date and the expiration
are at no time required to have secu- date of the insurance coverage.
rity for more than the required min- (5) Notwithstanding the provisions of
imum limits established by the Sec- § 387.301(a)(1), the filing of evidence of
retary of Transportation in the appli- insurance is not required as a condition
to the issuance of a certificate of reg-
cable provisions of 49 CFR Part 387—
istration. Further, the reference to
Minimum Levels of Financial Respon-
continuous coverage at § 387.313(a)(6)
sibility for Motor Carriers.
and the reference to cancellation no-
(4) Foreign motor carriers and foreign tice at § 387.313(d) are not applicable to
motor private carriers. Foreign motor these carriers.
carriers and foreign motor private car- (c) Household goods motor carriers:
riers (Mexican), subject to the require- Cargo liability. Security required to
ments of 49 U.S.C. 13902(c) and 49 CFR compensate individual shippers for loss
part 368 regarding obtaining certifi- or damage to property belonging to
cates of registration from the FMCSA, them and coming into the possession of
must meet our minimum financial re- household goods motor carriers in con-
sponsibility requirements by obtaining nection with their transportation serv-
insurance coverage, in the required ice;
amounts, for periods of 24 hours or (1) For loss of or damage to house-
longer, from insurance or surety com- hold goods carried on any one motor
panies, that meet the requirements of vehicle—$5,000,
49 CFR 387.315. These carriers must (2) For loss of or damage to or aggre-
have available for inspection, in each gate of losses or damages of or to
vehicle operating in the United States, household goods occurring at any one
copies of the following documents: time and place—$10,000.
(i) The certificate of registration; [47 FR 55944, Dec. 14, 1982]
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(ii) The required insurance endorse- EDITORIAL NOTE: For FEDERAL REGISTER ci-
ment (Form MCS–90); and tations affecting § 387.303, see the List of CFR
394
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Federal Motor Carrier Safety Administration, DOT § 387.303T
Sections Affected, which appears in the vided by the insurance or surety com-
Finding Aids section of the printed volume pany responsible for the first dollar of
and at www.govinfo.gov. coverage.
EFFECTIVE DATE NOTE: At 82 FR 5307, Jan. (2) Excess security means public liabil-
17, 2017, § 387.303 was suspended, effective Jan. ity coverage above the primary secu-
14, 2017. At 84 FR 51433, Sept. 30, 2019, the sus- rity, or above any additional under-
pension was lifted and amendments were lying security, up to and including the
made to § 387.303. In that same document, required minimum limits set forth in
§ 387.303 was again suspended indefinitely. paragraph (b)(2) of this section.
(b)(1) Motor carriers subject to
§ 387.303T Security for the protection § 387.301T(a)(1) are required to have se-
of the public: Minimum limits.
curity for the required minimum limits
(a) Definitions. (1) Primary security as follows:
means public liability coverage pro- (i) Small freight vehicles.
Transportation Minimum
Kind of equipment provided limits
Fleet including only vehicles under 10,001 pounds (4,536 kilograms) Property (non-hazardous) ................ $300,000
GVWR.
(A) Any vehicle with a seating capacity of 16 passengers or more (including the driver) ....................................... $5,000,000
(B) Any vehicle designed or used to transport 15 passengers or less (including the driver) for compensation ..... 1,500,000
(2) Motor carriers subject to curity for the required minimum limits
§ 387.301T(a)(2) are required to have se- as follows:
Minimum
Kind of equipment Commodity transported limits
(3) Motor carriers subject to the min- retary of Transportation in the appli-
imum limits governed by this section, cable provisions of this part.
which are also subject to Department (4) Foreign motor carriers and foreign
of Transportation limits requirements, motor private carriers. Foreign motor
are at no time required to have secu- carriers and foreign motor private car-
rity for more than the required min- riers (Mexican), subject to the require-
kpayne on VMOFRWIN702 with $$_JOB
imum limits established by the Sec- ments of 49 U.S.C. 13902(c) and 49 CFR
395
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§ 387.305 49 CFR Ch. III (10–1–20 Edition)
part 368 regarding obtaining certifi- § 387.307 Property broker surety bond
cates of registration from the FMCSA, or trust fund.
must meet our minimum financial re- (a) Security. A broker must have a
sponsibility requirements by obtaining surety bond or trust fund in effect for
insurance coverage, in the required $75,000. The FMCSA will not issue a
amounts, for periods of 24 hours or broker license until a surety bond or
longer, from insurance or surety com- trust fund for the full limits of liability
panies, that meet the requirements of prescribed herein is in effect. The
§ 387.315. These carriers must have broker license shall remain valid or ef-
available for inspection, in each vehi- fective only as long as a surety bond or
cle operating in the United States, cop- trust fund remains in effect and shall
ies of the following documents: ensure the financial responsibility of
(i) The certificate of registration; the broker.
(ii) The required insurance endorse- (b) Evidence of security. Evidence of a
ment (Form MCS–90); and surety bond must be filed using the
(iii) An insurance identification card, FMCSA’s prescribed Form BMC 84. Evi-
binder, or other document issued by an dence of a trust fund with a financial
authorized insurer which specifies both institution must be filed using the
the effective date and the expiration FMCSA’s prescribed Form BMC 85. The
date of the insurance coverage. surety bond or the trust fund shall en-
(5) Notwithstanding the provisions of sure the financial responsibility of the
§ 387.301T(a)(1), the filing of evidence of broker by providing for payments to
insurance is not required as a condition shippers or motor carriers if the broker
to the issuance of a certificate of reg- fails to carry out its contracts, agree-
istration. Further, the reference to ments, or arrangements for the sup-
continuous coverage at § 387.313T(a)(6) plying of transportation by authorized
and the reference to cancellation no- motor carriers.
tice at § 387.313T(d) are not applicable (c) Financial institution—when used in
to these carriers. this section and in forms prescribed
(c) Household goods motor carriers: under this section, where not otherwise
Cargo liability. Security required to distinctly expressed or manifestly in-
compensate individual shippers for loss compatible with the intent thereof,
or damage to property belonging to shall mean—Each agent, agency,
them and coming into the possession of branch or office within the United
household goods motor carriers in con- States of any person, as defined by the
nection with their transportation serv- ICC Termination Act, doing business in
ice: one or more of the capacities listed
(1) For loss of or damage to house- below:
hold goods carried on any one motor (1) An insured bank (as defined in
vehicle—$5,000; and section 3(h) of the Federal Deposit In-
(2) For loss of or damage to or aggre- surance Act (12 U.S.C. 1813(h));
gate of losses or damages of or to (2) A commercial bank or trust com-
household goods occurring at any one pany;
time and place—$10,000. (3) An agency or branch of a foreign
[82 FR 5307, Jan. 17, 2017, as amended at 83 bank in the United States;
FR 22877, May 17, 2018; 84 FR 51433, Sept. 30, (4) An insured depository institution
2019] (as defined in section 3(c)(2) of the Fed-
eral Deposit Insurance Act (12 U.S.C.
§ 387.305 Combination vehicles. 1813(c)(2));
The following combinations will be (5) A thrift institution (savings bank,
regarded as one motor vehicle for pur- building and loan association, credit
poses of this part, (a) a tractor and union, industrial bank or other);
trailer or semitrailer when the tractor (6) An insurance company;
is engaged solely in drawing the trailer (7) A loan or finance company; or
or semitrailer, and (b) a truck and (8) A person subject to supervision by
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trailer when both together bear a sin- any State or Federal bank supervisory
gle load. authority.
396
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Federal Motor Carrier Safety Administration, DOT § 387.309
397
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§ 387.311 49 CFR Ch. III (10–1–20 Edition)
days after a carrier receives a less than coverage. * Each Form BMC 91MX cer-
satisfactory rating from DOT. tificate of insurance filed with the
(4) Additional information. Applicant FMCSA will represent the security
must submit such additional informa- limits of coverage as indicated on the
tion to support its application as the face of the form. The Form BMC 91MX
FMCSA may require. must show clearly whether the insur-
(b) Other securities or agreements. The ance is primary or, if excess coverage,
FMCSA also will consider applications the amount of underlying coverage as
for approval of other securities or well as amount of the maximum limits
agreements and will approve any such of coverage.
application if satisfied that the secu- (b) Cargo liability. Each form BMC 83
rity or agreement offered will afford surety bond filed with the FMCSA
the security for protection of the pub- must be for the full limits of liability
lic contemplated by 49 U.S.C. 13906. required under § 387.303(c). Each Form
[48 FR 51780, Nov. 14, 1983, and 51 FR 15008,
BMC 34 certificate of insurance filed
Apr. 22, 1986, as amended at 52 FR 3815, Feb. with the FMCSA will represent the full
6, 1987; 62 FR 49941, Sept. 24, 1997; 68 FR 56199, security limits under § 387.303(c) or the
Sept. 30, 2003] specific security limits of coverage as
indicated on the face of the form. If the
§ 387.311 Bonds and certificates of in- filing reflects aggregation, the certifi-
surance. cate must show clearly whether the in-
(a) Public liability. Each Form BMC 82 surance is primary or, if excess cov-
surety bond filed with the FMCSA erage, the amount of underlying cov-
must be for the full limits of liability erage as well as amount of the max-
required under § 387.303(b)(1). Form imum limits of coverage.
MCS–82 surety bonds and other forms (c) Each policy of insurance in con-
of similar import prescribed by the De- nection with the certificate of insur-
partment of Transportation, may be ance which is filed with the FMCSA,
aggregated to comply with the min- shall be amended by attachment of the
imum security limits required under appropriate endorsement prescribed by
§ 387.303(b)(1) or § 387.303(b)(2). Each the FMCSA and the certificate of in-
Form BMC 91 certificate of insurance surance filed must accurately reflect
filed with the FMCSA will always rep- that endorsement.
resent the full security minimum lim-
its required for the particular carrier, [47 FR 55944, Dec. 14, 1982, as amended at 48
while it remains in force, under FR 43332, Sept. 23, 1983; 48 FR 51781, Nov. 14,
1983; 50 FR 40030, Oct. 1, 1985; 62 FR 49941,
§ 387.303(b)(1) or § 387.303(b)(2), which-
Sept. 24, 1997; 68 FR 56199, Sept. 30, 2003]
ever is applicable. Any previously exe-
cuted Form BMC 91 filed before the § 387.313 Forms and procedures.
current revision which is left on file
with the FMCSA after the effective (a) Forms for endorsements, certificates
date of this regulation, and not can- of insurance and others—(1) In form pre-
celed within 30 days of that date will be scribed. Endorsements for policies of in-
deemed to certify the same coverage surance and surety bonds, certificates
limits as would the filing of a revised of insurance, applications to qualify as
Form BMC 91. Each Form BMC 91X cer- a self-insurer, or for approval of other
tificate of insurance filed with the securities or agreements, and notices
FMCSA will represent the full security of cancellation must be in the form
limits under § 387.303(b)(1) or prescribed and approved by the
§ 387.303(b)(2) or the specific security FMCSA.
limits of coverage as indicated on the
face of the form. If the filing reflects
aggregation, the certificate must show *NOTE: Aggregation to meet the require-
clearly whether the insurance is pri- ment of § 387.303(b)(1) will not be allowed
until the completion of our rulemaking in Ex
mary or, if excess coverage, the
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398
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Federal Motor Carrier Safety Administration, DOT § 387.313
399
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§ 387.313T 49 CFR Ch. III (10–1–20 Edition)
surance and surety bonds, certificates ance will be filed to represent full cov-
of insurance, applications to qualify as erage or any level of aggregation for
400
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Federal Motor Carrier Safety Administration, DOT § 387.315
the security limits under issued in the full and correct name of
§ 387.303T(b)(1) or (2). the individual, partnership, corpora-
(ii) Form BMC 90 endorsement will be tion or other person to whom the cer-
used with each filing of Form BMC 91 or tificate, permit, or license is, or is to
Form 91X certificate with the FMCSA be, issued. In the case of a partnership,
which certifies to coverage not gov- all partners shall be named.
erned by the requirements of the De- (d) Cancellation notice. Except as pro-
partment of Transportation. Form BMC vided in paragraph (e) of this section,
32 endorsement and Form BMC 34 cer- surety bonds, certificates of insurance
tificate of insurance and Form BMC 83 and other securities or agreements
surety bonds are used for the limits of shall not be cancelled or withdrawn
cargo liability under § 387.303T(c). until 30 days after written notice has
(iii) Form BMC 91MX certificate of in- been submitted to the FMCSA at its of-
surance will be filed to represent any fices in Washington, DC, on the pre-
level of aggregation for the security scribed form (Form BMC–35, Notice of
limits under § 387.303T(b)(4). Cancellation Motor Carrier Policies of
(4) Use of endorsements in MCS Series. Insurance under 49 U.S.C. 13906, and
When Security limits certified under BMC–36, Notice of Cancellation Motor
§ 387.303T(b)(1) or (b)(2) involves cov- Carrier and Broker Surety Bonds, as
erage also required by the Department appropriate) by the insurance com-
of Transportation a Form MCS en- pany, surety or sureties, motor carrier,
dorsement prescribed by the Depart- broker or other party thereto, as the
ment of Transportation such as, and case may be, which period of thirty (30)
including, the Form MCS 90 endorse- days shall commence to run from the
ment is required. date such notice on the prescribed form
(5) Surety bonds. When surety bonds is actually received by the FMCSA.
are used rather than certificates of in- (e) Termination by replacement. Cer-
surance, Form BMC 82 is required for tificates of insurance or surety bonds
the security limits under which have been accepted by the
§ 387.303T(b)(1) not subject to regulation FMCSA under these rules may be re-
by the Department of Transportation, placed by other certificates of insur-
and Form MCS 82, or any form of simi- ance, surety bonds or other security,
lar import prescribed by the Depart- and the liability of the retiring insurer
ment of Transportation, is used for the or surety under such certificates of in-
security limits subject also to min- surance or surety bonds shall be con-
imum coverage requirements of the De- sidered as having terminated as of the
partment of 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: part.
(i) When filed expressly to fill prior
gaps or lapses in coverage or to cover [82 FR 5308, Jan. 17, 2017, as amended at 83
grants of emergency temporary author- FR 16226, Apr. 16, 2018; 84 FR 51434, Sept. 30,
ity of unusually short duration and the 2019]
filing clearly so indicates; or
(ii) In special or unusual cir- § 387.315 Insurance and surety compa-
nies.
cumstances, when special permission is
obtained for filing certificates of insur- A certificate of insurance or surety
ance or surety bonds on terms meeting bond will not be accepted by the
other particular needs of the situation. FMCSA unless issued by an insurance
(b) Filing and copies. Certificates of or surety company that is authorized
insurance, surety bonds, and notices of (licensed or admitted) to issue bonds or
cancellation must be filed with the underlying insurance policies:
FMCSA. (a) In each State in which the motor
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401
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§ 387.317 49 CFR Ch. III (10–1–20 Edition)
(b) In the State in which the motor and preserve property of incapacitated,
carrier has its principal place of busi- financially disabled, bankrupt, or de-
ness or domicile, and will designate in ceased holders of operating rights, and
writing upon request by the FMCSA, a assignees of such holders.
person upon whom process, issued by or (b) Insurance coverage in behalf of fi-
under the authority of a court of com- duciaries to apply concurrently. The cov-
petent jurisdiction, may be served in erage furnished under the provisions of
any proceeding at law or equity this section on behalf of fiduciaries
brought in any State in which the car- shall not apply subsequent to the effec-
rier operates, or tive date of other insurance, or other
(c) In any State, and is eligible as an security, filed with and approved by
excess or surplus lines insurer in any the FMCSA in behalf of such fidu-
State in which business is written, and ciaries. After the coverage provided in
will make the designation of process this section shall have been in effect
agent described in paragraph (b) of this thirty (30) days, it may be cancelled or
section. withdrawn within the succeeding pe-
(d) In the Province or Territory of
riod of thirty (30) days by the insurer,
Canada in which a Canadian motor car-
the insured, the surety, or the prin-
rier has its principal place of business
cipal upon ten (10) days’ notice in writ-
or domicile, and will designate in writ-
ing to the FMCSA at its office in Wash-
ing upon request by FMCSA, a person
ington, DC, which period of ten (10)
upon whom process, issued by or under
the authority of a court of competent days shall commence to run from the
jurisdiction, may be served in any pro- date such notice is actually received by
ceeding at law or equity brought in any the FMCSA. After such coverage has
State in which the carrier operates. been in effect for a total of sixty (60)
days, it may be cancelled or withdrawn
[56 FR 28111, June 19, 1991, as amended at 75 only in accordance with § 1043.7.
FR 38430, July 2, 2010; 78 FR 58482, Sept. 24,
2013] [32 FR 20032, Dec. 20, 1967, as amended at 47
FR 49596, Nov. 1, 1982; 47 FR 55945, Dec. 14,
§ 387.317 Refusal to accept, or revoca- 1982; 55 FR 11197, Mar. 27, 1990]
tion by the FMCSA of surety bonds,
etc. § 387.321 Operations in foreign com-
The FMCSA may, at any time, refuse merce.
to accept or may revoke its acceptance No motor carrier may operate in the
of any surety bond, certificate of insur- United States in the course of trans-
ance, qualifications as a self-insurer, or portation between places in a foreign
other securities or agreements if, in its country or between a place in one for-
judgment such security does not com- eign country and a place in another
ply with these sections or for any rea- foreign country unless and until there
son fails to provide satisfactory or ade- shall have been filed with and accepted
quate protection for the public. Rev- by the FMCSA a certificate of insur-
ocation of acceptance of any certificate ance, surety bond, proof of qualifica-
of insurance, surety bond or other se- tions as a self-insurer, or other securi-
curity shall not relieve the motor car- ties or agreements in the amount pre-
rier from compliance with § 387.301(c). scribed in § 387.303(b), conditioned to
[47 FR 55945, Dec. 14, 1982, as amended at 62 pay any final judgment recovered
FR 49942, Sept. 24, 1997; 80 FR 59073, Oct. 1, against such motor carrier for bodily
2015] injuries to or the death of any person
resulting from the negligent operation,
§ 387.319 Fiduciaries. maintenance, or use of motor vehicles
(a) Definitions. The terms ‘‘insured’’ in transportation between places in a
and ‘‘principal’’ as used in a certificate foreign country or between a place in
of insurance, surety bond, and notice of one foreign country and a place in an-
cancellation, filed by or for a motor other foreign country, insofar as such
carrier, include the motor carrier and transportation takes place in the
its fiduciary as of the moment of suc- United States, or for loss of or damage
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cession. The term ‘‘fiduciary’’ means to property of others. The security for
any person authorized by law to collect the protection of the public required by
402
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Federal Motor Carrier Safety Administration, DOT § 387.323T
this section shall be maintained in ef- for computer access will be issued to
fect at all times and shall be subject to each registered insurer.
the provisions of §§ 387.309 through (c) Filings must be transmitted on-
387.319. The requirements of § 387.315(a) line via the Internet at http://
shall be satisfied if the insurance or www.fmcsa.dot.gov.
surety company, in addition to having (d) All registered insurers agree to
been approved by the FMCSA, is le- furnish upon request to the FMCSA a
gally authorized to issue policies or copy of any policy (or policies) and all
surety bonds in at least one of the certificates of insurance, endorse-
States in the United States, or one of ments, surety bonds, trust fund agree-
the Provinces in Canada, and has filed ments, proof of qualification to self-in-
with the FMCSA the name and address sure or other insurance filings.
of a person upon whom legal process
may be served in each State in or [80 FR 63710, Oct. 21, 2015]
through which the motor carrier oper- EFFECTIVE DATE NOTE: At 82 FR 5308, Jan.
ates. Such designation may from time 17, 2017, § 387.323 was suspended, effective Jan.
to time be changed by like designation 14, 2017.
similarly filed, but shall be maintained
during the effectiveness of any certifi- § 387.323T Electronic filing of surety
cate of insurance or surety bond issued bonds, trust fund agreements, cer-
tificates of insurance and cancella-
by the company, and thereafter with tions.
respect to any claims arising during
the effectiveness of such certificate or (a) Insurers may, at their option and
bond. The term ‘‘motor carrier’’ as in accordance with the requirements
used in this section shall not include and procedures set forth in paragraphs
private carriers or carriers operating (a) through (d) of this section, file
under the partial exemption from regu- forms BMC 34, BMC 35, BMC 36, BMC
lation in 49 U.S.C. 13503 and 13506. 82, BMC 83, BMC 84, BMC 85, BMC 91,
and BMC 91X electronically, in lieu of
[47 FR 55945, Dec. 14, 1982, as amended at 62
using the prescribed printed forms.
FR 49942, Sept. 24, 1997]
(b) Each insurer must obtain author-
§ 387.323 Electronic filing of surety ization to file electronically by reg-
bonds, trust fund agreements, cer- istering with the FMCSA. An indi-
tificates of insurance and cancella- vidual account number and password
tions. for computer access will be issued to
(a) Insurers must electronically file each registered insurer.
forms BMC 34, BMC 35, BMC 36, BMC (c) Filings may be transmitted online
82, BMC 83, BMC 84, BMC 85, BMC 91, via the Internet at: http://fhwa-
and BMC 91X in accordance with the li.volpe.dot.gov or via American Stand-
requirements and procedures set forth ard Code Information Interchange
in paragraphs (b) through (d) of this (ASCII). All ASCII transmission must
section. be in fixed format, i.e., all records must
(b) Each insurer must obtain author- have the same number of fields and
ization to file electronically by reg- same length. The record layouts for
istering with the FMCSA. An indi- ASCII electronic transactions are de-
vidual account number and password scribed in the following table:
ELECTRONIC INSURANCE FILING TRANSACTIONS
Required
Number of F = filing
Field name Description Start field End field
positions C = cancel
B = both
403
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§ 387.401 49 CFR Ch. III (10–1–20 Edition)
Insured d/b/a name ..... 60 Text .......... Doing Business As Name If Different From B 139 198
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 code) ....... B 266 274
Insured country ............ 2 Text ............ (Will default to U.S.) .......................................... B 275 276
Form code ................... 10 Text .......... BMC–91, BMC–91X, BMC–34, BMC–35, etc .. B 277 286
Full, primary or excess 1 Text ............ If BMC–91X, P or E = indicator of primary or F 287 287
coverage. excess policy; 1 = Full under
§ 387.303T(b)(1); 2 = Full under
§ 387.303T(b)(2).
Limit of liability ............. 5 Numeric ...... $ in Thousands ................................................. F 288 292
Underlying limit of liabil- 5 Numeric ...... $ in Thousands (will default to $000 if Primary) F 293 297
ity.
Effective date ............... 8 Text ............ MM/DD/YY Format for both Filing or Cancella- B 298 305
tion.
Policy number .............. 25 Text .......... Surety companies may enter bond number ..... B 306 330
(b) Household goods freight forwarder ily injury to or the death of any per-
(HHGFF) means a freight forwarder of son, or loss of or damage to property
404
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Federal Motor Carrier Safety Administration, DOT § 387.409
(except cargo) of others, or, in the case not issue a freight forwarder license
of freight vehicles described at until a surety bond or trust fund for
§ 387.303(b)(2), for environmental res- the full limit of liability prescribed in
toration, resulting from the negligent § 387.405 is in effect. The freight for-
operation, maintenance, or use of warder license shall remain valid or ef-
motor vehicles operated by or under its fective only as long as a surety bond or
control in performing such service. trust fund remains in effect and shall
(c) Surety bond or trust fund. A freight ensure the financial responsibility of
forwarder must have a surety bond or the freight forwarder. The require-
trust fund in effect. The FMCSA will ments applicable to property broker
not issue a freight forwarder license surety bonds and trust funds in § 387.307
until a surety bond or trust fund for shall apply to the surety bond or trust
the full limit of liability prescribed in fund required by this paragraph (c).
§ 387.405 is in effect. The freight for-
[82 FR 5310, Jan. 17, 2017]
warder license shall remain valid or ef-
fective only as long as a surety bond or § 387.405 Limits of liability.
trust fund remains in effect and en-
sures the financial responsibility of the The minimum amounts for cargo and
freight forwarder. The requirements public liability security are identical
applicable to property broker surety to those prescribed for motor carriers
bonds and trust funds in § 387.307 shall at 49 CFR 387.303. The minimum
apply to the surety bond or trust fund amount for the surety bond or trust
required by this paragraph. fund is identical to that prescribed for
brokers at 49 CFR 387.307.
[80 FR 63709, Oct. 21, 2015]
[78 FR 60233, Oct. 1, 2013]
EFFECTIVE DATE NOTE: At 82 FR 5310, Jan.
17, 2017, § 387.403 was suspended, effective Jan. § 387.407 Surety bonds and certificates
14, 2017. of insurance.
§ 387.403T General requirements. (a) The limits of liability under
(a) Cargo. A household goods freight § 387.405 may be provided by aggrega-
forwarder may not operate until it has tion under the procedures at 49 CFR
filed with FMCSA an appropriate sur- part 387, subpart C.
ety bond, certificate of insurance, (b) Each policy of insurance used in
qualifications as a self-insurer, or connection with a certificate of insur-
other securities or agreements, in the ance filed with the FMCSA shall be
amounts prescribed in § 387.405, for loss amended by attachment of the appro-
of or damage to household goods. priate endorsement prescribed by the
(b) Public liability. A HHGFF may not FMCSA (or the Department of Trans-
perform transfer, collection, and deliv- portation, where applicable).
ery service until it has filed with the [55 FR 11201, Mar. 27, 1990. Redesignated at 61
FMCSA an appropriate surety bond, FR 54710, Oct. 21, 1996, as amended at 62 FR
certificate of insurance, qualifications 49942, Sept. 24, 1997]
as a self-insurer, or other securities or
agreements, in the amounts prescribed § 387.409 Insurance and surety compa-
at § 387.405, conditioned to pay any nies.
final judgment recovered against such A certificate of insurance or surety
HHGFF for bodily injury to or the bond will not be accepted by the
death of any person, or loss of or dam- FMCSA unless issued by an insurance
age to property (except cargo) of oth- or surety company that is authorized
ers, or, in the case of freight vehicles (licensed or admitted) to issue bonds or
described at § 387.303T(b)(2), for envi- underlying insurance policies:
ronmental restoration, resulting from (a) In each State in which the freight
the negligent operation, maintenance, forwarder is authorized by the FMCSA
or use of motor vehicles operated by or to perform service, or
under its control in performing such (b) In the State in which the freight
service. forwarder has its principal place of
(c) Surety bond or trust fund. A freight business or domicile, and will des-
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forwarder must have a surety bond or ignate in writing upon request by the
trust fund in effect. The FMCSA will FMCSA, a person upon whom process,
405
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§ 387.411 49 CFR Ch. III (10–1–20 Edition)
406
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Federal Motor Carrier Safety Administration, DOT Pt. 389
days after the FMCSA receives written § 387.419 Electronic filing of surety
notice from the insurance company, bonds, certificates of insurance and
surety, freight forwarder, or other cancellations.
party, as the case may be. Insurers must electronically file cer-
(e) Termination by replacement. Cer- tificates of insurance, surety bonds,
tificates of insurance or surety bonds and other securities and agreements
may be replaced by other certificates and notices of cancellation in accord-
of insurance, surety bonds, or other se- ance with the requirements and proce-
curity, and the liability of the retiring dures set forth at § 387.323.
insurer or surety shall be considered as [80 FR 63710, Oct. 21, 2015]
having terminated as of the replace-
EFFECTIVE DATE NOTE: At 82 FR 5310, Jan.
ment’s effective date, if acceptable to
17, 2017, § 387.419 was suspended, effective Jan.
the FMCSA. 14, 2017.
[82 FR 5310, Jan. 17, 2017, as amended at 83
FR 16226, Apr. 16, 2018; 84 FR 51434, Sept. 30, § 387.419T Electronic filing of surety
2019]
bonds, certificates of insurance and
cancellations.
§ 387.415 Acceptance and revocation Insurers may, at their option and in
by the FMCSA. accordance with the requirements and
The FMCSA may at any time refuse procedures set forth at § 387.323T, file
certificates of insurance, surety bonds,
to accept or may revoke its acceptance
and other securities and agreements
of any surety bond, certificate of insur-
electronically.
ance, qualifications as a self-insurer, or
other security or agreement that does [82 FR 5310, Jan. 17, 2017]
not comply with these rules or fails to
provide adequate public protection. PART 388 [RESERVED]
§ 387.417 Fiduciaries. PART 389—RULEMAKING PROCE-
(a) Interpretations. The terms ‘‘in- DURES—FEDERAL MOTOR CAR-
sured’’ and ‘‘principal’’ as used in a cer- RIER SAFETY REGULATIONS
tificate of insurance, surety bond, and
notice of cancellation, filed by or for a Subpart A—General
freight forwarder, include the freight
Sec.
forwarder and its fiduciary (as defined
389.1 Applicability.
at 49 CFR 387.319(a)) as of the moment 389.3 Definitions.
of succession. 389.5 Regulatory docket.
(b) Span of security coverage. The cov- 389.7 Records.
erage furnished for a fiduciary shall 389.9 Treatment of confidential business in-
not apply after the effective date of formation submitted under confidential
other insurance or security, filed with class determinations.
and accepted by the FMCSA for such fi- Subpart B—Procedures for Adoption of
duciary. After the coverage shall have Rules
been in effect 30 days, it may be can-
celled or withdrawn within the suc- 389.11 General.
ceeding 30 days by the insurer, the in- 389.13 Initiation of rule making.
389.15 Contents of notices of proposed rule
sured, the surety, or the principal 10 making.
days after the FMCSA receives written 389.17 Participation by interested persons.
notice. After such coverage has been in 389.19 Petitions for extension of time to
effect 60 days, it may be cancelled or comment.
withdrawn only in accordance with 389.21 Contents of written comments.
§ 387.413(d). 389.23 Consideration of comments received.
389.25 Additional rule making proceedings.
[55 FR 11201, Mar. 27, 1990. Redesignated at 61 389.27 Hearings.
FR 54710, Oct. 21, 1996, as amended at 62 FR 389.29 Adoption of final rules.
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407
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§ 389.1 49 CFR Ch. III (10–1–20 Edition)
389.37 Proceedings on petitions for reconsid- Code, any person may examine dock-
eration. eted material in the Department of
389.39 Direct final rulemaking procedures Transportation Docket Management
APPENDIX A TO PART 389 Facility in the following ways:
AUTHORITY: 49 U.S.C. 113, 501 et seq., sub- (1) At headquarters at any time dur-
chapters I and III of chapter 311, chapter 313, ing regular business hours. Copies may
and 31502; 42 U.S.C. 4917; and 49 CFR 1.87. be obtained upon payment of a fee.
SOURCE: 35 FR 9209, June 12, 1970, unless (2) On the Web site regulations.gov, at
otherwise noted. any time, by using the uniform re-
EDITORIAL NOTE: Nomenclature changes to sources locator (URL) http://
part 389 appear at 66 FR 49873, Oct. 1, 2001. www.regulations.gov. Copies may be
downloaded or printed.
Subpart A—General [72 FR 55702, Oct. 1, 2007]
§ 389.1 Applicability.
§ 389.7 Records.
This part prescribes rulemaking pro-
cedures that apply to the issuance, Records of the Administrator relat-
amendment and revocation of rules ing to rule making proceedings are
under an Act. available for inspection as provided in
section 552(b) of title 5 of the United
[62 FR 37152, July 11, 1997] States Code and part 7 of the regula-
§ 389.3 Definitions. tions of the Secretary of Transpor-
tation (part 7 of this title; 32 FR 9284 et
Act means statutes granting the Sec- seq.).
retary authority to regulate motor car-
rier safety. [35 FR 9209, June 12, 1970, as amended at 53
Administrator means the Federal FR 2036, Jan. 26, 1988]
Motor Carrier Safety Administrator.
Confidential business information § 389.9 Treatment of confidential busi-
means trade secrets or commercial or ness information submitted under
confidential class determinations.
financial information that is privileged
or confidential, as described in 5 U.S.C. (a) Purpose. This section establishes
552(b)(4). Commercial or financial in- the standards and procedures by which
formation is considered confidential if the Agency will solicit and receive cer-
it was voluntarily submitted and is the tain confidential commercial or finan-
type of information that is customarily cial information, as that term is used
not released to the general public by in the Freedom of Information Act (5
the person or entity from whom it was U.S.C. 552(b)(4)), categorically referred
obtained. to below as ‘‘confidential business in-
[62 FR 37152, July 11, 1997, as amended at 80 formation,’’ and the manner in which
FR 32864, June 10, 2015] the Agency will protect such informa-
tion from public disclosure in accord-
§ 389.5 Regulatory docket. ance with 5 U.S.C. 552(b)(4), when it is
(a) Information and data deemed rel- submitted in accordance with para-
evant by the Administrator relating to graph (f) of this section.
rulemaking actions, including notices (b) Confidential class determinations.
of proposed rulemaking; comments re- The Administrator may make and
ceived in response to notices; petitions issue a class determination, which
for rulemaking and reconsideration; shall pertain to a specified rulemaking
denials of petitions for rulemaking and and shall clearly identify categories of
reconsideration; records of additional information included within the class.
rule making proceedings under § 389.25; Information submitted under the class
and final rules are maintained at head- determination and conforming to the
quarters, Federal Motor Carrier Safety characteristics of the class will be
Administration, 1200 New Jersey Ave., treated as presumptively confidential
SE., Washington, DC 20590–0001. and accorded the non-disclosure pro-
(b) Except for material ordered with- tections described in paragraph (h) of
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held from the public under section this section. The Administrator may
552(b) of title 5 of the United States establish a class upon finding that:
408
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Federal Motor Carrier Safety Administration, DOT § 389.9
(1) FMCSA seeks to obtain related lished by the Administrator under au-
items of commercial or financial infor- thority of paragraph (b) of this section.
mation as described in 5 U.S.C. (g) Submission of comments not con-
552(b)(4); taining confidential business information.
(2) The class determination would fa- If a submitter elects to provide com-
cilitate the voluntary submission of in- mentary in addition to the confidential
formation necessary to inform the business information submitted under
rulemaking; and one or more classes designated under
(3) One or more characteristics com- this section, any portion of a submit-
mon to each item of information in the ter’s additional commentary that does
class will necessarily result in iden- not contain confidential business infor-
tical treatment, and that it is there- mation shall be filed in the public
fore appropriate to treat all such items docket in the form and manner set
as a class under this section. forth in the rulemaking.
(c) Frequency and content of class de- (h) Non-disclosure of confidential busi-
terminations. Class determinations may ness information. In accordance with the
be defined by the Administrator on an provisions of 5 U.S.C. 552(b)(4), informa-
as needed basis and shall include sub- tion submitted under this section shall
stantive criteria established in accord- not be available for inspection in the
ance with the informational needs of public docket, nor shall such informa-
the particular rulemaking. tion be provided by the Agency in re-
(d) Modification or amendment. The sponse to any request for the informa-
Administrator may amend or modify tion submitted to the Agency under 5
any class determination established U.S.C. 552, except as provided for in
under this section. paragraph (j) of this section.
(e) Publication. Once the Adminis-
(1) If a requester brings suit to com-
trator has made a class determination,
pel the disclosure of information sub-
the Agency shall publish the class de-
mitted under this section, the Agency
termination in the FEDERAL REGISTER.
shall promptly notify the submitter.
If the Administrator amends or modi-
fies any class determination estab- (2) The submitter may be joined as a
lished and published in accordance necessary party in any suit brought
with this section, such changes will be against the Department of Transpor-
published in the FEDERAL REGISTER. tation or FMCSA for non-disclosure.
(f) Submission of confidential business (i) Use of confidential business informa-
information. Persons wishing to submit tion. To the extent that the Agency re-
information in accordance with a class lies upon confidential business infor-
determination established under au- mation submitted under paragraph (f)
thority of this section must complete of this section in formulating a par-
and sign, under penalties of perjury, an ticular rule, the Agency shall, in the
Affidavit in Support of Request for Con- preamble of the final rule, disclose its
fidentiality (Affidavit), as set forth in receipt of such information under a
Appendix A to this part. In the event designated class and shall describe the
that information is submitted under information in a de-identified form, in-
more than one designated class, each cluding by summary, aggregation or
submission must include an executed other means, as necessary, to suffi-
Affidavit, asserting, among other fac- ciently explain the Agency’s reasoning
tors, that: while maintaining the confidentiality
(1) The information is submitted to of the information.
the Agency voluntarily; (j) Disclosure of confidential business
(2) The information is of a type cus- information. (1) If the Administrator
tomarily not disclosed to the public by finds that information submitted to
the submitter; the Agency under paragraph (f) of this
(3) The information, to the best of section fails to satisfy the require-
the submitter’s knowledge and belief, ments set forth in paragraphs (f)(2), (3)
has not been disclosed to the public; or (4), or that the Affidavit accom-
and panying the information submitted
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(4) The information satisfies the sub- under paragraph (f) is false or mis-
stantive criteria for the class as estab- leading in any material respect, the
409
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§ 389.11 49 CFR Ch. III (10–1–20 Edition)
410
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Federal Motor Carrier Safety Administration, DOT § 389.31
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
§ 389.21 Contents of written comments. of the Federal Motor Carrier Safety
Administration designates a member of
All written comments must be in his/her staff to serve as legal officer at
English. Any interested person must the hearing.
submit as part of his/her written com-
ments all material that he/she con- [35 FR 9209, June 12, 1970, as amended at 53
siders relevant to any statement of FR 2036, Jan. 26, 1988]
fact made by him/her. Incorporation of
material by reference is to be avoided. § 389.29 Adoption of final rules.
However, if such incorporation is nec- Final rules are prepared by rep-
essary, the incorporated material shall resentatives of the office concerned
be identified with respect to document and the Office of the Chief Counsel. The
and page. rule is then submitted to the Adminis-
[80 FR 59073, Oct. 1, 2015] trator for his/her consideration. If the
Administrator adopts the rule, it is
§ 389.23 Consideration of comments re- published in the FEDERAL REGISTER,
ceived. unless all persons subject to it are
All timely comments are considered named and are personally served with a
before final action is taken on a rule copy of it.
making proposal. Late filed comments
[35 FR 9209, June 12, 1970, as amended at 53
may be considered as far as prac-
FR 2036, Jan. 26, 1988]
ticable.
§ 389.31 Petitions for rule making.
§ 389.25 Additional rulemaking pro-
ceedings. (a) Any interested person may peti-
The Administrator may initiate any tion the Administrator to establish,
further rulemaking proceedings that amend, or repeal a rule.
he/she finds necessary or desirable. For (b) Each petition filed under this sec-
example, interested persons may be in- tion must:
vited to make oral arguments, to par- (1) Be submitted in duplicate to the
ticipate in conferences between the Ad- Administrator, Federal Motor Carrier
ministrator or his/her representative at Safety Administration, 1200 New Jer-
which minutes of the conference are sey Ave., SE., Washington, DC 20590–
kept, to appear at informal hearings 0001;
presided over by officials designated by (2) Set forth the text or substance of
the Administrator at which a tran- the rule or amendment proposed, or
script or minutes are kept, or to par- specify the rule that the petitioner
ticipate in any other proceeding to as-
seeks to have repealed, as the case may
sure informed administrative action
be;
and to protect the public interest.
(3) Explain the interest of the peti-
[78 FR 58482, Sept. 24, 2013] tioner in the action requested;
(4) Contain any information and ar-
§ 389.27 Hearings.
guments available to the petitioner to
(a) Sections 556 and 557 of title 5, support the action sought.
United States Code, do not apply to
hearings held under this part. Unless [35 FR 9209, June 12, 1970, as amended at 45
otherwise specified, hearings held FR 46424, July 10, 1980; 53 FR 2036, Jan. 26,
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under this part are informal, non- 1988; 72 FR 55702, Oct. 1, 2007]
adversary, fact-finding procedures at
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§ 389.33 49 CFR Ch. III (10–1–20 Edition)
412
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Federal Motor Carrier Safety Administration, DOT Pt. 390
(2) I certify that the information contained 390.19 Motor carrier identification reports
in the document(s) attached to this Affidavit for certain Mexico-domiciled motor car-
is submitted voluntarily, with the claim that riers.
413
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Pt. 390 49 CFR Ch. III (10–1–20 Edition)
390.19T Motor carrier, hazardous material 390.109 Issuance of the FMCSA medical ex-
safety permit applicant/holder, and inter- aminer certification credential.
modal equipment provider identification 390.111 Requirements for continued listing
reports. on the National Registry of Certified
390.21 Marking of self-propelled CMVs and Medical Examiners.
intermodal equipment. 390.113 Reasons for removal from the Na-
390.21T Marking of self-propelled CMVs and tional Registry of Certified Medical Ex-
intermodal equipment. aminers.
390.23 Relief from regulations. 390.115 Procedure for removal from the Na-
390.25 Extension of relief from regulations— tional Registry of Certified Medical Ex-
emergencies. aminers.
390.27 Locations of motor carrier safety
MEDICAL EXAMINER CERTIFICATION REQUIRE-
service centers.
MENTS FOR QUALIFIED DEPARTMENT OF VET-
390.29 Location of records or documents.
ERANS AFFAIRS EXAMINERS
390.31 Copies of records and documents.
390.32 Electronic documents and signatures. 390.123 Medical examiner certification for
390.33 Commercial motor vehicles used for qualified Department of Veterans Affairs
purposes other than defined. examiners.
390.35 Certificates, reports, and records: 390.125 Qualified VA examiner certification
Falsification, reproduction, or alter- training.
ation. 390.127 Qualified VA examiner certification
390.36 Harassment of drivers prohibited. testing.
390.37 Violation and penalty. 390.129 Issuance of the FMCSA medical ex-
390.38 Exemptions for pipeline welding aminer certification credential.
trucks. 390.131 Requirements for continued listing
390.39 Exemptions for ‘‘covered farm vehi- of a certified VA medical examiner on
cles.’’ the National Registry of Certified Med-
ical Examiners.
Subpart C—Requirements and Information 390.133 Reasons for removal of a certified
VA medical examiner from the National
for Intermodal Equipment Providers
Registry of Certified Medical Examiners.
and for Motor Carriers Operating Inter- 390.135 Procedure for removal of a certified
modal Equipment VA medical examiner from the National
Registry of Certified Medical Examiners.
390.40 What responsibilities do intermodal
equipment providers have under the Fed- Subpart E—Unified Registration System
eral Motor Carrier Safety Regulations (49
CFR parts 350–399)? 390.201 USDOT Registration.
390.40T What responsibilities do intermodal 390.203 PRISM State registration/biennial
equipment providers have under the Fed- updates.
eral Motor Carrier Safety Regulations (49 390.205 Special requirements for registra-
CFR parts 350 through 399)? tion.
390.42 What are the responsibilities of driv- 390.207 Other governing regulations.
ers and motor carriers operating inter- 390.209 Pre-authorization safety audit.
modal equipment?
390.44 What are the procedures to correct Subpart E—URS Online Application
the safety record of a motor carrier or an
intermodal equipment provider? 390.200T USDOT Registration.
390.46 Are State and local laws and regula-
tions on the inspection, repair, and main- Subpart F [Reserved]
tenance of intermodal equipment pre-
empted by the Federal Motor Carrier Subpart G—Lease and Interchange of Pas-
Safety Regulations? senger–Carrying Commercial Motor
Vehicles
Subpart D—National Registry of Certified
390.401 Applicability.
Medical Examiners
390.403 Lease and interchange requirements.
390.101 Scope. AUTHORITY: 49 U.S.C. 504, 508, 31132, 31133,
31134, 31136, 31137, 31144, 31149, 31151, 31502;
MEDICAL EXAMINER CERTIFICATION
sec. 114, Pub. L. 103–311, 108 Stat. 1673, 1677;
REQUIREMENTS
secs. 212 and 217, Pub. L. 106–159, 113 Stat.
390.103 Eligibility requirements for medical 1748, 1766, 1767; sec. 229, Pub. L. 106–159 (as
examiner certification. added and transferred by sec. 4115 and
390.105 Medical examiner training pro- amended by secs. 4130–4132, Pub. L. 109–59, 119
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Federal Motor Carrier Safety Administration, DOT § 390.3
Pub. L. 113–125, 128 Stat. 1388; secs. 5403, 5518, (f) Exceptions. Unless otherwise spe-
and 5524, Pub. L. 114–94, 129 Stat. 1312, 1548, cifically provided, the rules in this sub-
1558, 1560; sec. 2, Pub. L. 115–105, 131 Stat. chapter do not apply to—
2263; and 49 CFR 1.81, 1.81a, 1.87.
(1) All school bus operations as de-
SOURCE: 53 FR 18052, May 19, 1988, unless fined in § 390.5 except for the provisions
otherwise noted. of §§ 391.15(e) and (f), 392.80, and 392.82 of
this chapter;
Subpart A—General Applicability (2) Transportation performed by the
and Definitions Federal government, a State, or any
political subdivision of a State, or an
§ 390.1 Purpose. agency established under a compact be-
tween States that has been approved
This part establishes general applica-
by the Congress of the United States;
bility, definitions, general require-
(3) The occasional transportation of
ments and information as they pertain
personal property by individuals not
to persons subject to this chapter.
for compensation and not in the fur-
§ 390.3 General applicability. therance of a commercial enterprise;
(4) The transportation of human
(a) The rules in subchapter B of this corpses or sick and injured persons;
chapter are applicable to all employ- (5) The operation of fire trucks and
ers, employees, and commercial motor rescue vehicles while involved in emer-
vehicles that transport property or gency and related operations;
passengers in interstate commerce. (6) The operation of commercial
(b) The rules in part 383 of this chap- motor vehicles designed or used to
ter, Commercial Driver’s License transport between 9 and 15 passengers
Standards; Requirements and Pen- (including the driver), not for direct
alties, are applicable to every person compensation, provided the vehicle
who operates a commercial motor vehi- does not otherwise meet the definition
cle, as defined in § 383.5 of this sub- of a commercial motor vehicle, except
chapter, in interstate or intrastate for the provisions of §§ 391.15(e) and (f),
commerce and to all employers of such 392.80, and 392.82, and except that
persons. motor carriers operating such vehicles
(c) The rules in part 387 of this chap- are required to comply with §§ 390.15,
ter, Minimum Levels of Financial Re- 390.21(a) and (b)(2), 390.201 and 390.205.
sponsibility for Motor Carriers, are ap- (7) Either a driver of a commercial
plicable to motor carriers as provided motor vehicle used primarily in the
in §§ 387.3 or 387.27 of this chapter. transportation of propane winter heat-
(d) Additional requirements. Nothing in ing fuel or a driver of a motor vehicle
subchapter B of this chapter shall be used to respond to a pipeline emer-
construed to prohibit an employer from gency, if such regulations would pre-
requiring and enforcing more stringent vent the driver from responding to an
requirements relating to safety of oper- emergency condition requiring imme-
ation and employee safety and health. diate response as defined in § 390.5.
(e) Knowledge of and compliance with (g) Motor carriers that transport haz-
the regulations. (1) Every employer shall ardous materials in intrastate commerce.
be knowledgeable of and comply with The rules in the following provisions of
all regulations contained in this sub- this subchapter apply to motor carriers
chapter that are applicable to that that transport hazardous materials in
motor carrier’s operations. intrastate commerce and to the motor
(2) Every driver and employee in- vehicles that transport hazardous ma-
volved in motor carrier operations terials in intrastate commerce:
shall be instructed regarding, and shall (1) Part 385, subparts A and E, for
comply with, all applicable regulations carriers subject to the requirements of
contained in this subchapter. § 385.403 of this subchapter.
(3) All motor vehicle equipment and (2) Part 386, Rules of Practice for
accessories required by this chapter Motor Carrier, Intermodal Equipment
shall be maintained in compliance with Provider, Broker, Freight Forwarder,
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§ 390.3T 49 CFR Ch. III (10–1–20 Edition)
(3) Part 387, Minimum Levels of Fi- (2) Part 387, Minimum Levels of Fi-
nancial Responsibility for Motor Car- nancial Responsibility for Motor Car-
riers, to the extent provided in § 387.3 of riers, to the extent provided in subpart
this subchapter. D of that part.
(4) Subpart E of this part, Unified (3) Section 390.6, prohibiting the coer-
Registration System, and § 390.21, cion of drivers of commercial motor ve-
Marking of CMVs, for carriers subject hicles operating in interstate com-
to the requirements of § 385.403 of this merce to violate certain safety regula-
subchapter. Intrastate motor carriers tions, and subpart E of this part, Uni-
operating prior to January 1, 2005, are fied Registration System.
excepted from § 390.201. (k) Cargo tank facilities. The rules in
(h) Intermodal equipment providers. subpart E of this part, Unified Reg-
The rules in the following provisions of istration System, apply to each cargo
this subchapter apply to intermodal tank and cargo tank motor vehicle
equipment providers: manufacturer, assembler, repairer, in-
(1) Subpart F, Intermodal Equipment spector, tester, and design certifying
Providers, of Part 385, Safety Fitness engineer that is subject to registration
Procedures. requirements under 49 CFR 107.502 and
(2) Part 386, Rules of Practice for 49 U.S.C. 5108.
Motor Carrier, Intermodal Equipment (l) Shippers, receivers, consignees, and
Provider, Broker, Freight Forwarder, transportation intermediaries. The rules
and Hazardous Materials Proceedings. in 49 CFR 386.12(c) and 390.6 prohibiting
(3) Part 390, Federal Motor Carrier the coercion of drivers of commercial
Safety Regulations; General, except motor vehicles operating in interstate
§ 390.15(b) concerning accident reg- commerce to violate certain safety reg-
isters. ulations are applicable to shippers, re-
(4) Part 393, Parts and Accessories ceivers, and transportation inter-
Necessary for Safe Operation. mediaries.
(5) Part 396, Inspection, Repair, and
Maintenance. [80 FR 63710, Oct. 21, 2015, as amended at 83
FR 22877, May 17, 2018]
(i) Brokers. The rules in the following
provisions of this subchapter apply to EFFECTIVE DATE NOTE: At 82 FR 5310, Jan.
brokers that are required to register 17, 2017, § 390.3 was suspended, effective Jan.
with the Agency pursuant to 49 U.S.C. 14, 2017.
chapter 139.
§ 390.3T General applicability.
(1) Part 371, Brokers of Property.
(2) Part 386, Rules of Practice for (a)(1) The rules in this subchapter are
Motor Carrier, Intermodal Equipment applicable to all employers, employees,
Provider, Broker, Freight Forwarder, and commercial motor vehicles that
and Hazardous Materials Proceedings. transport property or passengers in
(3) Part 387, Minimum Levels of Fi- interstate commerce.
nancial Responsibility for Motor Car- (2) The rules in 49 CFR 386.12(c) and
riers, to the extent provided in subpart 390.6 prohibiting the coercion of drivers
C of that part. of commercial motor vehicles oper-
(4) Section 390.6, prohibiting the coer- ating in interstate commerce:
cion of drivers of commercial motor ve- (i) To violate certain safety regula-
hicles operating in interstate com- tions are applicable to all motor car-
merce to violate certain safety regula- riers, shippers, receivers, and transpor-
tions, and subpart E of this part, Uni- tation intermediaries; and
fied Registration System. (ii) To violate certain commercial
(j) Freight forwarders. The rules in the regulations are applicable to all opera-
following provisions of this subchapter tors of commercial motor vehicles.
apply to freight forwarders that are re- (b) The rules in part 383 of this chap-
quired to register with the Agency pur- ter, Commercial Driver’s License
suant to 49 U.S.C. chapter 139. Standards; Requirements and Pen-
(1) Part 386, Rules of Practice for alties, are applicable to every person
Motor Carrier, Intermodal Equipment who operates a commercial motor vehi-
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Federal Motor Carrier Safety Administration, DOT § 390.3T
commerce and to all employers of such comply with §§ 390.15, 390.19T, 390.21T(a)
persons. and (b)(2), 391.15(e) and (f), 392.80 and
(c) The rules in part 387 of this chap- 392.82 of this chapter.
ter, Minimum Levels of Financial Re- (7) Either a driver of a commercial
sponsibility for Motor Carriers, are ap- motor vehicle used primarily in the
plicable to motor carriers as provided transportation of propane winter heat-
in § 387.3 or § 387.27 of this subchapter. ing fuel or a driver of a motor vehicle
(d) Additional requirements. Nothing in used to respond to a pipeline emer-
this subchapter shall be construed to gency, if such regulations would pre-
prohibit an employer from requiring vent the driver from responding to an
and enforcing more stringent require- emergency condition requiring imme-
ments relating to safety of operation diate response as defined in § 390.5T.
and employee safety and health. (g) Motor carriers that transport haz-
(e) Knowledge of and compliance with ardous materials in intrastate commerce.
the regulations. (1) Every employer shall The rules in the following provisions of
be knowledgeable of and comply with this subchapter apply to motor carriers
all regulations contained in this sub- that transport hazardous materials in
chapter which are applicable to that intrastate commerce and to the motor
motor carrier’s operations. vehicles that transport hazardous ma-
(2) Every driver and employee shall terials in intrastate commerce:
be instructed regarding, and shall com- (1) Part 385, subparts A and E, of this
ply with, all applicable regulations chapter for carriers subject to the re-
contained in this subchapter. quirements of § 385.403 of this chapter.
(3) All motor vehicle equipment and (2) Part 386 of this chapter, Rules of
accessories required by this subchapter practice for motor carrier, broker,
shall be maintained in compliance with freight forwarder, and hazardous mate-
all applicable performance and design rials proceedings.
criteria set forth in this subchapter.
(3) Part 387 of this chapter, Minimum
(f) Exceptions. Unless otherwise spe-
Levels of Financial Responsibility for
cifically provided, the rules in this sub-
Motor Carriers, to the extent provided
chapter do not apply to—
in § 387.3 of this chapter.
(1) All school bus operations as de-
fined in § 390.5T, except for the provi- (4) Section 390.19T, Motor carrier
sions of §§ 391.15(e) and (f), 392.80, and identification report, and § 390.21T,
392.82 of this chapter. Marking of CMVs, for carriers subject
(2) Transportation performed by the to the requirements of § 385.403 of this
Federal government, a State, or any chapter. Intrastate motor carriers op-
erating prior to January 1, 2005, are ex-
political subdivision of a State, or an
cepted from § 390.19T(a)(1).
agency established under a compact be-
tween States that has been approved (h) Intermodal equipment providers. On
by the Congress of the United States; and after December 17, 2009, the rules
(3) The occasional transportation of in the following provisions of this sub-
personal property by individuals not chapter apply to intermodal equipment
for compensation nor in the further- providers:
ance of a commercial enterprise; (1) Subpart F, Intermodal Equipment
(4) The transportation of human Providers, of part 385 of this chapter,
corpses or sick and injured persons; Safety Fitness Procedures.
(5) The operation of fire trucks and (2) Part 386 of this chapter, Rules of
rescue vehicles while involved in emer- Practice for Motor Carrier, Intermodal
gency and related operations; Equipment Provider, Broker, Freight
(6) The operation of commercial Forwarder, and Hazardous Materials
motor vehicles designed or used to Proceedings.
transport between 9 and 15 passengers (3) This part, Federal Motor Carrier
(including the driver), not for direct Safety Regulations; General, except
compensation, provided the vehicle § 390.15(b) concerning accident reg-
does not otherwise meet the definition isters.
of a commercial motor vehicle, except (4) Part 393 of this chapter, Parts and
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that motor carriers and drivers oper- Accessories Necessary for Safe Oper-
ating such vehicles are required to ation.
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§ 390.5 49 CFR Ch. III (10–1–20 Edition)
(5) Part 396 of this chapter, Inspec- group of persons who pursuant to a
tion, Repair, and Maintenance. common purpose, under a single con-
[82 FR 5310, Jan. 17, 2017, as amended at 83 tract, at a fixed charge for the motor
FR 22877, May 17, 2018] vehicle, have acquired the exclusive
use of the motor vehicle to travel to-
§ 390.5 Definitions. gether under an itinerary either speci-
Unless specifically defined elsewhere, fied in advance or modified after hav-
in this subchapter: ing left the place of origin.
Accident means— Coerce or Coercion means either—
(1) Except as provided in paragraph (1) A threat by a motor carrier, ship-
(2) of this definition, an occurrence in- per, receiver, or transportation inter-
volving a commercial motor vehicle mediary, or their respective agents, of-
operating on a highway in interstate or ficers or representatives, to withhold
intrastate commerce which results in: business, employment or work opportu-
(i) A fatality; nities from, or to take or permit any
(ii) Bodily injury to a person who, as adverse employment action against, a
a result of the injury, immediately re- driver in order to induce the driver to
ceives medical treatment away from operate a commercial motor vehicle
the scene of the accident; or under conditions which the driver stat-
(iii) One or more motor vehicles in- ed would require him or her to violate
curring disabling damage as a result of one or more of the regulations, which
the accident, requiring the motor vehi- the driver identified at least generally,
cle(s) to be transported away from the that are codified at 49 CFR parts 171–
scene by a tow truck or other motor 173, 177–180, 380–383, or 390–399, or
vehicle. §§ 385.415 or 385.421, or the actual with-
(2) The term accident does not in- holding of business, employment, or
clude: work opportunities or the actual tak-
(i) An occurrence involving only ing or permitting of any adverse em-
boarding and alighting from a sta- ployment action to punish a driver for
tionary motor vehicle; or having refused to engage in such oper-
(ii) An occurrence involving only the ation of a commercial motor vehicle;
loading or unloading of cargo. or
Alcohol concentration (AC) means the
(2) A threat by a motor carrier, or its
concentration of alcohol in a person’s
agents, officers or representatives, to
blood or breath. When expressed as a
withhold business, employment or
percentage it means grams of alcohol
work opportunities or to take or per-
per 100 milliliters of blood or grams of
mit any adverse employment action
alcohol per 210 liters of breath.
Bus means any motor vehicle de- against a driver in order to induce the
signed, constructed, and/or used for the driver to operate a commercial motor
transportation of passengers, including vehicle under conditions which the
taxicabs. driver stated would require a violation
Business district means the territory of one or more of the regulations,
contiguous to and including a highway which the driver identified at least
when within any 600 feet along such generally, that are codified at 49 CFR
highway there are buildings in use for parts 356, 360, or 365–379, or the actual
business or industrial purposes, includ- withholding of business, employment
ing but not limited to hotels, banks, or or work opportunities or the actual
office buildings which occupy at least taking or permitting of any adverse
300 feet of frontage on one side or 300 employment action to punish a driver
feet collectively on both sides of the for refusing to engage in such oper-
highway. ation of a commercial motor vehicle.
Certified VA medical examiner means a Commercial motor vehicle means any
qualified VA examiner who has ful- self-propelled or towed motor vehicle
filled the requirements for and is listed used on a highway in interstate com-
on the National Registry of Certified merce to transport passengers or prop-
Medical Examiners. erty when the vehicle—
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Federal Motor Carrier Safety Administration, DOT § 390.5
gross vehicle weight or gross combina- (2) Meeting the requirements of para-
tion weight, of 4,536 kg (10,001 pounds) graphs (1)(i) through (iv) of this defini-
or more, whichever is greater; or tion:
(2) Is designed or used to transport (i) With a gross vehicle weight or
more than 8 passengers (including the gross vehicle weight rating, whichever
driver) for compensation; or is greater, of 26,001 pounds or less may
(3) Is designed or used to transport utilize the exemptions in § 390.39 any-
more than 15 passengers, including the where in the United States; or
driver, and is not used to transport pas- (ii) With a gross vehicle weight or
sengers for compensation; or gross vehicle weight rating, whichever
(4) Is used in transporting material is greater, of more than 26,001 pounds
found by the Secretary of Transpor- may utilize the exemptions in § 390.39
tation to be hazardous under 49 U.S.C. anywhere in the State of registration
5103 and transported in a quantity re- or across State lines within 150 air
quiring placarding under regulations miles of the farm or ranch with respect
prescribed by the Secretary under 49 to which the vehicle is being operated.
CFR, subtitle B, chapter I, subchapter Crash—See accident.
C. Direct assistance means transpor-
Conviction means an unvacated adju- tation and other relief services pro-
dication of guilt, or a determination vided by a motor carrier or its driver(s)
that a person has violated or failed to incident to the immediate restoration
comply with the law in a court of origi- of essential services (such as, elec-
nal jurisdiction or by an authorized ad- tricity, medial care, sewer, water, tele-
ministrative tribunal, an unvacated communications, and telecommuni-
forfeiture of bail or collateral depos- cation transmissions) or essential sup-
ited to secure the person’s appearance plies (such as, food and fuel). It does
in court, a plea of guilty or nolo not include transportation related to
contendere accepted by the court, the long-term rehabilitation of damaged
payment of a fine or court cost, or vio- physical infrastructure or routine com-
lation of a condition of release without mercial deliveries after the initial
bail, regardless of whether or not the threat to life and property has passed.
penalty is rebated, suspended, or pro- Direct compensation means payment
bated. made to the motor carrier by the pas-
Covered farm vehicle— sengers or a person acting on behalf of
(1) Means a straight truck or articu- the passengers for the transportation
lated vehicle— services provided, and not included in a
(i) Registered in a State with a li- total package charge or other assess-
cense plate or other designation issued ment for highway transportation serv-
by the State of registration that allows ices.
law enforcement officials to identify it Disabling damage means damage
as a farm vehicle; which precludes departure of a motor
(ii) Operated by the owner or oper- vehicle from the scene of the accident
ator of a farm or ranch, or an employee in its usual manner in daylight after
or family member of an owner or oper- simple repairs.
ator of a farm or ranch; (1) Inclusions. Damage to motor vehi-
(iii) Used to transport agricultural cles that could have been driven, but
commodities, livestock, machinery or would have been further damaged if so
supplies to or from a farm or ranch; driven.
and (2) Exclusions. (i) Damage which can
(iv) Not used in for-hire motor car- be remedied temporarily at the scene
rier operations; however, for-hire of the accident without special tools or
motor carrier operations do not include parts.
the operation of a vehicle meeting the (ii) Tire disablement without other
requirements of paragraphs (1)(i) damage even if no spare tire is avail-
through (iii) of this definition by a ten- able.
ant pursuant to a crop share farm lease (iii) Headlamp or taillight damage.
agreement to transport the landlord’s (iv) Damage to turn signals, horn, or
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portion of the crops under that agree- windshield wipers which makes them
ment. inoperative.
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§ 390.5 49 CFR Ch. III (10–1–20 Edition)
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
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Federal Motor Carrier Safety Administration, DOT § 390.5
commercial motor vehicle safety. Such (4) Not carrying hazardous materials
term includes a driver of a commercial of a type or quantity that requires the
motor vehicle (including an inde- commercial motor vehicle to be plac-
pendent contractor while in the course arded in accordance with § 177.823 of
of operating a commercial motor vehi- this subtitle; and
cle), a mechanic, and a freight handler. (5) Being used within 150 air-miles of
Such term does not include an em- the farmer’s farm.
ployee of the United States, any State, Farmer means any person who oper-
any political subdivision of a State, or ates a farm or is directly involved in
any agency established under a com- the cultivation of land, crops, or live-
pact between States and approved by stock which—
the Congress of the United States who (1) Are owned by that person; or
is acting within the course of such em- (2) Are under the direct control of
ployment. that person.
Employer means any person engaged Fatality means any injury which re-
in a business affecting interstate com- sults in the death of a person at the
merce who owns or leases a commer- time of the motor vehicle accident or
cial motor vehicle in connection with within 30 days of the accident.
that business, or assigns employees to
Federal Motor Carrier Safety Adminis-
operate it, but such terms does not in-
trator means the chief executive of the
clude the United States, any State, any
Federal Motor Carrier Safety Adminis-
political subdivision of a State, or an
tration, an agency within the Depart-
agency established under a compact be-
ment of Transportation.
tween States approved by the Congress
For-hire motor carrier means a person
of the United States.
engaged in the transportation of goods
Exempt intracity zone means the geo-
or passengers for compensation.
graphic area of a municipality or the
commercial zone of that municipality Gross combination weight rating
described in appendix F to subchapter (GCWR) is the greater of:
B of this chapter. The term ‘‘exempt (1) A value specified by the manufac-
intracity zone’’ does not include any turer of the power unit, if such value is
municipality or commercial zone in displayed on the Federal Motor Vehicle
the State of Hawaii. For purposes of Safety Standard (FMVSS) certification
§ 391.62, a driver may be considered to label required by the National Highway
operate a commercial motor vehicle Traffic Safety Administration, or
wholly within an exempt intracity zone (2) The sum of the gross vehicle
notwithstanding any common control, weight ratings (GVWRs) or the gross
management, or arrangement for a vehicle weights (GVWs) of the power
continuous carriage or shipment to or unit and the towed unit(s), or any com-
from a point without such zone. bination thereof, that produces the
Exempt motor carrier means a person highest value. Exception: The GCWR of
engaged in transportation exempt from the power unit will not be used to de-
economic regulation by the Federal fine a commercial motor vehicle when
Motor Carrier Safety Administration the power unit is not towing another
(FMCSA) under 49 U.S.C. chapter 135 vehicle.
but subject to the safety regulations Gross vehicle weight rating (GVWR)
set forth in this subchapter. means the value specified by the manu-
Farm vehicle driver means a person facturer as the loaded weight of a sin-
who drives only a commercial motor gle motor vehicle.
vehicle that is— Hazardous material means a substance
(1) Controlled and operated by a or material which has been determined
farmer as a private motor carrier of by the Secretary of Transportation to
property; be capable of posing an unreasonable
(2) Being used to transport either— risk to health, safety, and property
(i) Agricultural products, or when transported in commerce, and
(ii) Farm machinery, farm supplies, which has been so designated.
or both, to or from a farm; Hazardous substance means a mate-
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(3) Not being used in the operation of rial, and its mixtures or solutions, that
a for-hire motor carrier; is identified in the appendix to § 172.101,
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§ 390.5 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 390.5
agreement granting the use of a pas- uses any commercial mobile radio serv-
senger-carrying commercial motor ve- ice, as defined in regulations of the
hicle for a specified period, with or Federal Communications Commission,
without a driver, whether or not com- 47 CFR 20.3. It does not include two-
pensation for such use is specified or way or Citizens Band Radio services.
required. For a definition of lease in the Motor carrier means a for-hire motor
context of property-carrying vehicles, carrier or a private motor carrier. The
see § 376.2 of this subchapter. term includes a motor carrier’s agents,
Lessee, as used in subpart G of this officers and representatives as well as
part, means the motor carrier obtain- employees responsible for hiring, su-
ing the use of a passenger-carrying pervising, training, assigning, or dis-
commercial motor vehicle, with or patching of drivers and employees con-
without the driver, from another motor cerned with the installation, inspec-
carrier, through a lease as defined in tion, and maintenance of motor vehicle
this section. The term lessee includes a equipment and/or accessories. For pur-
motor carrier obtaining the use of a poses of subchapter B, this definition
passenger-carrying commercial motor includes the terms employer, and exempt
vehicle from another motor carrier motor carrier.
under an interchange or other agree- Motor vehicle means any vehicle, ma-
ment, with or without a driver, wheth- chine, tractor, trailer, or semitrailer
er or not compensation for such use is propelled or drawn by mechanical
specified. For a definition of lessee in power and used upon the highways in
the context of property-carrying vehi- the transportation of passengers or
cles, see § 376.2 of this subchapter. property, or any combination thereof
Lessor, as used in subpart G of this determined by the Federal Motor Car-
part, means the motor carrier granting rier Safety Administration, but does
the use of a passenger-carrying com- not include any vehicle, locomotive, or
mercial motor vehicle, with or without car operated exclusively on a rail or
the driver, to another motor carrier, rails, or a trolley bus operated by elec-
through a lease as defined in this sec- tric power derived from a fixed over-
tion. The term lessor includes a motor head wire, furnishing local passenger
carrier granting the use of a passenger- transportation similar to street-rail-
carrying commercial motor vehicle, way service.
with or without the driver, to another Motor vehicle record means the report
motor carrier under an interchange or of the driving status and history of a
other agreement, whether or not com- driver generated from the driver
pensation for such use is specified. For record, provided to users, such as, driv-
a definition of lessor in the context of ers or employers, and subject to the
property-carrying vehicles, see § 376.2 of provisions of the Driver Privacy Pro-
this subchapter. tection Act, 18 U.S.C. 2721–2725.
Medical examiner means an individual Multiple-employer driver means a driv-
certified by FMCSA and listed on the er, who in any period of 7 consecutive
National Registry of Certified Medical days, is employed or used as a driver by
Examiners in accordance with subpart more than one motor carrier.
D of this part. Operating authority means the reg-
Medical variance means a driver has istration required by 49 U.S.C. 13902, 49
received one of the following from CFR part 365, 49 CFR part 368, and 49
FMCSA that allows the driver to be CFR 392.9a.
issued a medical certificate: Operator—See driver.
(1) An exemption letter permitting Other terms—Any other term used in
operation of a commercial motor vehi- this subchapter is used in its com-
cle pursuant to part 381, subpart C, of monly accepted meaning, except where
this chapter or § 391.64 of this chapter; such other term has been defined else-
(2) A skill performance evaluation where in this subchapter. In that
certificate permitting operation of a event, the definition therein given
commercial motor vehicle pursuant to shall apply.
§ 391.49 of this chapter. Out-of-service order means a declara-
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§ 390.5 49 CFR Ch. III (10–1–20 Edition)
Mexican, or local jurisdiction that a ant to 49 U.S.C. 31149; and has never,
driver, a commercial motor vehicle, or with respect to such section, been
a motor carrier operation is out of found to have acted fraudulently, in-
service pursuant to 49 CFR 386.72, 392.5, cluding by fraudulently awarding a
392.9a, 395.13, or 396.9, or compatible medical certificate.
laws, or the North American Standard Radar detector means any device or
Out-of-Service Criteria. mechanism to detect the emission of
Person means any individual, part- radio microwaves, laser beams or any
nership, association, corporation, busi- other future speed measurement tech-
ness trust, or any other organized nology employed by enforcement per-
group of individuals. sonnel to measure the speed of com-
Previous employer means any DOT mercial motor vehicles upon public
regulated person who employed the roads and highways for enforcement
driver in the preceding 3 years, includ- purposes. Excluded from this definition
ing any possible current employer. are radar detection devices that meet
Principal place of business means the both of the following requirements:
single location designated by the (1) Transported outside the driver’s
motor carrier, normally its head- compartment of the commercial motor
quarters, for purposes of identification vehicle. For this purpose, the driver’s
under this subchapter. The motor car- compartment of a passenger-carrying
rier must make records required by CMV shall include all space designed to
parts 382, 387, 390, 391, 395, 396, and 397 accommodate both the driver and the
of this subchapter available for inspec- passengers; and
tion at this location within 48 hours
(2) Completely inaccessible to, inop-
(Saturdays, Sundays, and Federal holi-
erable by, and imperceptible to the
days excluded) after a request has been
driver while operating the commercial
made by a special agent or authorized
motor vehicle.
representative of the Federal Motor
Carrier Safety Administration. Receiver or consignee means a person
Private motor carrier means a person who takes delivery from a motor car-
who provides transportation of prop- rier or driver of a commercial motor
erty or passengers, by commercial vehicle of property transported in
motor vehicle, and is not a for-hire interstate commerce or hazardous ma-
motor carrier. terials transported in interstate or
Private motor carrier of passengers intrastate commerce.
(business) means a private motor car- Regional Director of Motor Carriers
rier engaged in the interstate transpor- means the Field Administrator, Fed-
tation of passengers which is provided eral Motor Carrier Safety Administra-
in the furtherance of a commercial en- tion, for a given geographical area of
terprise and is not available to the pub- the United States.
lic at large. Residential district means the terri-
Private motor carrier of passengers tory adjacent to and including a high-
(nonbusiness) means private motor car- way which is not a business district
rier involved in the interstate trans- and for a distance of 300 feet or more
portation of passengers that does not along the highway is primarily im-
otherwise meet the definition of a pri- proved with residences.
vate motor carrier of passengers (busi- School bus means a passenger motor
ness). vehicle which is designed or used to
Qualified VA examiner means an ad- carry more than 10 passengers in addi-
vanced practice nurse, doctor of chiro- tion to the driver, and which the Sec-
practic, doctor of medicine, doctor of retary determines is likely to be sig-
osteopathy, physician assistant, or nificantly used for the purpose of
other medical professional who is em- transporting preprimary, primary, or
ployed in the Department of Veterans secondary school students to such
Affairs; is licensed, certified, or reg- schools from home or from such
istered in a State to perform physical schools to home.
examinations; is familiar with the School bus operation means the use of
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standards for, and physical require- a school bus to transport only school
ments of, an operator certified pursu- children and/or school personnel from
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Federal Motor Carrier Safety Administration, DOT § 390.5
of its weight, except for the towing de- United States means the 50 States and
vice, rests upon the self-propelled tow- the District of Columbia.
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§ 390.5T 49 CFR Ch. III (10–1–20 Edition)
Bus means any motor vehicle de- against a driver in order to induce the
signed, constructed, and/or used for the driver to operate a commercial motor
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Federal Motor Carrier Safety Administration, DOT § 390.5T
cense plate or other designation issued the passengers for the transportation
by the State of registration that allows services provided, and not included in a
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§ 390.5T 49 CFR Ch. III (10–1–20 Edition)
total package charge or other assess- Electronic device includes, but is not
ment for highway transportation serv- limited to, a cellular telephone; per-
ices. sonal digital assistant; pager; com-
Disabling damage means damage puter; or any other device used to
which precludes departure of a motor input, write, send, receive, or read text.
vehicle from the scene of the accident Electronic signature means a method
in its usual manner in daylight after of signing an electronic communica-
simple repairs. tion that identifies and authenticates a
(1) Inclusions. Damage to motor vehi- particular person as the source of the
cles that could have been driven, but electronic communication and indi-
would have been further damaged if so cates such person’s approval of the in-
driven. formation contained in the electronic
(2) Exclusions. (i) Damage which can communication, in accordance with the
be remedied temporarily at the scene Government Paperwork Elimination
of the accident without special tools or Act (Pub. L. 105–277, Title XVII, Secs.
parts. 1701–1710, 44 U.S.C. 3504 note, 112 Stat.
(ii) Tire disablement without other 2681–749).
damage even if no spare tire is avail- Emergency means any hurricane, tor-
able. nado, storm (e.g. thunderstorm, snow-
(iii) Headlamp or taillight damage. storm, icestorm, blizzard, sandstorm,
(iv) Damage to turn signals, horn, or etc.), high water, wind-driven water,
windshield wipers which makes them tidal wave, tsunami, earthquake, vol-
inoperative. canic eruption, mud slide, drought, for-
Driveaway-towaway operation means est fire, explosion, blackout or other
an operation in which an empty or un- occurrence, natural or man-made,
laden motor vehicle with one or more which interrupts the delivery of essen-
sets of wheels on the surface of the tial services (such as, electricity, med-
roadway is being transported: ical care, sewer, water, telecommuni-
(1) Between vehicle manufacturer’s cations, and telecommunication trans-
facilities; missions) or essential supplies (such as,
(2) Between a vehicle manufacturer food and fuel) or otherwise imme-
and a dealership or purchaser; diately threatens human life or public
(3) Between a dealership, or other en- welfare, provided such hurricane, tor-
tity selling or leasing the vehicle, and nado, or other event results in:
a purchaser or lessee; (1) A declaration of an emergency by
(4) To a motor carrier’s terminal or the President of the United States, the
repair facility for the repair of dis- Governor of a State, or their author-
abling damage (as defined in this sec- ized representatives having authority
tion) following a crash; or to declare emergencies; by the FMCSA
(5) To a motor carrier’s terminal or Field Administrator for the geo-
repair facility for repairs associated graphical area in which the occurrence
with the failure of a vehicle component happens; or by other Federal, State or
or system; or local government officials having au-
(6) By means of a saddle-mount or thority to declare emergencies; or
tow-bar. (2) A request by a police officer for
Driver means any person who oper- tow trucks to move wrecked or dis-
ates any commercial motor vehicle. abled motor vehicles.
Driving a commercial motor vehicle Emergency condition requiring imme-
while under the influence of alcohol diate response means any condition
means committing any one or more of that, if left unattended, is reasonably
the following acts in a CMV: Driving a likely to result in immediate serious
CMV while the person’s alcohol con- bodily harm, death, or substantial
centration is 0.04 or more; driving damage to property. In the case of
under the influence of alcohol, as pre- transportation of propane winter heat-
scribed by State law; or refusal to un- ing fuel, such conditions shall include
dergo such testing as is required by (but are not limited to) the detection
any State or jurisdiction in the en- of gas odor, the activation of carbon
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Federal Motor Carrier Safety Administration, DOT § 390.5T
ered to operate a commercial motor ve- label required by the National Highway
hicle wholly within an exempt intra- Traffic Safety Administration; or
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§ 390.5T 49 CFR Ch. III (10–1–20 Edition)
(2) The sum of the gross vehicle istration. Toll plazas of public toll
weight ratings (GVWRs) or the gross roads are not considered restrictive
vehicle weights (GVWs) of the power gates.
unit and the towed unit(s), or any com- Interchange means—
bination thereof, that produces the (1) The act of providing intermodal
highest value. Exception: The GCWR of equipment to a motor carrier pursuant
the power unit will not be used to de- to an intermodal equipment inter-
fine a commercial motor vehicle when change agreement for the purpose of
the power unit is not towing another transporting the equipment for loading
vehicle. or unloading by any person or repo-
Gross vehicle weight rating (GVWR) sitioning the equipment for the benefit
means the value specified by the manu- of the equipment provider, but it does
facturer as the loaded weight of a sin- not include the leasing of equipment to
gle motor vehicle. a motor carrier for primary use in the
Hazardous material means a substance motor carrier’s freight hauling oper-
or material which has been determined ations; or
by the Secretary of Transportation to (2) The act of providing a passenger-
be capable of posing an unreasonable carrying commercial motor vehicle by
risk to health, safety, and property one motor carrier of passengers to an-
when transported in commerce, and other such carrier, at a point which
which has been so designated. both carriers are authorized to serve,
Hazardous substance means a mate- with which to continue a through
rial, and its mixtures or solutions, that movement.
is identified in the appendix to § 172.101 (3) For property-carrying vehicles,
of this title, List of Hazardous Sub- see § 376.2 of this subchapter.
stances and Reportable Quantities, of Intermodal equipment means trailing
this title when offered for transpor- equipment that is used in the inter-
tation in one package, or in one trans- modal transportation of containers
port motor vehicle if not packaged, and over public highways in interstate
when the quantity of the material commerce, including trailers and chas-
therein equals or exceeds the report- sis.
able quantity (RQ). This definition Intermodal equipment interchange
does not apply to petroleum products agreement means the Uniform Inter-
that are lubricants or fuels, or to mix- modal Interchange and Facilities Ac-
tures or solutions of hazardous sub- cess Agreement (UIIFA) or any other
stances if in a concentration less than written document executed by an
that shown in the table in § 171.8 of this intermodal equipment provider or its
title, based on the reportable quantity agent and a motor carrier or its agent,
(RQ) specified for the materials listed the primary purpose of which is to es-
in the appendix to § 172.101 of this title. tablish the responsibilities and liabil-
Hazardous waste means any material ities of both parties with respect to the
that is subject to the hazardous waste interchange of the intermodal equip-
manifest requirements of the EPA ment.
specified in 40 CFR part 262 or would be Intermodal equipment provider means
subject to these requirements absent any person that interchanges inter-
an interim authorization to a State modal equipment with a motor carrier
under 40 CFR part 123, subpart F. pursuant to a written interchange
Highway means any road, street, or agreement or has a contractual respon-
way, whether on public or private prop- sibility for the maintenance of the
erty, open to public travel. ‘‘Open to intermodal equipment.
public travel’’ means that the road sec- Interstate commerce means trade, traf-
tion is available, except during sched- fic, or transportation in the United
uled periods, extreme weather or emer- States—
gency conditions, passable by four- (1) Between a place in a State and a
wheel standard passenger cars, and place outside of such State (including a
open to the general public for use with- place outside of the United States);
out restrictive gates, prohibitive signs, (2) Between two places in a State
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Federal Motor Carrier Safety Administration, DOT § 390.5T
(3) Between two places in a State as pensation for such use is specified. For
part of trade, traffic, or transportation a definition of lessor in the context of
originating or terminating outside the property-carrying vehicles, see § 376.2 of
State or the United States. this subchapter.
Intrastate commerce means any trade, Medical examiner means an individual
traffic, or transportation in any State certified by FMCSA and listed on the
which is not described in the term National Registry of Certified Medical
‘‘interstate commerce.’’ Examiners in accordance with subpart
Lease, as used in subpart G of this D of this part.
part, means a contract or agreement in Medical variance means a driver has
which a motor carrier of passengers received one of the following from
grants the use of a passenger-carrying FMCSA that allows the driver to be
commercial motor vehicle, with or issued a medical certificate:
without the driver, to another motor (1) An exemption letter permitting
carrier, for a specified period for the operation of a commercial motor vehi-
transportation of passengers, whether cle pursuant to part 381, subpart C, of
or not compensation for such use is this chapter or § 391.64 of this chapter;
specified or required, when one or more (2) A skill performance evaluation
of the motor carriers of passengers is certificate permitting operation of a
not authorized to operate in interstate commercial motor vehicle pursuant to
commerce pursuant to 49 U.S.C. 13901– § 391.49 of this chapter.
13902. The term lease includes an inter- Mobile telephone means a mobile com-
change, as defined in this section, or munication device that falls under or
other agreement granting the use of a uses any commercial mobile radio serv-
passenger-carrying commercial motor ice, as defined in regulations of the
vehicle, with or without the driver, for Federal Communications Commission,
a specified period, whether or not com- 47 CFR 20.3. It does not include two-
pensation for such use is specified or way or Citizens Band Radio services.
required. For a definition of lease in the Motor carrier means a for-hire motor
context of property-carrying vehicles, carrier or a private motor carrier. The
see § 376.2 of this subchapter. term includes a motor carrier’s agents,
Lessee, as used in subpart G of this officers and representatives as well as
part, means the motor carrier obtain- employees responsible for hiring, su-
ing the use of a passenger-carrying pervising, training, assigning, or dis-
commercial motor vehicle, with or patching of drivers and employees con-
without the driver, from another motor cerned with the installation, inspec-
carrier, through a lease as defined in tion, and maintenance of motor vehicle
this section. The term lessee includes a equipment and/or accessories. For pur-
motor carrier obtaining the use of a poses of this subchapter, this definition
passenger-carrying commercial motor includes the terms employer, and ex-
vehicle, with or without the driver, empt motor carrier.
from another motor carrier under an Motor vehicle means any vehicle, ma-
interchange or other agreement, chine, tractor, trailer, or semitrailer
whether or not compensation for such propelled or drawn by mechanical
use is specified. For a definition of les- power and used upon the highways in
see in the context of property-carrying the transportation of passengers or
vehicles, see § 376.2 of this subchapter. property, or any combination thereof
Lessor, as used in subpart G of this determined by the Federal Motor Car-
part, means the motor carrier granting rier Safety Administration, but does
the use of a passenger-carrying com- not include any vehicle, locomotive, or
mercial motor vehicle, with or without car operated exclusively on a rail or
the driver, to another motor carrier, rails, or a trolley bus operated by elec-
through a lease as defined in this sec- tric power derived from a fixed over-
tion. The term lessor includes a motor head wire, furnishing local passenger
carrier granting the use of a passenger- transportation similar to street-rail-
carrying commercial motor vehicle, way service.
with or without the driver, to another Motor vehicle record means the report
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§ 390.5T 49 CFR Ch. III (10–1–20 Edition)
record, provided to users, such as, driv- rier engaged in the interstate transpor-
ers or employers, and subject to the tation of passengers which is provided
provisions of the Driver Privacy Pro- in the furtherance of a commercial en-
tection Act, 18 U.S.C. 2721–2725. 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.
Qualified VA examiner means an ad-
Other terms. Any other term used in
vanced practice nurse, doctor of chiro-
this subchapter is used in its com-
monly accepted meaning, except where practic, doctor of medicine, doctor of
such other term has been defined else- osteopathy, physician assistant, or
where in this subchapter. In that other medical professional who is em-
event, the definition therein given ployed in the Department of Veterans
shall apply. Affairs; is licensed, certified, or reg-
Out-of-service order means a declara- istered in a State to perform physical
tion by an authorized enforcement offi- examinations; is familiar with the
cer of a Federal, State, Canadian, standards for, and physical require-
Mexican, or local jurisdiction that a ments of, an operator certified pursu-
driver, a commercial motor vehicle, or ant to 49 U.S.C. 31149; and has never,
a motor carrier operation is out of with respect to such section, been
service pursuant to 49 CFR 386.72, 392.5, found to have acted fraudulently, in-
392.9a, 395.13, or 396.9, or compatible cluding by fraudulently awarding a
laws, or the North American Standard medical certificate.
Out-of-Service Criteria. Radar detector means any device or
Person means any individual, part- mechanism to detect the emission of
nership, association, corporation, busi- radio microwaves, laser beams or any
ness trust, or any other organized other future speed measurement tech-
group of individuals. nology employed by enforcement per-
Previous employer means any DOT sonnel to measure the speed of com-
regulated person who employed the mercial motor vehicles upon public
driver in the preceding 3 years, includ- roads and highways for enforcement
ing any possible current employer. purposes. Excluded from this definition
Principal place of business means the are radar detection devices that meet
single location designated by the both of the following requirements:
motor carrier, normally its head-
(1) Transported outside the driver’s
quarters, for purposes of identification
compartment of the commercial motor
under this subchapter. The motor car-
vehicle. For this purpose, the driver’s
rier must make records required by
parts 382, 387, 390, 391, 395, 396, and 397 compartment of a passenger-carrying
of this subchapter available for inspec- CMV shall include all space designed to
tion at this location within 48 hours accommodate both the driver and the
(Saturdays, Sundays, and Federal holi- passengers; and
days excluded) after a request has been (2) Completely inaccessible to, inop-
made by a special agent or authorized erable by, and imperceptible to the
representative of the Federal Motor driver while operating the commercial
Carrier Safety Administration. motor vehicle.
Private motor carrier means a person Receiver or consignee means a person
who provides transportation of prop- who takes delivery from a motor car-
erty or passengers, by commercial rier or driver of a commercial motor
motor vehicle, and is not a for-hire vehicle of property transported in
motor carrier. interstate commerce or hazardous ma-
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Federal Motor Carrier Safety Administration, DOT § 390.5T
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§ 390.6 49 CFR Ch. III (10–1–20 Edition)
tractor, designed and/or used for the file a written complaint under
transportation of property. § 386.12(c) of this subchapter.
Truck tractor means a self-propelled (2) A complaint under paragraph
commercial motor vehicle designed (b)(1) of this section shall describe the
and/or used primarily for drawing other action that the driver claims con-
vehicles. stitutes coercion and identify the regu-
Use a hand-held mobile telephone lation the driver was coerced to vio-
means: late.
(1) Using at least one hand to hold a (3) A complaint under paragraph
mobile telephone to conduct a voice (b)(1) of this section may include any
communication; supporting evidence that will assist the
(2) Dialing or answering a mobile Division Administrator in determining
telephone by pressing more than a sin- the merits of the complaint.
gle button; or
(3) Reaching for a mobile telephone [80 FR 74710, Nov. 30, 2015, as amended at 81
FR 68348, Oct. 4, 2016]
in a manner that requires a driver to
maneuver so that he or she is no longer § 390.7 Rules of construction.
in a seated driving position, restrained
by a seat belt that is installed in ac- (a) In part 325 of subchapter A and in
cordance with 49 CFR 393.93 and ad- this subchapter, unless the context re-
justed in accordance with the vehicle quires otherwise:
manufacturer’s instructions. (1) Words imparting the singular in-
United States means the 50 States and clude the plural;
the District of Columbia. (2) Words imparting the plural in-
Veteran operator means an operator of clude the singular;
a commercial motor vehicle who is a (3) Words imparting the present tense
veteran enrolled in the health care sys- include the future tense.
tem established under 38 U.S.C. 1705(a). (b) In this subchapter the word—
Written or in writing means printed, (1) Officer includes any person au-
handwritten, or typewritten either on thorized by law to perform the duties
paper or other tangible medium, or by of the office;
any method of electronic documenta- (2) Shall is used in an imperative
tion that meets the requirements of 49 sense;
CFR 390.32. (3) Must is used in an imperative
[82 FR 5311, Jan. 17, 2017, as amended at 83 sense;
FR 16226, Apr. 16, 2018; 83 FR 22878, May 17, (4) Should is used in a recommenda-
2018; 83 FR 24228, May 25, 2018; 83 FR 26860, tory sense;
June 11, 2018; 83 FR 48726, Sept. 27, 2018; 84 FR (5) May is used in a permissive sense;
40294, Aug. 14, 2019] and
(6) Includes is used as a word of inclu-
§ 390.6 Coercion prohibited.
sion, not limitation.
(a) Prohibition. (1) A motor carrier,
shipper, receiver, or transportation [53 FR 18052, May 19, 1988, as amended at 60
FR 38744, July 28, 1995; 83 FR 16226, Apr. 16,
intermediary, including their respec- 2018]
tive agents, officers, or representa-
tives, may not coerce a driver of a com-
mercial motor vehicle to operate such Subpart B—General Requirements
vehicle in violation of 49 CFR parts and Information
171–173, 177–180, 380–383 or 390–399, or
§§ 385.415 or 385.421; § 390.9 State and local laws, effect on.
(2) A motor carrier or its agents, offi- Except as otherwise specifically indi-
cers, or representatives, may not co- cated, subchapter B of this chapter is
erce a driver of a commercial motor ve- not intended to preclude States or sub-
hicle to operate such vehicle in viola- divisions thereof from establishing or
tion of 49 CFR parts 356, 360, or 365–379. enforcing State or local laws relating
(b) Complaint process. (1) A driver who to safety, the compliance with which
believes he or she was coerced to vio- would not prevent full compliance with
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Federal Motor Carrier Safety Administration, DOT § 390.19
§ 390.11 Motor carrier to require ob- (2) Copies of all accident reports re-
servance of driver regulations. quired by State or other governmental
Whenever in part 325 of subchapter A entities or insurers.
or in this subchapter a duty is pre- (Approved by the Office of Management and
scribed for a driver or a prohibition is Budget under control number 2126–0009)
imposed upon the driver, it shall be the [69 FR 16719, Mar. 30, 2004, as amended at 73
duty of the motor carrier to require ob- FR 76821, Dec. 17, 2008; 83 FR 22878, May 17,
servance of such duty or prohibition. If 2018]
the motor carrier is a driver, the driver
shall likewise be bound. § 390.16 [Reserved]
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§ 390.19T 49 CFR Ch. III (10–1–20 Edition)
this section, FMCSA will issue the rier or intermodal equipment provider
motor carrier or intermodal equipment must file the appropriate form under
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Federal Motor Carrier Safety Administration, DOT § 390.19T
paragraph (a) of this section at the fol- to the appropriate address referenced
lowing times: on that form, or may submit it elec-
(1) Before it begins operations; and tronically or by mail separately to the
(2) Every 24 months, according to the address mentioned in paragraph (d) of
following schedule: this section.
(f) Only the legal name or a single
Must file by last day
USDOT No. ending in trade name of the motor carrier or
of
intermodal equipment provider may be
1 ............................................................ January.
2 ............................................................ February.
used on the forms under paragraph (a)
3 ............................................................ March. of this section (Form MCS–150, MCS–
4 ............................................................ April. 150B, or MCS–150C).
5 ............................................................ May.
6 ............................................................ June.
(g) A motor carrier or intermodal
7 ............................................................ July. equipment provider that fails to file
8 ............................................................ August. the form required under paragraph (a)
9 ............................................................ September.
0 ............................................................ October.
of this section, or furnishes misleading
information or makes false statements
(3) If the next-to-last digit of its upon the form, is subject to the pen-
USDOT Number is odd, the motor car- alties prescribed in 49 U.S.C.
rier or intermodal equipment provider 521(b)(2)(B).
shall file its update in every odd-num- (h)(1) Upon receipt and processing of
bered calendar year. If the next-to-last the form described in paragraph (a) of
digit of the USDOT Number is even, this section, FMCSA will issue the
the motor carrier or intermodal equip- motor carrier or intermodal equipment
ment provider shall file its update in provider an identification number
every even-numbered calendar year. (USDOT Number).
(4) A person that fails to complete bi- (2) The following applicants must ad-
ennial updates to the information pur- ditionally pass a pre-authorization
suant to paragraph (b)(2) of this section safety audit as described below before
is subject to the penalties prescribed in being issued a USDOT Number:
49 U.S.C. 521(b)(2)(B) or 49 U.S.C. (i) A Mexico-domiciled motor carrier
14901(a), as appropriate, and deactiva- seeking to provide transportation of
tion of its USDOT Number. property or passengers in interstate
(c) Availability of forms. The forms de- commerce between Mexico and points
scribed under paragraph (a) of this sec- in the United States beyond the mu-
tion and complete instructions are nicipalities and commercial zones
available from the FMCSA Web site at along the United States-Mexico inter-
http://www.fmcsa.dot.gov (Keyword national border must pass the pre-au-
‘‘MCS–150,’’ or ‘‘MCS–150B,’’ or ‘‘MCS– thorization safety audit under
150C’’); from all FMCSA Service Cen- § 365.507T of this subchapter. The Agen-
ters and Division offices nationwide; or cy will not issue a USDOT Number
by calling 1–800–832–5660. until expiration of the protest period
(d) Where to file. The required form provided in § 365.115 of this subchapter
under paragraph (a) of this section or—if a protest is received—after
must be filed with the FMCSA Office of FMCSA denies or rejects the protest.
Registration and Safety Information. (ii) A non-North America-domiciled
The form may be filed electronically motor carrier seeking to provide trans-
according to the instructions at the portation of property or passengers in
Agency’s Web site, or it may be sent to interstate commerce within the United
Federal Motor Carrier Safety Adminis- States must pass the pre-authorization
tration, Office of Registration and safety audit under § 385.607T(c) of this
Safety Information (MC–RS), 1200 New subchapter. The Agency will not issue
Jersey Avenue SE., Washington, DC a USDOT Number until expiration of
20590. the protest period provided in § 365.115
(e) Special instructions for for-hire of this subchapter or—if a protest is re-
motor carriers. A for-hire motor carrier ceived—after FMCSA denies or rejects
should submit the Form MCS–150, or the protest.
Form MCS–150B, along with its appli- (3) The motor carrier must display
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§ 390.21 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 390.21
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§ 390.21T 49 CFR Ch. III (10–1–20 Edition)
equipment. The color of the letters (Form MCS–150) and submitted in ac-
used in the document must contrast cordance with § 390.19T.
sharply in color with the background (2) The identification number issued
of the document. The document must by FMCSA to the motor carrier or
include additional information to iden- intermodal equipment provider, pre-
tify the specific item of intermodal ceded by the letters ‘‘USDOT.’’
equipment (such as the VIN and 4-char- (3) If the name of any person other
acter SCAC code and 6-digit unique than the operating carrier appears on
identifying number). the CMV, the name of the operating
(v) The USDOT number of the inter- carrier must be followed by the infor-
modal equipment provider is main- mation required by paragraphs (b)(1)
tained in a database that is available and (2) of this section, and be preceded
via real-time internet and telephonic by the words ‘‘operated by.’’
access. The database must: (4) Other identifying information
(A) Identify the name and USDOT may be displayed on the vehicle if it is
number of the intermodal equipment not inconsistent with the information
provider responsible for the intermodal required by this paragraph (b).
equipment, in response to an inquiry (c) Size, shape, location, and color of
that includes: marking. The marking must—
(i) SCAC plus trailing digits, or (1) Appear on both sides of the self-
(ii) License plate number and State of propelled CMV;
license, or (2) Be in letters that contrast sharply
(iii) VIN of the item of intermodal in color with the background on which
equipment. the letters are placed;
(B) Offer read-only access for inquir- (3) Be readily legible, during daylight
ies on individual items of intermodal hours, from a distance of 50 feet (15.24
equipment, without requiring advance meters) while the CMV is stationary;
user registration, a password, or a and
usage fee. (4) Be kept and maintained in a man-
[65 FR 35296, June 2, 2000, as amended at 73 ner that retains the legibility required
FR 76821, Dec. 17, 2008; 74 FR 68708, Dec. 29, by paragraph (c)(3) of this section.
2009; 77 FR 59827, Oct. 1, 2012; 78 FR 58482, (d) Construction and durability. The
Sept. 24, 2013; 80 FR 30178, May 27, 2015; 80 FR marking may be painted on the CMV or
63712, Oct. 21, 2015; 84 FR 40294, Aug. 14, 2019]
may consist of a removable device, if
EFFECTIVE DATE NOTE: At 82 FR 5316, Jan. that device meets the identification
17, 2017, § 390.21 was suspended, effective Jan. and legibility requirements of para-
14, 2017. At 84 FR 40294, Aug. 14, 2019, the sus- graph (c) of this section, and such
pension was lifted and amendments were
made to § 390.21. In that same document, marking must be maintained as re-
§ 390.21 was again suspended indefinitely. quired by paragraph (c)(4) of this sec-
tion.
§ 390.21T Marking of self-propelled (e) Rented CMVs and leased passenger-
CMVs and intermodal equipment. carrying CMVs. A motor carrier oper-
(a) General. Every self-propelled CMV ating a self-propelled CMV under a
subject to this subchapter must be rental agreement or a passenger-car-
marked as specified in paragraphs (b), rying CMV under a lease, when the
(c), and (d) of this section, and each rental agreement or lease has a term
unit of intermodal equipment inter- not in excess of 30 calendar days, meets
changed or offered for interchange to a the requirements of this section if:
motor carrier by an intermodal equip- (1) The CMV is marked in accordance
ment provider subject to this sub- with the provisions of paragraphs (b)
chapter must be marked as specified in through (d) of this section; or
paragraph (g) of this section. (2) Except as provided in paragraph
(b) Nature of marking. The marking (e)(2)(v) of this section, the CMV is
must display the following informa- marked as set forth in paragraph
tion: (e)(2)(i) through (iv) of this section:
(1) The legal name or a single trade (i) The legal name or a single trade
name of the motor carrier operating name of the lessor is displayed in ac-
kpayne on VMOFRWIN702 with $$_JOB
the self-propelled CMV, as listed on the cordance with paragraphs (c) and (d) of
motor carrier identification report this section.
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Federal Motor Carrier Safety Administration, DOT § 390.21T
390.403) must begin complying with this (iii) The USDOT number of the inter-
paragraph (e) on January 1, 2021. modal equipment provider must appear
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§ 390.23 49 CFR Ch. III (10–1–20 Edition)
by the President of the United States, paragraph (a)(3) of this section is effec-
the Governor of a State, or their au- tive only when a request has been made
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Federal Motor Carrier Safety Administration, DOT § 390.27
by a Federal, State or local police offi- fort, no motor carrier shall permit or
cer for tow trucks to move wrecked or require any driver used by it to drive
disabled motor vehicles. nor shall any such driver drive in com-
(ii) This exemption shall not exceed merce until the driver has met the re-
the length of the motor carrier’s or quirements of §§ 395.3(a) and (c) and
driver’s direct assistance in providing 395.5(a) of this chapter.
emergency relief, or 24 hours from the
[57 FR 33647, July 30, 1992, as amended at 60
time of the initial request for assist-
FR 38744, July 28, 1995; 68 FR 22514, Apr. 28,
ance by the Federal, State or local po- 2003; 70 FR 50070, Aug. 25, 2005; 76 FR 81186,
lice officer, whichever is less. Dec. 27, 2011; 79 FR 63059, Oct. 22, 2014]
(b) Upon termination of direct assist-
ance to the regional or local emer- § 390.25 Extension of relief from regu-
gency relief effort, the motor carrier or lations—emergencies.
driver is subject to the requirements of The FMCSA Field Administrator
parts 390 through 399 of this chapter,
may extend the 30-day time period of
with the following exception: A driver
the exemption contained in
may return empty to the motor car-
§ 390.23(a)(1), but not the 5-day time pe-
rier’s terminal or the driver’s normal
riod contained in § 390.23(a)(2) or the 24-
work reporting location without com-
hour period contained in § 390.23(a)(3).
plying with parts 390 through 399 of
Any motor carrier or driver seeking to
this chapter. However, a driver who in-
extend the 30-day limit shall obtain ap-
forms the motor carrier that he or she
proval from the FMCSA Field Adminis-
needs immediate rest must be per-
trator in the region in which the motor
mitted at least 10 consecutive hours off
carrier’s principal place of business is
duty before the driver is required to re-
located before the expiration of the 30-
turn to such terminal or location. Hav-
day period. The motor carrier or driver
ing returned to the terminal or other
shall give full details of the additional
location, the driver must be relieved of
relief requested. The FMCSA Field Ad-
all duty and responsibilities. Direct as-
ministrator shall determine if such re-
sistance terminates when a driver or
lief is necessary taking into account
commercial motor vehicle is used in
both the severity of the ongoing emer-
interstate commerce to transport
gency and the nature of the relief serv-
cargo not destined for the emergency
ices to be provided by the carrier or
relief effort, or when the motor carrier
driver. If the FMCSA Field Adminis-
dispatches such driver or commercial
trator approves an extension of the ex-
motor vehicle to another location to
emption, he or she shall establish a
begin operations in commerce.
new time limit and place on the motor
(c) When the driver has been relieved
carrier or driver any other restrictions
of all duty and responsibilities upon
deemed necessary.
termination of direct assistance to a
regional or local emergency relief ef- [57 FR 33647, July 30, 1992]
Eastern ............................ Connecticut, Delaware, District of Columbia, Maine, Maryland, 31 Hopkins Plaza, Suite 800,
Massachusetts, New Hampshire, New Jersey, New York, Baltimore, Maryland 21201.
Pennsylvania, Puerto Rico, Rhode Island, United States Virgin
Islands, Vermont, Virginia, West Virginia.
Midwestern ...................... Illinois, Indiana, Iowa, Kansas, Michigan, Minnesota, Missouri, 4749 Lincoln Mall Drive, Suite
Nebraska, Ohio, Wisconsin. 300A, Matteson, Illinois
60443.
Southern .......................... Alabama, Arkansas, Florida, Georgia, Kentucky, Louisiana, Mis- 1800 Century Boulevard, Suite
sissippi, North Carolina, Oklahoma, South Carolina, Tennessee. 1700, Atlanta, Georgia
30345–3220.
Western ........................... Alaska, American Samoa, Arizona, California, Colorado, Guam, 12600 West Colfax Avenue,
Hawaii, Idaho, Mariana Islands, Montana, Nevada, New Mex- Suite B–300, Lakewood, Colo-
ico, North Dakota, Oregon, South Dakota, Texas, Utah, Wash- rado 80215.
kpayne on VMOFRWIN702 with $$_JOB
ington, Wyoming.
Note 1: Canadian carriers—for information regarding proper service center, contact an FMCSA division (State) office in Alas-
ka, Maine, Michigan, Montana, New York, North Dakota, Vermont, or Washington.
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§ 390.29 49 CFR Ch. III (10–1–20 Edition)
Note 2: Mexican carriers are handled through the four southern border divisions and the Western Service Center. For informa-
tion regarding the proper service center, contact an FMCSA division (State) office in Arizona, California, New Mexico, or Texas.
Any person or entity required to gen- same manner as though the commer-
erate, maintain, or exchange docu- cial motor vehicle were actually a
444
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Federal Motor Carrier Safety Administration, DOT § 390.38
commercial motor vehicle of the latter that such monitoring does not result in
type. Example: If a commercial motor harassment.
vehicle other than a bus is used to per- (c) Complaint process. A driver who be-
form the functions normally performed lieves he or she was the subject of har-
by a bus, the regulations pertaining to assment by a motor carrier may file a
buses and to the transportation of pas- written complaint under § 386.12(b) of
sengers shall apply to that commercial this subchapter.
motor vehicle.
[80 FR 78383, Dec. 16, 2015]
[53 FR 18052, May 19, 1988, as amended at 60
FR 38744, July 28, 1995]
§ 390.37 Violation and penalty.
§ 390.35 Certificates, reports, and Any person who violates the rules set
records: Falsification, reproduction, forth in this subchapter or part 325 of
or alteration. subchapter A may be subject to civil or
No motor carrier, its agents, officers, criminal penalties.
representatives, or employees shall
make or cause to make— § 390.38 Exemptions for pipeline weld-
(a) A fraudulent or intentionally ing trucks.
false statement on any application, (a) Federal requirements. A pipeline
certificate, report, or record required welding truck, as defined in paragraph
by part 325 of subchapter A or this sub- (b) of this section, including the indi-
chapter;
viduals operating such vehicle and the
(b) A fraudulent or intentionally
employer of such individual, is exempt
false entry on any application, certifi-
cate, report, or record required to be from the following:
used, completed, or retained, to comply (1) Any requirement relating to reg-
with any requirement of this sub- istration as a motor carrier, including
chapter or part 325 of subchapter A; or the requirement to obtain and display
(c) A reproduction, for fraudulent a Department of Transportation num-
purposes, of any application, certifi- ber, in 49 CFR part 365 or 390.
cate, report, or record required by this (2) Any requirement relating to driv-
subchapter or part 325 of subchapter A. er qualifications in 49 CFR part 391.
(3) Any requirement relating to driv-
§ 390.36 Harassment of drivers prohib- ing of commercial motor vehicles in 49
ited.
CFR part 392.
(a) Harass or harassment defined. As (4) Any requirement relating to parts
used in this section, harass or harass- and accessories and inspection, repair,
ment means an action by a motor car- and maintenance of commercial motor
rier toward a driver employed by the
vehicles in 49 CFR parts 393 and 396.
motor carrier (including an inde-
(5) Any requirement relating to hours
pendent contractor while in the course
of operating a commercial motor vehi- of service of drivers, including max-
cle on behalf of the motor carrier) in- imum driving and on duty time, found
volving the use of information avail- in 49 CFR part 395.
able to the motor carrier through an (b) Definition. ‘‘Pipeline welding
ELD, as defined in § 395.2 of this chap- truck’’ means a motor vehicle that is
ter, or through other technology used travelling in the State in which the ve-
in combination with and not separable hicle is registered or another State, is
from the ELD, that the motor carrier owned by a welder, is a pick-up style
knew, or should have known, would re- truck, is equipped with a welding rig
sult in the driver violating § 392.3 or that is used in the construction or
part 395 of this subchapter. maintenance of pipelines, and has a
(b) Prohibition against harassment. (1) gross vehicle weight and combination
No motor carrier may harass a driver. weight rating and weight of 15,000
(2) Nothing in paragraph (b)(1) of this pounds or less.
section shall be construed to prevent a
motor carrier from using technology [81 FR 47720, July 22, 2016]
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§ 390.39 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 390.44
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§ 390.46 49 CFR Ch. III (10–1–20 Edition)
not in good working order when in- regulation, order, or other requirement
spected at roadside. An intermodal exceeds or is inconsistent with a re-
equipment provider should not be held quirement imposed by the Federal
responsible for such violations because Motor Carrier Safety Regulations.
a motor carrier indicated pursuant to (b) Pre-existing State requirements—(1)
§ 392.7(b) that these components, parts, In general. Pursuant to 49 U.S.C.
or accessories had no safety defects at 31151(e)(1), unless otherwise provided in
the time of the pre-trip inspection. paragraph (b)(2) of this section, a State
(b) A motor carrier or its agent may
requirement for the periodic inspection
electronically file questions or con-
cerns at http://dataqs.fmcsa.dot.gov of intermodal chassis by intermodal
about Federal and State data that ref- equipment providers that was in effect
erence the motor carrier. This includes on January 1, 2005, shall remain in ef-
safety violations alleging that any fect only until June 17, 2009.
components, parts, or accessories of (2) Nonpreemption determinations—(i)
intermodal chassis or trailers, except In general. Pursuant to 49 U.S.C.
those listed in § 392.7(b) of this chapter, 31151(e)(2), and notwithstanding para-
were not in good working order when graph (a) of this section, a State re-
inspected at roadside. Such violations quirement described in paragraph (b)(1)
will not be used by FMCSA in making of this section is not preempted if the
a safety fitness determination of a Administrator determines that the
motor carrier (unless there is evidence State requirement is as effective as the
that the driver or motor carrier caused FMCSA final rule and does not unduly
or substantially contributed to the vio- burden interstate commerce.
lations) because the driver could not (ii) Application required. Paragraph
readily detect these violations during a
(b)(2)(i) of this section applies to a
pre-trip inspection performed in ac-
State requirement only if the State ap-
cordance with § 392.7(b).
(c) An intermodal equipment provider, plies to the Administrator for a deter-
or its agent, may request FMCSA to in- mination with respect to the require-
vestigate a motor carrier believed to be ment before the effective date of the
in noncompliance with responsibilities final rule (June 17, 2009). The Adminis-
under 49 U.S.C. 31151 or the imple- trator will make a determination with
menting regulations in this subchapter respect to any such application within
regarding interchange of intermodal 6 months after the date on which the
equipment by contacting the appro- Administrator receives the application.
priate FMCSA Field Office. (iii) Amended State requirements. If a
(d) A motor carrier or its agent may re- State amends a regulation for which it
quest FMCSA to investigate an inter- previously received a nonpreemption
modal equipment provider believed to determination from the Administrator
be in noncompliance with responsibil- under paragraph (b)(2)(i) of this sec-
ities under 49 U.S.C. 31151 or the imple- tion, it must apply for a determination
menting regulations in this subchapter
of nonpreemption for the amended reg-
regarding interchange of intermodal
ulation. Any amendment to a State re-
equipment by contacting the appro-
quirement not preempted under this
priate FMCSA Field Office.
subsection because of a determination
§ 390.46 Are State and local laws and by the Administrator may not take ef-
regulations on the inspection, re- fect unless it is submitted to the Agen-
pair, and maintenance of inter- cy before the effective date of the
modal equipment preempted by the amendment, and the Administrator de-
Federal Motor Carrier Safety Regu-
lations? termines that the amendment would
not cause the State requirement to be
(a) General. As provided by 49 U.S.C. less effective than the FMCSA final
31151(d), a law, regulation, order, or rule on ‘‘Requirements for Intermodal
other requirement of a State, a polit-
Equipment Providers and Motor Car-
ical subdivision of a State, or a tribal
riers and Drivers Operating Intermodal
organization relating to the inspection,
kpayne on VMOFRWIN702 with $$_JOB
repair, and maintenance of intermodal Equipment’’ and would not unduly bur-
equipment is preempted if such law, den interstate commerce.
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Federal Motor Carrier Safety Administration, DOT § 390.105
website and receive a National Reg- menting the operator’s medical exam-
istry number before taking the train- ination.
449
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§ 390.107 49 CFR Ch. III (10–1–20 Edition)
(5) Performing, obtaining, and docu- (a) of this section, ensure that such
menting additional diagnostic tests or systems:
medical opinion from a medical spe- (1) Provide a means to authenticate
cialist or treating physician. the identity of the person taking the
(6) Informing and educating the oper- test.
ator about medications and non-dis- (2) Provide a means for the testing
qualifying medical conditions that re- organization to monitor the activity of
quire remedial care. the person taking the test.
(7) Determining operator certifi- (3) Do not allow the person taking
cation outcome and period for which the test to reproduce or record the con-
certification should be valid. tents of the test by any means.
(8) FMCSA reporting and documenta- (c) The testing organization has sub-
tion requirements. mitted its documented policies and
Guidance on the core curriculum procedures as defined in paragraph (a)
specifications for use by training pro- of this section and, if applicable, para-
viders is available from FMCSA. graph (b) of this section to FMCSA and
agreed to future reviews by FMCSA to
§ 390.107 Medical examiner certifi- ensure compliance with the criteria
cation testing. listed in this section.
An applicant for medical examiner (d) The testing organization admin-
certification or recertification must isters only the currently authorized
apply, in accordance with the min- version of the medical examiner cer-
imum specifications for application tification test developed and furnished
elements established by FMCSA, to a by FMCSA.
testing organization that meets the [77 FR 24127, Apr. 20, 2012, as amended at 78
following criteria: FR 58483, Sept. 24, 2013]
(a) The testing organization has doc-
umented policies and procedures that: § 390.109 Issuance of the FMCSA med-
(1) Use secure protocols to access, ical examiner certification creden-
process, store, and transmit all test tial.
items, test forms, test data, and can- Upon compliance with the require-
didate information and ensure access ments of § 390.103(a) or (b), FMCSA will
by authorized personnel only. issue to a medical examiner applicant
(2) Ensure testing environments are an FMCSA medical examiner certifi-
reasonably comfortable and have mini- cation credential and will add the med-
mal distractions. ical examiner’s name to the National
(3) Prevent to the greatest extent Registry of Certified Medical Exam-
practicable the opportunity for a test iners. The certification credential will
taker to attain a passing score by expire 10 years after the date of its
fraudulent means. issuance.
(4) Ensure that test center staff who [77 FR 24127, Apr. 20, 2012, as amended at 83
interact with and proctor examinees or FR 26860, June 11, 2018]
provide technical support have com-
pleted formal training, demonstrate § 390.111 Requirements for continued
competency, and are monitored peri- listing on the National Registry of
odically for quality assurance in test- Certified Medical Examiners.
ing procedures. (a) To continue to be listed on the
(5) Accommodate testing of individ- National Registry of Certified Medical
uals with disabilities or impairments Examiners, each medical examiner
to minimize the effect of the disabil- must:
ities or impairments while maintaining (1) Continue to meet the require-
the security of the test and data. ments of §§ 390.103 through 390.115 and
(b) Testing organizations that offer the applicable requirements of part 391
testing of examinees not at locations of this chapter.
that are operated and staffed by the or- (2) Report to FMCSA any changes in
ganizations but by means of remote, the registration information submitted
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Federal Motor Carrier Safety Administration, DOT § 390.115
ical examiner fails to meet or maintain (b) Notice of proposed removal. Except
the qualifications established by as provided by paragraphs (a) and (e) of
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§ 390.115 49 CFR Ch. III (10–1–20 Edition)
this section, FMCSA initiates the proc- posing removal from the National Reg-
ess for removal of a medical examiner istry of Certified Medical Examiners,
from the National Registry of Certified the Director, Office of Carrier, Driver
Medical Examiners by issuing a writ- and Vehicle Safety Standards will
ten notice of proposed removal to the modify the notice of proposed removal
medical examiner, stating the reasons and notify the medical examiner in
that removal is proposed under § 390.113 writing of the determination. No later
and any corrective actions necessary than 60 days after the date the Direc-
for the medical examiner to remain tor, Office of Carrier, Driver and Vehi-
listed on the National Registry of Cer- cle Safety Standards modifies a notice
tified Medical Examiners. of proposed removal, the medical ex-
(c) Response to notice of proposed re- aminer must comply with §§ 390.103
moval and corrective action. A medical through 390.115 and correct any defi-
examiner who has received a notice of ciencies identified in the modified no-
proposed removal from the National
tice of proposed removal as described
Registry of Certified Medical Exam-
in paragraph (c)(2) of this section.
iners must submit any written re-
sponse to the Director, Office of Car- (ii) If the Director, Office of Carrier,
rier, Driver and Vehicle Safety Stand- Driver and Vehicle Safety Standards
ards no later than 30 days after the finds FMCSA has not relied on an erro-
date of issuance of the notice of pro- neous reason in proposing removal, the
posed removal. The response must indi- Director, Office of Carrier, Driver and
cate either that the medical examiner Vehicle Safety Standards will affirm
believes FMCSA has relied on erro- the notice of proposed removal and no-
neous reasons, in whole or in part, in tify the medical examiner in writing of
proposing removal from the National the determination. No later than 60
Registry of Certified Medical Exam- days after the date the Director, Office
iners, as described in paragraph (c)(1) of Carrier, Driver and Vehicle Safety
of this section, or that the medical ex- Standards affirms the notice of pro-
aminer will comply and take any cor- posed removal, the medical examiner
rective action specified in the notice of must comply with §§ 390.103 through
proposed removal, as described in para- 390.115 and correct the deficiencies
graph (c)(2) of this section. identified in the notice of proposed re-
(1) Opposing a notice of proposed re- moval as described in paragraph (c)(2)
moval. If the medical examiner believes of this section.
FMCSA has relied on an erroneous rea- (iii) If the medical examiner does not
son, in whole or in part, in proposing submit a written response within 30
removal from the National Registry of days of the date of issuance of a notice
Certified Medical Examiners, the med- of proposed removal, the removal be-
ical examiner must explain the basis comes effective and the medical exam-
for his or her belief that FMCSA relied iner is immediately removed from the
on an erroneous reason in proposing
National Registry of Certified Medical
the removal. The Director, Office of
Examiners.
Carrier, Driver and Vehicle Safety
Standards will review the explanation. (2) Compliance and corrective action. (i)
(i) If the Director, Office of Carrier, The medical examiner must comply
Driver and Vehicle Safety Standards with §§ 390.103 through 390.115 and com-
finds FMCSA has wholly relied on an plete the corrective actions specified in
erroneous reason for proposing removal the notice of proposed removal no later
from the National Registry of Certified than 60 days after either the date of
Medical Examiners, the Director, Of- issuance of the notice of proposed re-
fice of Carrier, Driver and Vehicle moval or the date the Director, Office
Safety Standards will withdraw the no- of Carrier, Driver and Vehicle Safety
tice of proposed removal and notify the Standards affirms or modifies the no-
medical examiner in writing of the de- tice of proposed removal, whichever is
termination. If the Director, Office of later. The medical examiner must pro-
Carrier, Driver and Vehicle Safety vide documentation of compliance and
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Standards finds FMCSA has partly re- completion of the corrective actions to
lied on an erroneous reason for pro- the Director, Office of Carrier, Driver
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Federal Motor Carrier Safety Administration, DOT § 390.115
and Vehicle Safety Standards. The Di- does not provide the information re-
rector, Office of Carrier, Driver and Ve- quested, or does not attend the sched-
hicle Safety Standards may conduct uled conference, the Associate Admin-
any investigations and request any istrator may dismiss the request for
documentation necessary to verify that administrative review.
the medical examiner has complied (2) Decision on administrative review.
with §§ 390.103 through 390.115 and com- The Associate Administrator will com-
pleted the required corrective ac- plete the administrative review and no-
tion(s). The Director, Office of Carrier, tify the person in writing of the deci-
Driver and Vehicle Safety Standards sion. The decision constitutes final
will notify the medical examiner in Agency action. If the Associate Admin-
writing whether he or she has met the istrator decides the removal was not
requirements to continue to be listed valid, FMCSA will reinstate the person
on the National Registry of Certified and reissue a certification credential
Medical Examiners. to expire on the expiration date of the
(ii) If the medical examiner fails to certificate that was invalidated under
complete the proposed corrective ac- paragraph (g) of this section. The rein-
tion(s) within the 60-day period, the re- stated medical examiner must:
moval becomes effective and the med- (i) Continue to meet the require-
ical examiner is immediately removed ments of §§ 390.103 through 390.115 and
from the National Registry of Certified the applicable requirements of part 391
Medical Examiners. The Director, Of- of this chapter.
fice of Carrier, Driver and Vehicle (ii) Report to FMCSA any changes in
Safety Standards will notify the person the registration information submitted
in writing that he or she has been re- under § 390.103(a)(2) within 30 days of
moved from the National Registry of the reinstatement.
Certified Medical Examiners. (iii) Be licensed, certified, or reg-
(3) At any time before a notice of pro- istered in accordance with applicable
posed removal from the National Reg- State laws and regulations to perform
istry of Certified Medical Examiners physical examinations.
becomes final, the recipient of the no- (iv) Maintain documentation of State
tice of proposed removal and the Direc- licensure, registration, or certification
tor, Office of Carrier, Driver and Vehi- to perform physical examinations for
cle Safety Standards may resolve the each State in which the examiner per-
matter by mutual agreement. forms examinations and maintains doc-
(d) Request for administrative review. If umentation of completion of all train-
a person has been removed from the ing required by §§ 390.105 and 390.111 of
National Registry of Certified Medical this part. The medical examiner must
Examiners under paragraph (c)(1)(iii), also make this documentation avail-
(c)(2)(ii), or (e) of this section, that per- able to an authorized representative of
son may request an administrative re- FMCSA or an authorized representa-
view no later than 30 days after the tive of Federal, State, or local govern-
date the removal becomes effective. ment. The medical examiner must pro-
The request must be submitted in writ- vide this documentation within 48
ing to the FMCSA Associate Adminis- hours of the request for investigations
trator for Policy, 1200 New Jersey Ave. and within 10 days of the request for
SE, Washington, DC 20590. The request regular audits of eligibility.
must explain the error(s) committed in (v) Complete periodic training as re-
removing the medical examiner from quired by the Director, Office of Car-
the National Registry of Certified Med- rier, Driver and Vehicle Safety Stand-
ical Examiners, and include a list of all ards.
factual, legal, and procedural issues in (e) Emergency removal. In cases of ei-
dispute, and any supporting informa- ther willfulness or in which public
tion or documents. health, interest, or safety requires, the
(1) Additional procedures for adminis- provisions of paragraph (b) of this sec-
trative review. The Associate Adminis- tion are not applicable and the Direc-
trator may ask the person to submit tor, Office of Carrier, Driver and Vehi-
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§ 390.123 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 390.131
through 390.135, then to renew such cer- (3) Continue to be licensed, certified,
tification the certified VA medical ex- or registered, and authorized to per-
aminer must remain qualified under form physical examinations, in accord-
paragraphs (a)(1) and (2) of this section ance with the laws and regulations of a
and complete additional testing and State.
training as required by § 390.131(a)(5). (4) Maintain documentation of licen-
sure, registration, or certification in a
§ 390.125 Qualified VA examiner cer- State to perform physical examina-
tification training. tions and maintain documentation of
A qualified VA examiner applying for and completion of all training required
certification under §§ 390.123 through by this section and § 390.125. The cer-
390.135 must complete training devel- tified VA medical examiner must make
oped and provided by FMCSA and de- this documentation available to an au-
livered through a web-based training thorized representative of FMCSA or
system operated by the Department of an authorized representative of Fed-
Veterans Affairs. eral, State, or local government. The
certified VA medical examiner must
§ 390.127 Qualified VA examiner cer- provide this documentation within 48
tification testing. hours of the request for investigations
To receive medical examiner certifi- and within 10 days of the request for
cation from FMCSA under §§ 390.123 regular audits of eligibility.
through 390.135, a qualified VA exam- (5) Maintain medical examiner cer-
iner must pass the medical examiner tification by completing training and
certification test developed and pro- testing according to the following
vided by FMCSA and administered schedule:
through a web-based system operated (i) No sooner than 4 years and no
by the Department of Veterans Affairs. later than 5 years after the date of
issuance of the medical examiner cer-
§ 390.129 Issuance of the FMCSA med- tification credential, complete periodic
ical examiner certification creden- training as specified by FMCSA.
tial. (ii) No sooner than 9 years and no
Upon compliance with the require- later than 10 years after the date of
ments of § 390.123(a) or (b), FMCSA will issuance of the medical examiner cer-
issue to a qualified VA examiner or tification credential:
certified VA medical examiner, as ap- (A) Complete periodic training as
plicable, an FMCSA medical examiner specified by FMCSA; and
certification credential and will add (B) Pass the test required by
the certified VA medical examiner’s § 390.123(a)(5).
name to the National Registry of Cer- (b) FMCSA will issue a new medical
tified Medical Examiners. The certifi- examiner certification credential valid
cation credential will expire 10 years for 10 years to a certified VA medical
after the date of its issuance. examiner who complies with para-
graphs (a)(1) through (4) of this section
§ 390.131 Requirements for continued and who successfully completes the
listing of a certified VA medical ex- training and testing as required by
aminer on the National Registry of paragraphs (a)(5)(i) and (ii) of this sec-
Certified Medical Examiners. tion.
(a) To continue to be listed on the (c) A certified VA medical examiner
National Registry of Certified Medical must report to FMCSA within 30 days
Examiners, each certified VA medical that he or she is no longer employed in
examiner must: the Department of Veterans Affairs.
(1) Continue to meet the require- Any certified VA medical examiner
ments of §§ 390.123 through 390.135 and who is no longer employed in the De-
the applicable requirements of part 391 partment of Veterans Affairs, but
of this chapter. would like to remain listed on the Na-
(2) Report to FMCSA any changes in tional Registry, must, within 30 days of
the registration information submitted leaving employment in the Department
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§ 390.133 49 CFR Ch. III (10–1–20 Edition)
456
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Federal Motor Carrier Safety Administration, DOT § 390.135
the notice of proposed removal and no- is immediately removed from the Na-
tify the certified VA medical examiner tional Registry of Certified Medical
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§ 390.135 49 CFR Ch. III (10–1–20 Edition)
Examiners. The Director, Office of Car- the applicable requirements of part 391
rier, Driver and Vehicle Safety Stand- of this chapter.
ards will notify the person in writing (ii) Report to FMCSA any changes in
that he or she has been removed from the registration information submitted
the National Registry of Certified Med- under § 390.123(a)(3) within 30 days of
ical Examiners. the reinstatement.
(3) At any time before a notice of pro- (iii) Be licensed, certified, or reg-
posed removal from the National Reg- istered in accordance with applicable
istry of Certified Medical Examiners State laws and regulations to perform
becomes final, the recipient of the no- physical examinations.
tice of proposed removal and the Direc- (iv) Maintain documentation of licen-
tor, Office of Carrier, Driver and Vehi- sure, registration, or certification in a
cle Safety Standards may resolve the State to perform physical examina-
matter by mutual agreement. tions and maintain documentation of
(d) Request for administrative review. If and completion of all training required
a person has been removed from the by §§ 390.125 and 390.131 of this part. The
National Registry of Certified Medical certified VA medical examiner must
Examiners under paragraph (c)(1)(iii), make this documentation available to
(c)(2)(ii), or (e) of this section, that per- an authorized representative of FMCSA
son may request an administrative re- or an authorized representative of Fed-
view no later than 30 days after the eral, State, or local government. The
date the removal becomes effective. certified VA medical examiner must
The request must be submitted in writ- provide this documentation within 48
ing to the FMCSA Associate Adminis- hours of the request for investigations
trator for Policy, 1200 New Jersey Ave. and within 10 days of the request for
SE, Washington, DC 20590. The request regular audits of eligibility.
must explain the error(s) committed in (v) Complete periodic training as re-
removing the certified VA medical ex- quired by the Director, Office of Car-
aminer from the National Registry of rier, Driver and Vehicle Safety Stand-
Certified Medical Examiners, and in- ards.
clude a list of all factual, legal, and (e) Emergency removal. In cases of ei-
procedural issues in dispute, and any ther willfulness or in which public
supporting information or documents. health, interest, or safety requires, the
(1) Additional procedures for adminis- provisions of paragraph (b) of this sec-
trative review. The Associate Adminis- tion are not applicable and the Direc-
trator may ask the person to submit tor, Office of Carrier, Driver and Vehi-
additional data or attend a conference cle Safety Standards may immediately
to discuss the removal. If the person remove a certified VA medical exam-
does not provide the information re- iner from the National Registry of Cer-
quested, or does not attend the sched- tified Medical Examiners and invali-
uled conference, the Associate Admin- date the certification credential issued
istrator may dismiss the request for under § 390.129. A person who has been
administrative review. removed under the provisions of this
(2) Decision on administrative review. paragraph may request an administra-
The Associate Administrator will com- tive review of that decision as de-
plete the administrative review and no- scribed under paragraph (d) of this sec-
tify the person in writing of the deci- tion.
sion. The decision constitutes final (f) Reinstatement on the National Reg-
Agency action. If the Associate Admin- istry of Certified Medical Examiners. No
istrator decides the removal was not sooner than 30 days after the date of
valid, FMCSA will reinstate the person removal from the National Registry of
and reissue a certification credential Certified Medical Examiners, a person
to expire on the expiration date of the who has been voluntarily or involun-
certificate that was invalidated under tarily removed may apply to the Direc-
paragraph (g) of this section. The rein- tor, Office of Carrier, Driver and Vehi-
stated certified VA medical examiner cle Safety Standards to be reinstated.
must: The person must:
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(i) Continue to meet the require- (1) Continue to meet the require-
ments of §§ 390.123 through 390.135 and ments of §§ 390.123 through 390.135 and
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Federal Motor Carrier Safety Administration, DOT § 390.201
the applicable requirements of part 391 the Unified Registration System, the
of this chapter. filing schedule, and general informa-
(2) Report to FMCSA any changes in tion pertaining to persons subject to
the registration information submitted the Unified Registration System reg-
under § 390.123(a)(3). istration requirements.
(3) Be licensed, certified, or reg- (b) Applicability. (1) Except as pro-
istered in accordance with applicable vided in paragraph (g) of this section,
State laws and regulations to perform each motor carrier (including a private
physical examinations. motor carrier, an exempt for-hire
(4) Maintain documentation of licen- motor carrier, a non-exempt for-hire
sure, registration, or certification in a motor carrier, and a motor carrier of
State to perform physical examina- passengers that participates in a
tions and maintain documentation of through ticketing arrangement with
and completion of all training required one or more interstate for-hire motor
by §§ 390.125 and 390.131. The certified carriers of passengers), intermodal
VA medical examiner must make this
equipment provider, broker and freight
documentation available to an author-
forwarder subject to the requirements
ized representative of FMCSA or an au-
of this subchapter must file Form
thorized representative of Federal,
MCSA–1, the URS online application,
State, or local government. The cer-
with FMCSA to:
tified VA medical examiner must pro-
vide this documentation within 48 (i) Identify its operations with the
hours of the request for investigations Federal Motor Carrier Safety Adminis-
and within 10 days of the request for tration for safety oversight, as applica-
regular audits of eligibility. ble;
(5) Complete training and testing as (ii) Obtain operating authority re-
required by the Director, Office of Car- quired under 49 U.S.C. chapter 139, as
rier, Driver and Vehicle Safety Stand- applicable; and
ards. (iii) Obtain a hazardous materials
(6) In the case of a person who has safety permit as required under 49
been involuntarily removed, provide U.S.C. 5109, as applicable.
documentation showing completion of (2) A cargo tank and cargo tank
any corrective actions required in the motor vehicle manufacturer, assem-
notice of proposed removal. bler, repairer, inspector, tester, and de-
(g) Effect of final decision by FMCSA. sign certifying engineer that is subject
If a person is removed from the Na- to registration requirements under 49
tional Registry of Certified Medical CFR 107.502 and 49 U.S.C. 5108 must sat-
Examiners under paragraph (c) or (e) of isfy those requirements by electroni-
this section, the certification creden- cally filing Form MCSA–1, the URS on-
tial issued under § 390.129 is no longer line application, with FMCSA.
valid. However, the removed person’s (c) General. (1)(i) A person that fails
information remains publicly available to file Form MCSA–1, the URS online
for 3 years, with an indication that the application, pursuant to paragraph
person is no longer listed on the Na- (d)(1) of this section is subject to the
tional Registry of Certified Medical penalties prescribed in 49 U.S.C.
Examiners as of the date of removal. 521(b)(2)(B) or 49 U.S.C. 14901(a), as ap-
propriate.
Subpart E—Unified Registration (ii) A person that fails to complete
System biennial updates to the information
pursuant to paragraph (d)(2) of this sec-
SOURCE: 80 FR 63712, Oct. 21, 2015, unless tion is subject to the penalties pre-
otherwise noted. scribed in 49 U.S.C. 521(b)(2)(B) or 49
EFFECTIVE DATE NOTE: At 82 FR 5318, Jan. U.S.C. 14901(a), as appropriate, and de-
17, 2017, subpart E (§§ 390.201–390.209) was sus- activation of its USDOT Number.
pended, effective Jan. 14, 2017. (iii) A person that furnishes mis-
leading information or makes false
§ 390.201 USDOT Registration. statements upon Form MCSA–1, the
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§ 390.201 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 390.207
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§ 390.209 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 390.403
carrying commercial motor vehicles al- see’s driver or available company offi-
lowing the motor carrier to use the cial stating: ‘‘[Carrier A, USDOT num-
passenger-carrying commercial motor ber, telephone number] has leased this
vehicle. vehicle to [Carrier B, USDOT number,
(c) Penalties. If the use of a passenger- telephone number] pursuant to 49 CFR
carrying commercial motor vehicle is 390.403(a)(2).’’
conferred on one motor carrier subject (b) Contents of the lease. The lease or
to this subpart by another such motor interchange agreement required by
carrier without a lease or interchange paragraph (a) of this section shall con-
agreement, or pursuant to a lease or tain:
interchange agreement that fails to (1) Vehicle identification information.
meet all applicable requirements of
The name of the vehicle manufacturer,
subpart G, both motor carriers shall be
the year of manufacture, and at least
subject to a civil penalty.
the last 6 digits of the Vehicle Identi-
§ 390.403 Lease and interchange re- fication Number (VIN) of each pas-
quirements. senger-carrying commercial motor ve-
Beginning on January 1, 2021, and ex- hicle transferred between motor car-
cept as provided in § 390.401(b) of this riers pursuant to the lease or inter-
section, a motor carrier may transport change agreement.
passengers in a leased or interchanged (2) Parties. The legal name, USDOT
commercial motor vehicle only under number, and telephone number of the
the following conditions: motor carrier providing passenger
(a) In general—(1) Lease or agreement transportation in a commercial motor
required. There shall be in effect either: vehicle (lessee) and the legal name,
(i) A lease granting the use of the USDOT number, and telephone number
passenger-carrying commercial motor of the motor carrier providing the
vehicle and meeting the conditions of equipment (lessor), and signatures of
paragraphs (b) and (c) of this section. both parties or their authorized rep-
The provisions of the lease shall be ad- resentatives.
hered to and performed by the lessee; (3) Specific duration. The time and
or date when, and the location where, the
(ii) An agreement meeting the condi- lease or interchange agreement begins
tions of paragraphs (b) and (c) of this and ends.
section and governing the interchange (4) Exclusive possession and responsibil-
of passenger-carrying commercial ities. (i) A clear statement that the
motor vehicles between motor carriers motor carrier obtaining the passenger-
of passengers conducting service on a carrying commercial motor vehicle
route or series of routes. The provi-
(the lessee) has exclusive possession,
sions of the interchange agreement
control, and use of the passenger-car-
shall be adhered to and performed by
rying commercial motor vehicle for the
the lessee.
duration of the agreement, and as-
(2) Exception. When an event occurs
sumes complete responsibility for oper-
(e.g., a crash, the vehicle is disabled)
ation of the vehicle and compliance
that requires a motor carrier of pas-
sengers immediately to obtain a re- with all applicable Federal regulations
placement vehicle from another motor for the duration of the agreement.
carrier of passengers, the two carriers (ii) In the event of a sublease between
may postpone the writing of the lease motor carriers, all of the requirements
or written agreement for the replace- of this section shall apply to a sub-
ment vehicle for up to 48 hours after lease.
the time the lessee takes exclusive pos- (c) Copies of the lease. A copy shall be
session and control of the replacement on the passenger-carrying commercial
vehicle. However, during that 48-hour motor vehicle during the period of the
period, until the lease or agreement is lease or interchange agreement, and
written and provided to the driver, the both the lessee and lessor shall retain a
driver must carry, and produce upon copy of the lease or interchange agree-
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463
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Pt. 391 49 CFR Ch. III (10–1–20 Edition)
391.51 General requirements for driver qual- [35 FR 6460, Apr. 22, 1970, as amended at 53
ification files. FR 18057, May 19, 1988; 60 FR 38744, July 28,
391.53 Driver investigation history file 1995; 80 FR 59074, Oct. 1, 2015]
391.55 LCV Driver-Instructor qualification
files. § 391.2 General exceptions.
(a) Farm custom operation. The rules
Subpart G—Limited Exemptions in this part, except for § 391.15(e) and
391.61 Drivers who were regularly employed (f), do not apply to a driver who drives
before January 1, 1971. a commercial motor vehicle controlled
and operated by a person engaged in
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Federal Motor Carrier Safety Administration, DOT § 391.13
(1) Transport farm machinery, sup- inquiries, and to make entries on re-
plies, or both, to or from a farm for ports and records;
custom-harvesting operations on a (3) Can, by reason of experience,
farm; or training, or both, safely operate the
(2) Transport custom-harvested crops type of commercial motor vehicle he/
to storage or market. she drives;
(b) Apiarian industries. The rules in (4) Is physically qualified to drive a
this part, except for § 391.15(e) and (f), commercial motor vehicle in accord-
do not apply to a driver who is oper- ance with subpart E—Physical Quali-
ating a commercial motor vehicle con- fications and Examinations of this
trolled and operated by a beekeeper en- part;
gaged in the seasonal transportation of (5) Has a currently valid commercial
bees. motor vehicle operator’s license issued
(c) Certain farm vehicle drivers. The only by one State or jurisdiction;
rules in this part, except for § 391.15(e) (6) Has prepared and furnished the
and (f), do not apply to a farm vehicle motor carrier that employs him/her
driver except a farm vehicle driver who with the list of violations or the cer-
drives an articulated (combination) tificate as required by § 391.27;
commercial motor vehicle, as defined (7) Is not disqualified to drive a com-
in § 390.5 of this chapter. For limited mercial motor vehicle under the rules
exemptions for farm vehicle drivers of in § 391.15; and
articulated commercial motor vehicles, (8) Has successfully completed a driv-
see § 391.67. er’s road test and has been issued a cer-
(d) Covered farm vehicles. The rules in tificate of driver’s road test in accord-
part 391, Subpart E—Physical Quali- ance with § 391.31, or has presented an
fications and Examinations—do not operator’s license or a certificate of
apply to drivers of ‘‘covered farm vehi- road test which the motor carrier that
cles,’’ as defined in 49 CFR 390.5. employs him/her has accepted as equiv-
(e) Pipeline welding trucks. The rules alent to a road test in accordance with
in this part do not apply to drivers of § 391.33.
‘‘pipeline welding trucks’’ as defined in
49 CFR 390.38(b). [35 FR 6460, Apr. 22, 1970, as amended at 35
FR 17420, Nov. 13, 1970; 35 FR 19181, Dec. 18,
[76 FR 75487, Dec. 2, 2011, as amended at 78 1970; 36 FR 222, Jan. 7, 1971, 36 FR 24220, Dec.
FR 16195, Mar. 14, 2013; 78 FR 58483, Sept. 24, 22, 1971; 45 FR 46424, July 10, 1980; 52 FR 20589,
2013; 81 FR 47720, July 22, 2016] 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- In order to comply with the require-
ers. ments of §§ 392.9(a) and 383.111(a)(16) of
(a) A person shall not drive a com- this subchapter, a motor carrier shall
mercial motor vehicle unless he/she is not require or permit a person to drive
qualified to drive a commercial motor a 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.
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way traffic signs and signals in the [63 FR 33277, June 18, 1998, as amended at 80
English language, to respond to official FR 59074, Oct. 1, 2015]
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§ 391.15 49 CFR Ch. III (10–1–20 Edition)
(C) Refusal to undergo such testing year if the driver is convicted of a first
as is required by any State or jurisdic- violation of an out-of-service order.
466
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Federal Motor Carrier Safety Administration, DOT § 391.21
(ii) Second violation. A driver is dis- in separate incidents during any 3-year
qualified for not less than one year nor period.
more than five years if, during any 10- (f) Disqualification for violation of a
year period, the driver is convicted of restriction on using a hand-held mobile
two violations of out-of-service orders telephone while driving a commercial
in separate incidents. motor vehicle—
(iii) Third or subsequent violation. A (1) General rule. A driver who is con-
driver is disqualified for not less than victed of violating the restriction on
three years nor more than five years if, using a hand-held mobile telephone in
during any 10-year period, the driver is § 392.82(a) of this chapter is disqualified
convicted of three or more violations from driving a commercial motor vehi-
of out-of-service orders in separate in- cle for the period of time specified in
cidents. paragraph (f)(2) of this section.
(iv) Special rule for hazardous materials (2) Duration. Disqualification for vio-
and passenger offenses. A driver is dis- lation of a restriction on using a hand-
qualified for a period of not less than held mobile telephone while driving a
180 days nor more than two years if the commercial motor vehicle—
driver is convicted of a first violation (i) Second violation. A driver is dis-
of an out-of-service order while trans- qualified for 60 days if the driver is
porting hazardous materials required convicted of two violations of § 392.82(a)
to be placarded under the Hazardous of this chapter in separate incidents
Materials Transportation Act (49 committed during any 3-year period.
U.S.C. 5101 et seq.), or while operating (ii) Third or subsequent violation. A
commercial motor vehicles designed to driver is disqualified for 120 days if the
transport more than 15 passengers, in- driver is convicted of three or more
cluding the driver. A driver is disquali- violations of § 392.82(a) of this chapter
fied for a period of not less than three in separate incidents committed during
years nor more than five years if, dur- any 3-year period.
ing any 10-year period, the driver is
convicted of any subsequent violations [37 FR 24902, Nov. 23, 1972, as amended at 49
FR 44215, Nov. 5, 1984; 51 FR 8200, Mar. 10,
of out-of-service orders, in separate in-
1986; 53 FR 18057, May 19, 1988; 53 FR 39051,
cidents, while transporting hazardous Oct. 4, 1988; 54 FR 40788, Oct. 3, 1989; 59 FR
materials required to be placarded 26028, May 18, 1994; 60 FR 38744, 38745, July 28,
under the Hazardous Materials Trans- 1995; 62 FR 37152, July 11, 1997; 63 FR 33277,
portation Act, or while operating com- June 18, 1998; 75 FR 59136, Sept. 27, 2010; 76 FR
mercial motor vehicles designed to 75487, Dec. 2, 2011; 77 FR 1891, Jan. 12, 2012; 78
transport more than 15 passengers, in- FR 58483, Sept. 24, 2013; 80 FR 59074, Oct. 1,
cluding the driver. 2015]
(e) Disqualification for violation of
prohibition of texting while driving a Subpart C—Background and
commercial motor vehicle— Character
(1) General rule. A driver who is con-
victed of violating the prohibition of § 391.21 Application for employment.
texting in § 392.80(a) of this chapter is (a) Except as provided in subpart G of
disqualified for the period of time spec- this part, a person shall not drive a
ified in paragraph (e)(2) of this section. commercial motor vehicle unless he/
(2) Duration. Disqualification for vio- she has completed and furnished the
lation of prohibition of texting while motor carrier that employs him/her
driving a commercial motor vehicle— with an application for employment
(i) Second violation. A driver is dis- that meets the requirements of para-
qualified for 60 days if the driver is graph (b) of this section.
convicted of two violations of § 392.80(a) (b) The application for employment
of this chapter in separate incidents shall be made on a form furnished by
during any 3-year period. the motor carrier. Each application
(ii) Third or subsequent violation. A form must be completed by the appli-
driver is disqualified for 120 days if the cant, must be signed by him/her, and
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§ 391.23 49 CFR Ch. III (10–1–20 Edition)
(1) The name and address of the em- lated mode subject to alcohol and con-
ploying motor carrier; trolled substances testing require-
(2) The applicant’s name, address, ments as required by 49 CFR part 40;
date of birth, and social security num- (11) For those drivers applying to op-
ber; erate a commercial motor vehicle as
(3) The addresses at which the appli- defined by part 383 of this subchapter,
cant has resided during the 3 years pre- a list of the names and addresses of the
ceding the date on which the applica- applicant’s employers during the 7-year
tion is submitted; period preceding the 3 years contained
(4) The date on which the application in paragraph (b)(10) of this section for
is submitted; which the applicant was an operator of
(5) The issuing State, number, and a commercial motor vehicle, together
expiration date of each unexpired com- with the dates of employment and the
mercial motor vehicle operator’s li- reasons for leaving such employment;
cense or permit that has been issued to and
the applicant; (12) The following certification and
(6) The nature and extent of the ap- signature line, which must appear at
plicant’s experience in the operation of the end of the application form and be
motor vehicles, including the type of signed by the applicant:
equipment (such as buses, trucks, This certifies that this application was
truck tractors, semitrailers, full trail- completed by me, and that all entries on it
ers, and pole trailers) which he/she has and information in it are true and complete
operated; to the best of my knowledge.
(7) A list of all motor vehicle acci- ———————————————————————
dents in which the applicant was in- (Date)
———————————————————————
volved during the 3 years preceding the
(Applicant’s signature)
date the application is submitted,
specifying the date and nature of each (c) A motor carrier may require an
accident and any fatalities or personal applicant to provide information in ad-
injuries it caused; dition to the information required by
(8) A list of all violations of motor paragraph (b) of this section on the ap-
vehicle laws or ordinances (other than plication form.
violations involving only parking) of (d) Before an application is sub-
which the applicant was convicted or mitted, the motor carrier must inform
forfeited bond or collateral during the 3 the applicant that the information he/
years preceding the date the applica- she provides in accordance with para-
tion is submitted; graph (b)(10) of this section may be
(9) A statement setting forth in de- used, and the applicant’s previous em-
tail the facts and circumstances of any ployers will be contacted, for the pur-
denial, revocation, or suspension of any pose of investigating the applicant’s
license, permit, or privilege to operate safety performance history informa-
a motor vehicle that has been issued to tion as required by paragraphs (d) and
the applicant, or a statement that no (e) of § 391.23. The prospective employer
such denial, revocation, or suspension must also notify the driver in writing
has occurred; of his/her due process rights as speci-
(10)(i) A list of the names and ad- fied in § 391.23(i) regarding information
dresses of the applicant’s employers received as a result of these investiga-
during the 3 years preceding the date tions.
the application is submitted, [35 FR 6460, Apr. 22, 1970, as amended at 35
(ii) The dates he or she was employed FR 17420, Nov. 13, 1970; 52 FR 20589, June 1,
by that employer, 1987; 60 FR 38744, July 28, 1995; 69 FR 16719,
(iii) The reason for leaving the em- Mar. 30, 2004]
ploy of that employer,
(iv) After October 29, 2004, whether § 391.23 Investigation and inquiries.
the (A) Applicant was subject to the (a) Except as provided in subpart G of
FMCSRs while employed by that pre- this part, each motor carrier shall
vious employer, make the following investigations and
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(B) Job was designated as a safety inquiries with respect to each driver it
sensitive function in any DOT regu- employs, other than a person who has
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Federal Motor Carrier Safety Administration, DOT § 391.23
been a regularly employed driver of the name and address, the date the pre-
motor carrier for a continuous period vious employer was contacted, or the
which began before January 1, 1971: attempts made, and the information
(1) An inquiry, within 30 days of the received about the driver from the pre-
date the driver’s employment begins, vious employer. Failures to contact a
to each State where the driver held or previous employer, or of them to pro-
holds a motor vehicle operator’s li- vide the required safety performance
cense or permit during the preceding 3 history information, must be docu-
years to obtain that driver’s motor ve- mented. The record must be main-
hicle record. tained pursuant to § 391.53.
(2) An investigation of the driver’s
(3) Prospective employers should re-
safety performance history with De-
port failures of previous employers to
partment of Transportation regulated
employers during the preceding three respond to an investigation to the
years. FMCSA and use the complaint proce-
(b) A copy of the motor vehicle dures specified at § 386.12 of this sub-
record(s) obtained in response to the chapter. Keep a copy of the reports in
inquiry or inquiries to each State re- the driver investigation history file as
quired by paragraph (a)(1) of this sec- part of documenting a good faith effort
tion must be placed in the driver quali- to obtain the required information.
fication file within 30 days of the date (4) Exception. For drivers with no pre-
the driver’s employment begins and be vious employment experience working
retained in compliance with § 391.51. If for a DOT-regulated employer during
no motor vehicle record is received the preceding three years, documenta-
from the State or States required to tion that no investigation was possible
submit this response, the motor carrier must be placed in the driver investiga-
must document a good faith effort to tion history file, after October 29, 2004,
obtain such information, and certify within the required 30 days of the date
that no record exists for that driver in the driver’s employment begins.
that State or States. The inquiry to (d) The prospective motor carrier
the State driver licensing agency or must investigate, at a minimum, the
agencies must be made in the form and
information listed in this paragraph
manner each agency prescribes.
from all previous employers of the ap-
(c)(1) Replies to the investigations of
plicant that employed the driver to op-
the driver’s safety performance history
required by paragraph (a)(2) of this sec- erate a CMV within the previous three
tion, or documentation of good faith ef- years. The investigation request must
forts to obtain the investigation data, contain specific contact information
must be placed in the driver investiga- on where the previous motor carrier
tion history file, after October 29, 2004, employers should send the information
within 30 days of the date the driver’s requested.
employment begins. Any period of time (1) General driver identification and
required to exercise the driver’s due employment verification information.
process rights to review the informa- (2) The data elements as specified in
tion received, request a previous em- § 390.15(b)(1) of this chapter for acci-
ployer to correct or include a rebuttal, dents involving the driver that oc-
is separate and apart from this 30-day curred in the three-year period pre-
requirement to document investigation ceding the date of the employment ap-
of the driver safety performance his- plication.
tory data. (i) Any accidents as defined by § 390.5
(2) The investigation may consist of of this chapter.
personal interviews, telephone inter-
(ii) Any accidents the previous em-
views, letters, or any other method for
ployer may wish to provide that are re-
investigating that the carrier deems
appropriate. Each motor carrier must tained pursuant to § 390.15(b)(2), or pur-
make a written record with respect to suant to the employer’s internal poli-
each previous employer contacted, or cies for retaining more detailed minor
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§ 391.23 49 CFR Ch. III (10–1–20 Edition)
accordance with § 40.25(b)(5) of this accidents that occurred after April 29,
title. 2003.
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Federal Motor Carrier Safety Administration, DOT § 391.23
deadline will begin when the prospec- duration of the three-year data reten-
tive employer receives the requested tion requirement.
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§ 391.23 49 CFR Ch. III (10–1–20 Edition)
(5) The driver may submit a rebuttal by a medical examiner listed on the
initially without a request for correc- National Registry of Certified Medical
tion, or subsequent to a request for Examiners as of the date of issuance of
correction. the medical examiner’s certificate, and
(6) The driver may report failures of place the records in the driver quali-
previous employers to correct informa- fication file, before allowing the driver
tion or include the driver’s rebuttal as to operate a CMV.
part of the safety performance infor- (2) Exception. For drivers required to
mation, to the FMCSA following proce- have a commercial driver’s license
dures specified at § 386.12. under part 383 of this chapter:
(k)(1) The prospective motor carrier (i) Beginning January 30, 2015, using
employer must use the information de-
the CDLIS motor vehicle record ob-
scribed in paragraphs (d) and (e) of this
tained from the current licensing
section only as part of deciding wheth-
State, the motor carrier must verify
er to hire the driver.
(2) The prospective motor carrier em- and document in the driver qualifica-
ployer, its agents and insurers must tion file the following information be-
take all precautions reasonably nec- fore allowing the driver to operate a
essary to protect the records from dis- CMV:
closure to any person not directly in- (A) The type of operation the driver
volved in deciding whether to hire the self-certified that he or she will per-
driver. The prospective motor carrier form in accordance with § 383.71(b)(1) of
employer may not provide any alcohol this chapter.
or controlled substances information (B)(1) Beginning on May 21, 2014, and
to the prospective motor carrier em- through June 21, 2021, that the driver
ployer’s insurer. was certified by a medical examiner
(l)(1) No action or proceeding for def- listed on the National Registry of Cer-
amation, invasion of privacy, or inter- tified Medical Examiners as of the date
ference with a contract that is based of medical examiner’s certificate
on the furnishing or use of information issuance.
in accordance with this section may be (2) If the driver has certified under
brought against— paragraph (m)(2)(i)(A) of this section
(i) A motor carrier investigating the that he or she expects to operate in
information, described in paragraphs interstate commerce, that the driver
(d) and (e) of this section, of an indi- has a valid medical examiner’s certifi-
vidual under consideration for employ- cate and any required medical
ment as a commercial motor vehicle variances.
driver, (C) Exception. Beginning on January
(ii) A person who has provided such 30, 2015, and through June 21, 2021, if
information; or
the driver provided the motor carrier
(iii) The agents or insurers of a per-
with a copy of the current medical ex-
son described in paragraph (l)(1)(i) or
aminer’s certificate that was sub-
(ii) of this section, except insurers are
mitted to the State in accordance with
not granted a limitation on liability
§ 383.73(b)(5) of this chapter, the motor
for any alcohol and controlled sub-
stance information. carrier may use a copy of that medical
(2) The protections in paragraph (l)(1) examiner’s certificate as proof of the
of this section do not apply to persons driver’s medical certification for up to
who knowingly furnish false informa- 15 days after the date it was issued.
tion, or who are not in compliance with (3) Exception. For drivers required to
the procedures specified for these in- have a commercial learner’s permit
vestigations. under part 383 of this chapter:
(m)(1) The motor carrier must obtain (i) Beginning July 8, 2015, using the
an original or copy of the medical ex- CDLIS motor vehicle record obtained
aminer’s certificate issued in accord- from the current licensing State, the
ance with § 391.43, and any medical motor carrier must verify and docu-
variance on which the certification is ment in the driver qualification file
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based, and, beginning on or after May the following information before allow-
21, 2014, verify the driver was certified ing the driver to operate a CMV:
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Federal Motor Carrier Safety Administration, DOT § 391.27
(A) The type of operation the driver § 391.25 Annual inquiry and review of
self-certified that he or she will per- driving record.
form in accordance with § 383.71(b)(1) (a) Except as provided in subpart G of
and (g) of this chapter. this part, each motor carrier shall, at
(B)(1) Through June 21, 2021, that the least once every 12 months, make an
driver was certified by a medical exam- inquiry to obtain the motor vehicle
iner listed on the National Registry of record of each driver it employs, cov-
Certified Medical Examiners as of the
ering at least the preceding 12 months,
date of medical examiner’s certificate
to the appropriate agency of every
issuance.
State in which the driver held a com-
(2) If the driver has a commercial
mercial motor vehicle operator’s li-
learner’s permit and has certified
cense or permit during the time period.
under paragraph (m)(3)(i)(A) of this
(b) Except as provided in subpart G of
section that he or she expects to oper-
ate in interstate commerce, that the this part, each motor carrier shall, at
driver has a valid medical examiner’s least once every 12 months, review the
certificate and any required medical motor vehicle record of each driver it
variances. employs to determine whether that
(C) Through June 21, 2021, if the driv- driver meets minimum requirements
er provided the motor carrier with a for safe driving or is disqualified to
copy of the current medical examiner’s drive a commercial motor vehicle pur-
certificate that was submitted to the suant to § 391.15.
State in accordance with (1) The motor carrier must consider
§ 383.73(a)(2)(vii) of this chapter, the any evidence that the driver has vio-
motor carrier may use a copy of that lated any applicable Federal Motor
medical examiner’s certificate as proof Carrier Safety Regulations in this sub-
of the driver’s medical certification for chapter or Hazardous Materials Regu-
up to 15 days after the date it was lations (49 CFR chapter I, subchapter
issued. C).
(ii) Until July 8, 2015, if a driver oper- (2) The motor carrier must consider
ating in non-excepted, interstate com- the driver’s accident record and any
merce has no medical certification sta- evidence that the driver has violated
tus information on the CDLIS MVR ob- laws governing the operation of motor
tained from the current State driver li- vehicles, and must give great weight to
censing agency, the employing motor violations, such as speeding, reckless
carrier may accept a medical exam- driving, and operating while under the
iner’s certificate issued to that driver, influence of alcohol or drugs, that indi-
and place a copy of it in the driver cate that the driver has exhibited a dis-
qualification file before allowing the regard for the safety of the public.
driver to operate a CMV in interstate (c) Recordkeeping. (1) A copy of the
commerce. motor vehicle record required by para-
(4) In the event of a conflict between graph (a) of this section shall be main-
the medical certification information tained in the driver’s qualification file.
provided electronically by FMCSA and (2) A note, including the name of the
a paper copy of the medical examiner’s person who performed the review of the
certificate, the medical certification driving record required by paragraph
information provided electronically by (b) of this section and the date of such
FMCSA shall control. review, shall be maintained in the driv-
(Approved by the Office of Management and er’s qualification file.
Budget under control number 2126–0004) [63 FR 33277, June 18, 1998, as amended at 73
[35 FR 6460, Apr. 22, 1970, as amended at 35 FR 73127, Dec. 1, 2008]
FR 17420, Nov. 13, 1970; 69 FR 16720, Mar. 30,
2004; 72 FR 55703, Oct. 1, 2007; 73 FR 73126, § 391.27 Record of violations.
Dec. 1, 2008; 75 FR 28502, May 21, 2010; 76 FR
(a) Except as provided in subpart G of
70663, Nov. 15, 2011; 77 FR 24130, Apr. 20, 2012;
79 FR 2379, Jan. 14, 2014; 80 FR 22812, Apr. 23, this part, each motor carrier shall, at
least once every 12 months, require
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§ 391.31 49 CFR Ch. III (10–1–20 Edition)
motor vehicle traffic laws and ordi- (b) The road test shall be given by
nances (other than violations involving the motor carrier or a person des-
only parking) of which the driver has ignated by it. However, a driver who is
been convicted or on account of which a motor carrier must be given the test
he/she has forfeited bond or collateral by a person other than himself/herself.
during the preceding 12 months. The test shall be given by a person who
(b) Each driver shall furnish the list is competent to evaluate and deter-
required in accordance with paragraph mine whether the person who takes the
(a) of this section. If the driver has not test has demonstrated that he/she is
been convicted of, or forfeited bond or capable of operating the commercial
collateral on account of, any violation motor vehicle, and associated equip-
which must be listed, he/she shall so ment, that the motor carrier intends to
certify. assign him/her.
(c) The form of the driver’s list or (c) The road test must be of sufficient
certification shall be prescribed by the duration to enable the person who
motor carrier. The following form may gives it to evaluate the skill of the per-
be used to comply with this section: son who takes it at handling the com-
DRIVER’S CERTIFICATION mercial motor vehicle, and associated
equipment, that the motor carriers in-
I certify that the following is a true and tends to assign to him/her. As a min-
complete list of traffic violations (other than
parking violations) for which I have been
imum, the person who takes the test
convicted or forfeited bond or collateral dur- must be tested, while operating the
ing the past 12 months. type of commercial motor vehicle the
Date of conviction Offense motor carrier intends to assign him/
Location Type of motor vehicle operated her, on his/her skill at performing each
If no violations are listed above, I certify of the following operations:
that I have not been convicted or forfeited (1) The pretrip inspection required by
bond or collateral on account of any viola- § 392.7 of this subchapter;
tion required to be listed during the past 12 (2) Coupling and uncoupling of com-
months. bination units, if the equipment he/she
(Date of certification) (Driver’s signature) may drive includes combination units;
(Motor carrier’s name) (3) Placing the commercial motor ve-
hicle in operation;
(Motor carrier’s address) (4) Use of the commercial motor ve-
(Reviewed by: Signature) (Title) hicle’s controls and emergency equip-
ment;
(d) The motor carrier shall retain the (5) Operating the commercial motor
list or certificate required by this sec- vehicle in traffic and while passing
tion, or a copy of it, in its files as part other motor vehicles;
of the driver’s qualification file. (6) Turning the commercial motor
(e) Drivers who have provided infor-
vehicle;
mation required by § 383.31 of this sub-
(7) Braking, and slowing the commer-
chapter need not repeat that informa-
cial motor vehicle by means other than
tion in the annual list of violations re-
braking; and
quired by this section.
(8) Backing and parking the commer-
[35 FR 6460, Apr. 22, 1970, as amended at 35 cial motor vehicle.
FR 17420, Nov. 13, 1970; 52 FR 20589, June 1, (d) The motor carrier shall provide a
1987; 60 FR 38745, July 28, 1995] road test form on which the person who
gives the test shall rate the perform-
Subpart D—Tests ance of the person who takes it at each
operation or activity which is a part of
§ 391.31 Road test. the test. After he/she completes the
(a) Except as provided in subpart G, a form, the person who gave the test
person shall not drive a commercial shall sign it.
motor vehicle unless he/she has first (e) If the road test is successfully
successfully completed a road test and completed, the person who gave it shall
has been issued a certificate of driver’s complete a certificate of driver’s road
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road test in accordance with this sec- test in substantially the form pre-
tion. scribed in paragraph (f) of this section.
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Federal Motor Carrier Safety Administration, DOT § 391.41
(f) The form for the certificate of (2) A copy of a valid certificate of
driver’s road test is substantially as driver’s road test issued to him/her
follows: pursuant to § 391.31 within the pre-
ceding 3 years.
CERTIFICATION OF ROAD TEST (b) If a driver presents, and a motor
Driver’s name llllllllllllllll carrier accepts, a license or certificate
Social Security No lllllllllllll as equivalent to the road test, the
Operator’s or Chauffeur’s License No llll motor carrier shall retain a legible
State llllllllllllllllllll copy of the license or certificate in its
Type of power unit llllll Type of trail- files as part of the driver’s qualifica-
er(s) llllllllllllllllllll tion file.
If passenger carrier, type of bus llllll (c) A motor carrier may require any
This is to certify that the above-named person who presents a license or cer-
driver was given a road test under my super- tificate as equivalent to the road test
vision on llllll, 20ll, consisting of
approximately lll miles of driving.
to take a road test or any other test of
It is my considered opinion that this driver his/her driving skill as a condition to
possesses sufficient driving skill to operate his/her employment as a driver.
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,
(Signature of examiner) 1998]
(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)(1)(i) A person subject to this part
driver qualification file of the person must not operate a commercial motor
who was examined— vehicle unless he or she is medically
(1) The original of the signed road certified as physically qualified to do
test form required by paragraph (d) of so, and, except as provided in para-
this section; and graph (a)(2) of this section, when on-
(2) The original, or a copy of, the cer- duty has on his or her person the origi-
nal, or a copy, of a current medical ex-
tificate required by paragraph (e) of
aminer’s certificate that he or she is
this section.
physically qualified to drive a commer-
[35 FR 6460, Apr. 22, 1970, as amended at 36 cial motor vehicle. NOTE: Effective
FR 223, Jan. 7, 1971; 59 FR 8752, Feb. 23, 1994; December 29, 1991, and as amended on
60 FR 38744, July 28, 1995; 66 FR 49874, Oct. 1, January 19, 2017, the FMCSA Adminis-
2001] trator determined that the Licencia
Federal de Conductor issued by the
§ 391.33 Equivalent of road test.
United Mexican States is recognized as
(a) In place of, and as equivalent to, proof of medical fitness to drive a
the road test required by § 391.31, a per- CMV. The United States and Canada
son who seeks to drive a commercial entered into a Reciprocity Agreement,
motor vehicle may present, and a effective March 30, 1999, recognizing
motor carrier may accept— that a Canadian commercial driver’s li-
(1) A valid Commercial Driver’s Li- cense is proof of medical fitness to
cense as defined in § 383.5 of this sub- drive a CMV. Therefore, Canadian and
chapter, but not including double/triple Mexican CMV drivers are not required
trailer or tank vehicle endorsements, to have in their possession a medical
which has been issued to him/her to op- examiner’s certificate if the driver has
erate specific categories of commercial been issued, and possesses, a valid com-
motor vehicles and which, under the mercial driver license issued by the
laws of that State, licenses him/her United Mexican States, or a Canadian
after successful completion of a road Province or Territory, and whose li-
test in a commercial motor vehicle of cense and medical status, including
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the type the motor carrier intends to any waiver or exemption, can be elec-
assign to him/her; or tronically verified. Drivers from any of
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§ 391.41 49 CFR Ch. III (10–1–20 Edition)
cordance with § 383.71(h) of this chapter (3) Has no established medical his-
documenting that he or she meets the tory or clinical diagnosis of diabetes
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Federal Motor Carrier Safety Administration, DOT § 391.43
mellitus currently treated with insulin ing aid when the audiometric device is
for control, unless the person meets calibrated to American National
the requirements in § 391.46; Standard (formerly ASA Standard)
(4) Has no current clinical diagnosis Z24.5—1951.
of myocardial infarction, angina pec- (12)(i) Does not use any drug or sub-
toris, coronary insufficiency, throm- stance identified in 21 CFR 1308.11
bosis, or any other cardiovascular dis- Schedule I, an amphetamine, a nar-
ease of a variety known to be accom- cotic, or other habit-forming drug.
panied by syncope, dyspnea, collapse, (ii) Does not use any non-Schedule I
or congestive cardiac failure. drug or substance that is identified in
(5) Has no established medical his- the other Schedules in 21 CFR part 1308
tory or clinical diagnosis of a res- except when the use is prescribed by a
piratory dysfunction likely to interfere licensed medical practitioner, as de-
with his/her ability to control and fined in § 382.107, who is familiar with
drive a commercial motor vehicle safe- the driver’s medical history and has
ly; advised the driver that the substance
(6) Has no current clinical diagnosis
will not adversely affect the driver’s
of high blood pressure likely to inter-
ability to safely operate a commercial
fere with his/her ability to operate a
motor vehicle.
commercial motor vehicle safely;
(7) Has no established medical his- (13) Has no current clinical diagnosis
tory or clinical diagnosis of rheumatic, of alcoholism.
arthritic, orthopedic, muscular, neuro- [35 FR 6460, Apr. 22, 1970]
muscular, or vascular disease which
EDITORIAL NOTE: For FEDERAL REGISTER ci-
interferes with his/her ability to con- tations affecting § 391.41, see the List of CFR
trol and operate a commercial motor Sections Affected, which appears in the
vehicle safely; Finding Aids section of the printed volume
(8) Has no established medical his- and at www.govinfo.gov.
tory or clinical diagnosis of epilepsy or
any other condition which is likely to § 391.43 Medical examination; certifi-
cause loss of consciousness or any loss cate of physical examination.
of ability to control a commercial (a) Except as provided by paragraph
motor vehicle; (b) of this section, the medical exam-
(9) Has no mental, nervous, organic, ination must be performed by a med-
or functional disease or psychiatric dis- ical examiner listed on the National
order likely to interfere with his/her Registry of Certified Medical Exam-
ability to drive a commercial motor iners under subpart D of part 390 of this
vehicle safely; chapter.
(10) Has distant visual acuity of at
(b) Exceptions:
least 20/40 (Snellen) in each eye with-
out corrective lenses or visual acuity (1) A licensed optometrist may per-
separately corrected to 20/40 (Snellen) form so much of the medical examina-
or better with corrective lenses, dis- tion as pertains to visual acuity, field
tant binocular acuity of at least 20/40 of vision, and the ability to recognize
(Snellen) in both eyes with or without colors as specified in paragraph (10) of
corrective lenses, field of vision of at § 391.41(b).
least 70° in the horizontal Meridian in (2) A certified VA medical examiner
each eye, and the ability to recognize must only perform medical examina-
the colors of traffic signals and devices tions of veteran operators.
showing standard red, green, and (c) Medical examiners shall:
amber; (1) Be knowledgeable of the specific
(11) First perceives a forced whis- physical and mental demands associ-
pered voice in the better ear at not less ated with operating a commercial
than 5 feet with or without the use of motor vehicle and the requirements of
a hearing aid or, if tested by use of an this subpart, including the medical ad-
audiometric device, does not have an visory criteria prepared by the FMCSA
average hearing loss in the better ear as guidelines to aid the medical exam-
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greater than 40 decibels at 500 Hz, 1,000 iner in making the qualification deter-
Hz, and 2,000 Hz with or without a hear- mination; and
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§ 391.43 49 CFR Ch. III (10–1–20 Edition)
(2) Be proficient in the use of and use (e) Any driver operating under a lim-
the medical protocols necessary to ade- ited exemption authorized by § 391.64
quately perform the medical examina- shall furnish the medical examiner
tion required by this section. with a copy of the annual medical find-
(d) Any driver authorized to operate ings of the endocrinologist, ophthal-
a commercial motor vehicle within an mologist or optometrist, as required
exempt intracity zone pursuant to under that section. If the medical ex-
§ 391.62 of this part shall furnish the ex- aminer finds the driver qualified under
amining medical examiner with a copy the limited exemption in § 391.64, such
of the medical findings that led to the fact shall be noted on the Medical Ex-
issuance of the first certificate of med- aminer’s Certificate.
ical examination which allowed the (f) The medical examination shall be
driver to operate a commercial motor performed, and its results shall be re-
vehicle wholly within an exempt intra- corded on the Medical Examination Re-
city zone. port Form, MCSA–5875, set out below:
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Federal Motor Carrier Safety Administration, DOT § 391.43
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§ 391.43 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 391.43
(g) Upon completion of the medical office address, and telephone number
examination required by this subpart: on the Report.
(1) The medical examiner must date
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§ 391.43 49 CFR Ch. III (10–1–20 Edition)
(2)(i) Before June 22, 2021, if the med- must electronically transmit to the Di-
ical examiner finds that the person ex- rector, Office of Carrier, Driver and Ve-
amined is physically qualified to oper- hicle Safety Standards, via a secure
ate a commercial motor vehicle in ac- Web account on the National Registry,
cordance with § 391.41(b), he or she a completed CMV Driver Medical Ex-
must complete a certificate in the form amination Results Form, MCSA–5850.
prescribed in paragraph (h) of this sec- The Form must include all information
tion and furnish the original to the specified for each medical examination
person who was examined. The exam- conducted during the previous month
iner must provide a copy to a prospec- for any driver who is required to be ex-
tive or current employing motor car- amined by a medical examiner listed
rier who requests it. on the National Registry of Certified
(ii) On or after June 22, 2021, if the Medical Examiners.
medical examiner identifies that the (B) Beginning June 22, 2018 by mid-
person examined will not be operating night (local time) of the next calendar
a commercial motor vehicle that re- day after the medical examiner com-
quires a commercial driver’s license or pletes a medical examination for any
a commercial learner’s permit and driver who is required to be examined
finds that the driver is physically by a medical examiner listed on the
qualified to operate a commercial National Registry of Certified Medical
motor vehicle in accordance with Examiners, the medical examiner must
§ 391.41(b), he or she must complete a electronically transmit to the Direc-
certificate in the form prescribed in
tor, Office of Carrier, Driver and Vehi-
paragraph (h) of this section and fur-
cle Safety Standards, via a secure
nish the original to the person who was
FMCSA-designated Web site, a com-
examined. The examiner must provide
pleted CMV Driver Medical Examina-
a copy to a prospective or current em-
tion Results Form, MCSA–5850. The
ploying motor carrier who requests it.
Form must include all information
(3) On or after June 22, 2021, if the
specified for each medical examination
medical examiner finds that the person
conducted for each driver who is re-
examined is not physically qualified to
quired to be examined by a medical ex-
operate a commercial motor vehicle in
aminer listed on the National Registry
accordance with § 391.41(b), he or she
must inform the person examined that of Certified Medical Examiners in ac-
he or she is not physically qualified, cordance with the provisions of this
and that this information will be re- subpart E, and should also include in-
ported to FMCSA. All medical exam- formation for each driver who is re-
iner’s certificates previously issued to quired by a State to be examined by a
the person are not valid and no longer medical examiner listed on the Na-
satisfy the requirements of § 391.41(a). tional Registry of Certified Medical
(4) Beginning December 22, 2015, if Examiners in accordance with the pro-
the medical examiner finds that the de- visions of this subpart E and any
termination of whether the person ex- variances from those provisions adopt-
amined is physically qualified to oper- ed by such State.
ate a commercial motor vehicle in ac- (ii) Beginning on June 22, 2015, if the
cordance with § 391.41(b) should be de- medical examiner does not perform a
layed pending the receipt of additional medical examination of any driver who
information or the conduct of further is required to be examined by a med-
examination in order for the medical ical examiner listed on the National
examiner to make such determination, Registry of Certified Medical Exam-
he or she must inform the person ex- iners during any calendar month, the
amined that the additional information medical examiner must report that
must be provided or the further exam- fact to FMCSA, via a secure FMCSA-
ination completed within 45 days, and designated Web site, by the close of
that the pending status of the exam- business on the last day of such month.
ination will be reported to FMCSA. (h) The medical examiner’s certifi-
(5)(i)(A) Once every calendar month, cate shall be completed in accordance
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beginning May 21, 2014 and ending on with the following Form MCSA–5876,
June 22, 2018, the medical examiner Medical Examiner’s Certificate:
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Federal Motor Carrier Safety Administration, DOT § 391.45
(i) Each original (paper or electronic) The medical examiner must make all
completed Medical Examination Re- records and information in these files
port and a copy or electronic version of available to an authorized representa-
each medical examiner’s certificate tive of FMCSA or an authorized Fed-
must be retained on file at the office of eral, State, or local enforcement agen-
the medical examiner for at least 3 cy representative, within 48 hours after
years from the date of examination. the request is made.
§ 391.45 Persons who must be medi- (b) Any driver who has not been
cally examined and certified. medically examined and certified as
qualified to operate a commercial
The following persons must be medi-
motor vehicle during the preceding 24
cally examined and certified in accord-
months, unless the driver is required to
ance with § 391.43 as physically quali- be examined and certified in accord-
fied to operate a commercial motor ve- ance with paragraph (c), (d), (e), (f), or
hicle: (g) of this section;
(a) Any person who has not been (c) Any driver authorized to operate
medically examined and certified as a commercial motor vehicle only with-
physically qualified to operate a com- in an exempt intra-city zone pursuant
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§ 391.46 49 CFR Ch. III (10–1–20 Edition)
qualified to drive in such zone during (1) During the evaluation of the indi-
the preceding 12 months; vidual, the treating clinician must
(d) Any driver authorized to operate complete the Insulin-Treated Diabetes
a commercial motor vehicle only by Mellitus Assessment Form, MCSA–5870.
operation of the exemption in § 391.64, if (2) Upon completion of the Insulin-
such driver has not been medically ex- Treated Diabetes Mellitus Assessment
amined and certified as qualified to Form, MCSA–5870, the treating clini-
drive during the preceding 12 months; cian must sign and date the Form and
(e) Any driver who has diabetes provide his or her full name, office ad-
mellitus treated with insulin for con- dress, and telephone number on the
trol and who has obtained a medical Form.
examiner’s certificate under the stand- (c) Medical examiner’s examination. At
ards in § 391.46, if such driver’s most re- least annually, but no later than 45
cent medical examination and certifi- days after the treating clinician signs
cation as qualified to drive did not and dates the Insulin-Treated Diabetes
occur during the preceding 12 months;
Mellitus Assessment Form, MCSA–5870,
(f) Any driver whose ability to per- an individual with diabetes mellitus
form his or her normal duties has been
treated with insulin for control must
impaired by a physical or mental in-
be medically examined and certified by
jury or disease; and
a medical examiner as physically
(g) Beginning June 22, 2021, any per-
qualified in accordance with § 391.43 and
son found by a medical examiner not to
as free of complications from diabetes
be physically qualified to operate a
mellitus that might impair his or her
commercial motor vehicle under the
provisions of paragraph (g)(3) of § 391.43. ability to operate a commercial motor
vehicle safely.
[83 FR 47520, Sept. 19, 2018] (1) The medical examiner must re-
ceive a completed Insulin-Treated Dia-
§ 391.46 Physical qualification stand- betes Mellitus Assessment Form,
ards for an individual with diabetes
mellitus treated with insulin for MCSA–5870, signed and dated by the in-
control. dividual’s treating clinician for each
required examination. This Form shall
(a) Diabetes mellitus treated with insu- be treated and retained as part of the
lin. An individual with diabetes
Medical Examination Report Form,
mellitus treated with insulin for con-
MCSA–5875.
trol is physically qualified to operate a
commercial motor vehicle provided: (2) The medical examiner must deter-
mine whether the individual meets the
(1) The individual otherwise meets
the physical qualification standards in physical qualification standards in
§ 391.41 or has an exemption or skill § 391.41 to operate a commercial motor
performance evaluation certificate, if vehicle. In making that determination,
required; and the medical examiner must consider
(2) The individual has the evaluation the information in the Insulin-Treated
required by paragraph (b) and the med- Diabetes Mellitus Assessment Form,
ical examination required by paragraph MCSA–5870, signed by the treating cli-
(c) of this section. nician and, utilizing independent med-
(b) Evaluation by the treating clinician. ical judgment, apply the following
Prior to the examination required by qualification standards in determining
§ 391.45 or the expiration of a medical whether the individual with diabetes
examiner’s certificate, the individual mellitus treated with insulin for con-
must be evaluated by his or her trol may be certified as physically
‘‘treating clinician.’’ For purposes of qualified to operate a commercial
this section, ‘‘treating clinician’’ motor vehicle.
means a healthcare professional who (i) The individual is not physically
manages, and prescribes insulin for, qualified to operate a commercial
the treatment of the individual’s diabe- motor vehicle if he or she is not main-
tes mellitus as authorized by the taining a stable insulin regimen and
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healthcare professional’s State licens- not properly controlling his or her dia-
ing authority. betes mellitus.
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Federal Motor Carrier Safety Administration, DOT § 391.47
periences a severe hypoglycemic epi- cant is the motor carrier, the applicant
sode after being certified as physically must submit a statement of his/her
491
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§ 391.49 49 CFR Ch. III (10–1–20 Edition)
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Federal Motor Carrier Safety Administration, DOT § 391.49
has granted a Skill Performance Eval- (v) Number of years experience oper-
uation (SPE) Certificate to that per- ating the type of commercial motor ve-
son. hicle(s) requested in the letter of appli-
(b) SPE certificate—(1) Application. A cation and total years of experience op-
letter of application for an SPE certifi- erating all types of commercial motor
cate may be submitted jointly by the vehicles.
person (driver applicant) who seeks an (3) Description of the commercial
SPE certificate and by the motor car- motor vehicle(s) the driver applicant
rier that will employ the driver appli- intends to drive:
cant, if the application is accepted. (i) Truck, truck tractor, or bus make,
(2) Application address. The applica- model, and year (if known);
tion must be addressed to the applica- (ii) Drive train;
ble field service center, FMCSA, for the (A) Transmission type (automatic or
State in which the co-applicant motor manual—if manual, designate number
carrier’s principal place of business is of forward speeds);
located. The address of each, and the (B) Auxiliary transmission (if any)
States serviced, are listed in § 390.27 of and number of forward speeds; and
this chapter. (C) Rear axle (designate single speed,
(3) Exception. A letter of application 2 speed, or 3 speed).
for an SPE certificate may be sub- (iii) Type of brake system;
mitted unilaterally by a driver appli- (iv) Steering, manual or power as-
cant. The application must be ad- sisted;
dressed to the field service center, (v) Description of type of trailer(s)
FMCSA, for the State in which the (i.e., van, flatbed, cargo tank, drop
driver has legal residence. The driver frame, lowboy, or pole);
applicant must comply with all the re- (vi) Number of semitrailers or full
quirements of paragraph (c) of this sec- trailers to be towed at one time;
tion except those in (c)(1)(i) and (iii). (vii) For commercial motor vehicles
The driver applicant shall respond to designed to transport passengers, indi-
the requirements of paragraphs (c)(2)(i) cate the seating capacity of commer-
to (v) of this section, if the information cial motor vehicle; and
is known. (viii) Description of any modifica-
(c) A letter of application for an SPE tion(s) made to the commercial motor
certificate shall contain: vehicle for the driver applicant; attach
(1) Identification of the applicant(s): photograph(s) where applicable.
(i) Name and complete address of the (4) Otherwise qualified:
motor carrier coapplicant; (i) The coapplicant motor carrier
(ii) Name and complete address of the must certify that the driver applicant
driver applicant; is otherwise qualified under the regula-
(iii) The U.S. DOT Motor Carrier tions of this part;
Identification Number, if known; and (ii) In the case of a unilateral appli-
(iv) A description of the driver appli- cation, the driver applicant must cer-
cant’s limb impairment for which SPE tify that he/she is otherwise qualified
certificate is requested. under the regulations of this part.
(2) Description of the type of oper- (5) Signature of applicant(s):
ation the driver will be employed to (i) Driver applicant’s signature and
perform: date signed;
(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
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§ 391.49 49 CFR Ch. III (10–1–20 Edition)
(1) A copy of the results of the med- (4) A description of the driver appli-
ical examination performed pursuant cant’s prosthetic or orthotic device
to § 391.43; worn, if any;
(2) A copy of the medical certificate (5) Road test:
completed pursuant to § 391.43(h); (i) A copy of the driver applicant’s
(3) A medical evaluation summary road test administered by the motor
completed by either a board qualified carrier coapplicant and the certificate
or board certified physiatrist (doctor of issued pursuant to § 391.31(b) through
physical medicine) or orthopedic sur- (g); or
geon. The coapplicant motor carrier or (ii) A unilateral applicant shall be re-
sponsible for having a road test admin-
the driver applicant shall provide the
istered by a motor carrier or a person
physiatrist or orthopedic surgeon with
who is competent to administer the
a description of the job-related tasks
test and evaluate its results.
the driver applicant will be required to
(6) Application for employment:
perform; (i) A copy of the driver applicant’s
(i) The medical evaluation summary application for employment completed
for a driver applicant disqualified pursuant to § 391.21; or
under § 391.41(b)(1) shall include: (ii) A unilateral applicant shall be re-
(A) An assessment of the functional sponsible for submitting a copy of the
capabilities of the driver as they relate last commercial driving position’s em-
to the ability of the driver to perform ployment application he/she held. If
normal tasks associated with operating not previously employed as a commer-
a commercial motor vehicle; and cial driver, so state.
(B) A statement by the examiner (7) A copy of the driver applicant’s
that the applicant is capable of dem- SPE certificate of certain physical de-
onstrating precision prehension (e.g., fects issued by the individual State(s),
manipulating knobs and switches) and where applicable; and
power grasp prehension (e.g., holding (8) A copy of the driver applicant’s
and maneuvering the steering wheel) State Motor Vehicle Driving Record for
with each upper limb separately. This the past 3 years from each State in
requirement does not apply to an indi- which a motor vehicle driver’s license
vidual who was granted a waiver, ab- or permit has been obtained.
sent a prosthetic device, prior to the (e) Agreement. A motor carrier that
publication of this amendment. employs a driver with an SPE certifi-
(ii) The medical evaluation summary cate agrees to:
for a driver applicant disqualified (1) File promptly (within 30 days of
under § 391.41(b)(2) shall include: the involved incident) with the Medical
Program Specialist, FMCSA service
(A) An explanation as to how and
center, such documents and informa-
why the impairment interferes with
tion as may be required about driving
the ability of the applicant to perform
activities, accidents, arrests, license
normal tasks associated with operating
suspensions, revocations, or with-
a commercial motor vehicle;
drawals, and convictions which involve
(B) An assessment and medical opin- the driver applicant. This applies
ion of whether the condition will likely whether the driver’s SPE certificate is
remain medically stable over the life- a unilateral one or has a coapplicant
time of the driver applicant; and motor carrier;
(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
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cate, absent an orthotic device, prior documents with the Medical Program
to the publication of this amendment. Specialist, FMCSA service center, for
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Federal Motor Carrier Safety Administration, DOT § 391.49
the State in which the driver has legal sistent with the public interest. The
residence. SPE certificate is valid for a period not
(2) Evaluate the driver with a road to exceed 2 years from date of issue,
test using the trailer the motor carrier and may be renewed 30 days prior to
intends the driver to transport or, in the expiration date.
lieu of, accept a certificate of a trailer (i) The SPE certificate renewal appli-
road test from another motor carrier if cation shall be submitted to the Med-
the trailer type(s) is similar, or accept ical Program Specialist, FMCSA serv-
the trailer road test done during the ice center, for the State in which the
Skill Performance Evaluation if it is a driver has legal residence, if the SPE
similar trailer type(s) to that of the certificate was issued unilaterally. If
prospective motor carrier. Job tasks, the SPE certificate has a coapplicant,
as stated in paragraph (e)(3) of this sec- then the renewal application is sub-
tion, are not evaluated in the Skill mitted to the Medical Program Spe-
Performance Evaluation; cialist, FMCSA field service center, for
(3) Evaluate the driver for those non- the State in which the coapplicant
driving safety related job tasks associ- motor carrier’s principal place of busi-
ated with whatever type of trailer(s) ness is located. The SPE certificate re-
will be used and any other nondriving newal application shall contain the fol-
safety related or job related tasks lowing:
unique to the operations of the employ- (1) Name and complete address of
ing motor carrier; and motor carrier currently employing the
(4) Use the driver to operate the type applicant;
of commercial motor vehicle defined in (2) Name and complete address of the
the SPE certificate only when the driv- driver;
er is in compliance with the conditions (3) Effective date of the current SPE
and limitations of the SPE certificate. certificate;
(f) The driver shall supply each em- (4) Expiration date of the current
ploying motor carrier with a copy of SPE certificate;
the SPE certificate.
(5) Total miles driven under the cur-
(g) The Division Administrator/State
rent SPE certificate;
Director, FMCSA, may require the
(6) Number of accidents incurred
driver applicant to demonstrate his or
while driving under the current SPE
her ability to safely operate the com-
certificate, including date of the acci-
mercial motor vehicle(s) the driver in-
dent(s), number of fatalities, number of
tends to drive to an agent of the Divi-
injuries, and the estimated dollar
sion Administrator/State Director,
amount of property damage;
FMCSA. The SPE certificate form will
identify the power unit (bus, truck, (7) A current medical examination
truck tractor) for which the SPE cer- report;
tificate has been granted. The SPE cer- (8) A medical evaluation summary
tificate forms will also identify the pursuant to paragraph (d)(3) of this sec-
trailer type used in the Skill Perform- tion, if an unstable medical condition
ance Evaluation; however, the SPE cer- exists. All handicapped conditions clas-
tificate is not limited to that specific sified under § 391.41(b)(1) are considered
trailer type. A driver may use the SPE unstable. Refer to paragraph (d)(3)(ii)
certificate with other trailer types if a of this section for the condition under
successful trailer road test is com- § 391.41(b)(2) which may be considered
pleted in accordance with paragraph medically stable.
(e)(2) of this section. Job tasks, as stat- (9) A copy of driver’s current State
ed in paragraph (e)(3) of this section, motor vehicle driving record for the pe-
are not evaluated during the Skill Per- riod of time the current SPE certifi-
formance Evaluation. cate has been in effect;
(h) The Division Administrator/State (10) Notification of any change in the
Director, FMCSA, may deny the appli- type of tractor the driver will operate;
cation for SPE certificate or may grant (11) Driver’s signature and date
it totally or in part and issue the SPE signed; and
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certificate subject to such terms, con- (12) Motor carrier coapplicant’s sig-
ditions, and limitations as deemed con- nature and date signed.
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§ 391.49 49 CFR Ch. III (10–1–20 Edition)
set forth below and compliance with the [65 FR 25287, May 1, 2000, as amended at 65
FMCSRs. Any failure to comply with provi- FR 59380, Oct. 5, 2000; 67 FR 61824, Oct. 2, 2002;
sions herein may be cause for cancellation. 78 FR 58483, Sept. 24, 2013]
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Federal Motor Carrier Safety Administration, DOT § 391.51
Subpart F—Files and Records (iii) If that driver obtained the med-
ical certification based on having ob-
§ 391.51 General requirements for tained a medical variance from
driver qualification files. FMCSA, the motor carrier must also
(a) Each motor carrier shall maintain include a copy of the medical variance
a driver qualification file for each driv- documentation in the driver qualifica-
er it employs. A driver’s qualification tion file in accordance with
file may be combined with his/her per- § 391.51(b)(8);
sonnel file. (8) A Skill Performance Evaluation
(b) The qualification file for a driver Certificate obtained from a Field Ad-
must include: ministrator, Division Administrator,
(1) The driver’s application for em- or State Director issued in accordance
ployment completed in accordance with § 391.49; or the Medical Exemption
with § 391.21; document, issued by a Federal medical
(2) A copy of the motor vehicle record program in accordance with part 381 of
received from each State record pursu- this chapter; and
ant to § 391.23(a)(1); (9)(i) For drivers not required to have
(3) The certificate of driver’s road a CDL, a note relating to verification
test issued to the driver pursuant to of medical examiner listing on the Na-
§ 391.31(e), or a copy of the license or tional Registry of Certified Medical
certificate which the motor carrier ac- Examiners required by § 391.23(m)(1).
cepted as equivalent to the driver’s (ii) Through June 21, 2021, for drivers
road test pursuant to § 391.33; required to have a CDL, a note relating
(4) The motor vehicle record received to verification of medical examiner
from each State driver licensing agen- listing on the National Registry of Cer-
cy to the annual driver record inquiry tified Medical Examiners required by
required by § 391.25(a); § 391.23(m)(2).
(5) A note relating to the annual re- (c) Except as provided in paragraph
view of the driver’s driving record as (d) of this section, each driver’s quali-
required by § 391.25(c)(2); fication file shall be retained for as
(6) A list or certificate relating to long as a driver is employed by that
violations of motor vehicle laws and motor carrier and for three years
ordinances required by § 391.27; thereafter.
(7)(i) The medical examiner’s certifi- (d) The following records may be re-
cate as required by § 391.43(g) or a leg- moved from a driver’s qualification file
ible copy of the certificate. three years after the date of execution:
(ii) Exception. For CDL holders, if the (1) The motor vehicle record received
CDLIS motor vehicle record contains from each State driver licensing agen-
medical certification status informa- cy to the annual driver record inquiry
tion, the motor carrier employer must required by § 391.25(a);
meet this requirement by obtaining the (2) The note relating to the annual
CDLIS motor vehicle record defined at review of the driver’s driving record as
§ 384.105 of this chapter. That record required by § 391.25(c)(2);
must be obtained from the current li- (3) The list or certificate relating to
censing State and placed in the driver violations of motor vehicle laws and
qualification file. After January 30, ordinances required by § 391.27;
2015, a non-excepted, interstate CDL (4) The medical examiner’s certifi-
holder without medical certification cate required by § 391.43(g), a legible
status information on the CDLIS copy of the certificate, or for CDL driv-
motor vehicle record is designated ers any CDLIS MVR obtained as re-
‘‘not-certified’’ to operate a CMV in quired by § 391.51(b)(7)(ii);
interstate commerce. After January 30, (5) Any medical variance issued by
2015, and through June 21, 2021, a motor FMCSA, including a Skill Performance
carrier may use a copy of the driver’s Evaluation Certificate issued in ac-
current medical examiner’s certificate cordance with § 391.49; or the Medical
that was submitted to the State for up Exemption letter issued by a Federal
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to 15 days from the date it was issued medical program in accordance with
as proof of medical certification. part 381 of this chapter; and
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§ 391.53 49 CFR Ch. III (10–1–20 Edition)
(6) The note relating to verification (d) A motor carrier must make all
of medical examiner listing on the Na- records and information in this file
tional Registry of Certified Medical available to an authorized representa-
Examiners required by § 391.23(m). tive or special agent of the Federal
(Approved by the Office of Management and
Motor Carrier Safety Administration,
Budget under control number 2126–004) an authorized State or local enforce-
ment agency representative, or an au-
[63 FR 33277, June 18, 1998, as amended at 66
thorized third party, upon request or as
FR 49874, Oct. 1, 2001; 69 FR 16721, Mar. 30,
2004; 73 FR 73127, Dec. 1, 2008; 75 FR 28502, part of any inquiry within the time pe-
May 21, 2010; 77 FR 24133, Apr. 20, 2012; 79 FR riod specified by the requesting rep-
2380, Jan. 14, 2014; 80 FR 22822, Apr. 23, 2015; resentative.
83 FR 28782, June 21, 2018; 84 FR 51434, Sept.
30, 2019] (Approved by the Office of Management and
Budget under control number 2126–004)
§ 391.53 Driver investigation history [69 FR 16721, Mar. 30, 2004, as amended at 84
file. FR 51434, Sept. 30, 2019]
(a) Each motor carrier must main-
tain records relating to the investiga- § 391.55 LCV Driver-Instructor quali-
tion into the safety performance his- fication files.
tory of a new or prospective driver pur- (a) Each motor carrier must main-
suant to § 391.23(d) and (e). This file tain a qualification file for each LCV
must be maintained in a secure loca- driver-instructor it employs or uses.
tion with controlled access. The LCV driver-instructor qualifica-
(1) The motor carrier must ensure tion file may be combined with his/her
that access to this data is limited to personnel file.
those who are involved in the hiring (b) The LCV driver-instructor quali-
decision or who control access to the fication file must include the informa-
data. In addition, the motor carrier’s tion in paragraphs (b)(1) and (b)(2) of
insurer may have access to the data, this section for a skills instructor or
except the alcohol and controlled sub- the information in paragraph (b)(1) of
stances data. this section for a classroom instructor,
(2) This data must only be used for as follows:
the hiring decision. (1) Evidence that the instructor has
(b) The file must include: met the requirements of 49 CFR 380.301
(1) A copy of the driver’s written au- or 380.303;
thorization for the motor carrier to
(2) A copy of the individual’s cur-
seek information about a driver’s alco-
rently valid CDL with the appropriate
hol and controlled substances history
endorsements.
as required under § 391.23(f)(1).
(2) A copy of the response(s) received [69 FR 16738, Mar. 30, 2004; 69 FR 28846, May
for investigations required by para- 19, 2004; 83 FR 16227, Apr. 16, 2018]
graphs (d) and (e) of § 391.23 from each
previous employer, or documentation Subpart G—Limited Exemptions
of good faith efforts to contact them.
The record must include the previous § 391.61 Drivers who were regularly
employer’s name and address, the date employed before January 1, 1971.
the previous employer was contacted, The provisions of § 391.21 (relating to
and the information received about the applications for employment), § 391.23
driver from the previous employer. (relating to investigations and inquir-
Failures to contact a previous em-
ies), and § 391.33 (relating to road tests)
ployer, or of them to provide the re-
do not apply to a driver who has been
quired safety performance history in-
a single-employer driver (as defined in
formation, must be documented.
§ 390.5 of this subchapter) of a motor
(c) The safety performance histories
carrier for a continuous period which
received from previous employers for a
began before January 1, 1971, as long as
driver who is hired must be retained
he/she continues to be a single-em-
for as long as the driver is employed by
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Federal Motor Carrier Safety Administration, DOT § 391.65
§ 391.62 Limited exemptions for intra- (5) Require the person to furnish a
city zone drivers. record of violations or a certificate in
The provisions of §§ 391.11(b)(1) and accordance with § 391.27.
391.41(b)(1) through (b)(11) do not apply (b) Before a motor carrier permits a
to a person who: multiple-employer driver to drive a
(a) Was otherwise qualified to oper- commercial motor vehicle, the motor
ate and operated a commercial motor carrier must obtain his/her name, his/
vehicle in a municipality or exempt in- her social security number, and the
tracity zone thereof throughout the identification number, type and issuing
one-year period ending November 18, State of his/her commercial motor ve-
1988; hicle operator’s license. The motor car-
(b) Meets all the other requirements rier must maintain this information
of this section; for three years after employment of
(c) Operates wholly within the ex- the multiple-employer driver ceases.
empt intracity zone (as defined in 49 [63 FR 33278, June 18, 1998, as amended at 79
CFR 390.5); FR 59457, Oct. 2, 2014]
(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) [Reserved]
(e) Has a medical or physical condi- (b) The provisions of § 391.41(b)(10) do
tion which: not apply to a driver who was a partici-
(1) Would have prevented such person pant in good standing on March 31,
from operating a commercial motor ve- 1996, in a waiver study program con-
hicle under the Federal Motor Carrier cerning the operation of commercial
Safety Regulations contained in this motor vehicles by drivers with visual
subchapter; impairment in one eye; provided:
(2) Existed on July 1, 1988, or at the (1) The driver is physically examined
time of the first required physical ex- every year, including an examination
amination after that date; and by an ophthalmologist or optometrist
(3) The examining physician has de- attesting to the fact that the driver:
termined this condition has not sub- (i) Is otherwise qualified under
stantially worsened since July 1, 1988, § 391.41; and
or at the time of the first required (ii) Continues to measure at least 20/
physical examination after that date. 40 (Snellen) in the better eye.
[61 FR 13346, Mar. 26, 1996; 61 FR 17253, Apr. (2) The driver provides a copy of the
19, 1996] ophthalmologist or optometrist report
to the medical examiner at the time of
§ 391.63 Multiple-employer drivers. the annual medical examination.
(a) If a motor carrier employs a per- (3) The driver provides a copy of the
son as a multiple-employer driver (as annual medical certification to the em-
defined in § 390.5 of this subchapter), ployer for retention in the driver’s
the motor carrier shall comply with all qualification file and retains a copy of
requirements of this part, except that the certification on his/her person
the motor carrier need not— while driving for presentation to a duly
(1) Require the person to furnish an authorized federal, state or local en-
application for employment in accord- forcement official.
ance with § 391.21; [61 FR 13346, Mar. 26, 1996, as amended at 83
(2) Make the investigations and in- FR 47521, Sept. 19, 2018]
quiries specified in § 391.23 with respect
to that person; § 391.65 Drivers furnished by other
(3) Perform the annual driving record motor carriers.
inquiry required by § 391.25(a); (a) A motor carrier may employ a
(4) Perform the annual review of the driver who is not a single-employer
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§ 391.67 49 CFR Ch. III (10–1–20 Edition)
the generally applicable driver quali- ity of the certificate. This contact may
fication file requirements in this part, be made in person, by telephone, or by
if— letter.
(1) The driver is a single-employer (2) Retain a copy of that certificate
driver for another motor carrier; and in its files for three years.
(2) That other motor carrier certifies (c) A motor carrier which certifies a
that the driver is fully qualified to driver’s qualifications under this sec-
drive a commercial motor vehicle in a tion shall be responsible for the accu-
written statement which— racy of the certificate. The certificate
(i) Is signed and dated by an officer is no longer valid if the driver leaves
or authorized employee of the motor the employment of the motor carrier
carrier that employs the single-em- which issued the certificate or is no
ployer driver; longer qualified under the rules in this
(ii) Contains the driver’s name and part.
signature;
(iii) Certifies that the driver has been [41 FR 36656, Aug. 31, 1976, as amended at 53
employed as a single-employer driver. FR 18057, May 19, 1988; 60 FR 38745, July 28,
(iv) Certifies that the driver is fully 1995; 63 FR 33278, June 18, 1998; 67 FR 61824,
Oct. 2, 2002; 78 FR 58483, Sept. 24, 2013]
qualified to drive a commercial motor
vehicle under the rules in part 391 of § 391.67 Farm vehicle drivers of articu-
the Federal Motor Carrier Safety Regu- lated commercial motor vehicles.
lations;
(v) States the expiration date of the The following rules in this part do
driver’s medical examiner’s certificate; not apply to a farm vehicle driver (as
(vi) Specifies an expiration date for defined in § 390.5 of this subchapter)
the certificate, which shall be not who is 18 years of age or older and who
longer than 2 years or, if earlier, the drives an articulated commercial
expiration date of the driver’s current motor vehicle:
medical examiner’s certificate; and (a) Section 391.11(b)(1), (b)(6) and
(vii) Is substantially in accordance (b)(8) (relating to general qualifica-
with the following form: tions of drivers);
llllllllll(Name of driver) (b) Subpart C (relating to disclosure
llllllllll(SS No.) of, investigation into, and inquiries
llllllllll(Signature of driver) about the background, character, and
driving record of drivers);
I certify that the above named driv-
er, as defined in § 390.5, is a single-em- (c) Subpart D (relating to road tests);
ployer driver driving a commercial and
motor vehicle operated by the below (d) Subpart F (relating to mainte-
named carrier and is fully qualified nance of files and records).
under part 391, Federal Motor Carrier [63 FR 33278, June 18, 1998]
Safety Regulations. His/her current
medical examiner’s certificate expires § 391.68 Private motor carrier of pas-
on lll(Date). sengers (nonbusiness).
This certificate expires: The following rules in this part do
(Date not later than expiration date of not apply to a private motor carrier of
medical certificate) passengers (nonbusiness) and its driv-
Issued onlll(date) ers:
Issued bylllll (a) Section 391.11(b)(1), (b)(6) and
(Name of carrier) (b)(8) (relating to general qualifica-
(Address) tions of drivers);
(Signature) (b) Subpart C (relating to disclosure
(Title) of, investigation into, and inquiries
(b) A motor carrier that obtains a about the background, character, and
certificate in accordance with para- driving record of, drivers);
graph (a)(2) of this section shall: (c) So much of §§ 391.41 and 391.45 as
(1) Contact the motor carrier which require a driver to be medically exam-
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Federal Motor Carrier Safety Administration, DOT Pt. 391, App. A
501
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Pt. 391, App. A 49 CFR Ch. III (10–1–20 Edition)
Has no current clinical diagnosis of myocar- direct conflict with highway safety. Even the
dial infarction, angina pectoris, coronary in- slightest impairment in respiratory function
sufficiency, thrombosis or any other cardio- under emergency conditions (when greater
vascular disease of a variety known to be ac- oxygen supply is necessary for performance)
companied by syncope, dyspnea, collapse or may be detrimental to safe driving.
congestive cardiac failure. 3. There are many conditions that interfere
2. The term ‘‘has no current clinical diag- with oxygen exchange and may result in in-
nosis of’’ is specifically designed to encom- capacitation, including emphysema, chronic
pass: ‘‘a clinical diagnosis of’’ a current car- asthma, carcinoma, tuberculosis, chronic
diovascular condition, or a cardiovascular bronchitis and sleep apnea. If the medical ex-
condition which has not fully stabilized re- aminer detects a respiratory dysfunction,
gardless of the time limit. The term ‘‘known that in any way is likely to interfere with
to be accompanied by’’ is designed to include the driver’s ability to safely control and
a clinical diagnosis of a cardiovascular dis- drive a commercial motor vehicle, the driver
ease which is accompanied by symptoms of must be referred to a specialist for further
syncope, dyspnea, collapse or congestive car- evaluation and therapy. Anticoagulation
diac failure; and/or which is s likely to cause therapy for deep vein thrombosis and/or pul-
syncope, dyspnea, collapse or congestive car- monary thromboembolism is not medically
diac failure. disqualifying once optimum dose is achieved,
3. It is the intent of the Federal Motor Car- provided lower extremity venous examina-
rier Safety Regulations to render unquali- tions remain normal and the treating physi-
fied, a driver who has a current cardio- cian gives a favorable recommendation.
vascular disease which is accompanied by
and/or likely to cause symptoms of syncope, F. Hypertension: § 391.41(b)(6)
dyspnea, collapse, or congestive cardiac fail-
ure. However, the subjective decision of 1. A person is physically qualified to drive
whether the nature and severity of an indi- a commercial motor vehicle if that person:
vidual’s condition will likely cause symp- Has no current clinical diagnosis of high
toms of cardiovascular insufficiency is on an blood pressure likely to interfere with abil-
individual basis and qualification rests with ity to operate a commercial motor vehicle
the medical examiner and the motor carrier. safely.
In those cases where there is an occurrence 2. Hypertension alone is unlikely to cause
of cardiovascular insufficiency (myocardial sudden collapse; however, the likelihood in-
infarction, thrombosis, etc.), it is suggested creases when target organ damage, particu-
before a driver is certified that he or she larly cerebral vascular disease, is present.
have a normal resting and stress electro- This regulatory criteria is based on the Fed-
cardiogram, no residual complications and eral Motor Carrier Safety Administration’s
no physical limitations, and is taking no Cardiovascular Advisory Guidelines for the
medication likely to interfere with safe driv- Examination of commercial motor vehicle
ing. Drivers, which used the Sixth Report of the
4. Coronary artery bypass surgery and Joint National Committee on Detection,
pacemaker implantation are remedial proce- Evaluation, and Treatment of High Blood
dures and thus, not medically disqualifying. Pressure (1997).
Implantable cardioverter defibrillators are 3. Stage 1 hypertension corresponds to a
disqualifying due to risk of syncope. systolic blood pressure of 140–159 mmHg and/
Coumadin is a medical treatment which can or a diastolic blood pressure of 90–99 mmHg.
improve the health and safety of the driver The driver with a blood pressure in this
and should not, by its use, medically dis- range is at low risk for hypertension-related
qualify the commercial motor vehicle driver. acute incapacitation and may be medically
The emphasis should be on the underlying certified to drive for a one-year period. Cer-
medical condition(s) which require treat- tification examinations should be done annu-
ment and the general health of the driver. ally thereafter and should be at or less than
The Federal Motor Carrier Safety Adminis- 140/90. If less than 160/100, certification may
tration should be contacted at (202) 366–4001 be extended one time for 3 months.
for additional recommendations regarding 4. A blood pressure of 160–179 systolic and/
the physical qualification of drivers on or 100–109 diastolic is considered Stage 2 hy-
coumadin. pertension, and the driver is not necessarily
unqualified during evaluation and institu-
E. Respiratory Dysfunction: § 391.41(b)(5) tion of treatment. The driver is given a one-
1. A person is physically qualified to drive time certification of three months to reduce
a commercial motor vehicle if that person: his or her blood pressure to less than or
Has no established medical history or clin- equal to 140/90. A blood pressure in this range
ical diagnosis of a respiratory dysfunction is an absolute indication for anti-hyper-
likely to interfere with ability to control tensive drug therapy. Provided treatment is
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and drive a commercial motor vehicle safely. well tolerated and the driver demonstrates a
2. Since a driver must be alert at all times, blood pressure value of 140/90 or less, he or
any change in his or her mental state is in she may be certified for one year from date
502
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Federal Motor Carrier Safety Administration, DOT Pt. 391, App. A
of the initial exam. The driver is certified muscular, neuromuscular or vascular dis-
annually thereafter. ease, then he/she has an established history
5. A blood pressure at or greater than 180 of that disease. The physician, when exam-
(systolic) and 110 (diastolic) is considered ining an individual, should consider the fol-
Stage 3, high risk for an acute blood pres- lowing: The nature and severity of the indi-
sure-related event. The driver may not be vidual’s condition (such as sensory loss or
qualified, even temporarily, until reduced to loss of strength); the degree of limitation
140/90 or less and treatment is well tolerated. present (such as range of motion); the likeli-
The driver may be certified for 6 months and hood of progressive limitation (not always
biannually (every 6 months) thereafter if at present initially but may manifest itself
recheck blood pressure is 140/90 or less. over time); and the likelihood of sudden in-
6. Annual recertification is recommended capacitation. If severe functional impair-
if the medical examiner does not know the ment exists, the driver does not qualify. In
severity of hypertension prior to treatment. cases where more frequent monitoring is re-
An elevated blood pressure finding should be quired, a certificate for a shorter period of
confirmed by at least two subsequent meas- time may be issued.
urements on different days.
7. Treatment includes nonpharmacologic H. Epilepsy: § 391.41(b)(8)
and pharmacologic modalities as well as 1. A person is physically qualified to drive
counseling to reduce other risk factors. Most a commercial motor vehicle if that person:
antihypertensive medications also have side Has no established medical history or clin-
effects, the importance of which must be ical diagnosis of epilepsy or any other condi-
judged on an individual basis. Individuals tion which is likely to cause loss of con-
must be alerted to the hazards of these medi- sciousness or any loss of ability to control a
cations while driving. Side effects of som- motor vehicle.
nolence or syncope are particularly undesir- 2. Epilepsy is a chronic functional disease
able in commercial motor vehicle drivers. characterized by seizures or episodes that
8. Secondary hypertension is based on the occur without warning, resulting in loss of
above stages. Evaluation is warranted if pa- voluntary control which may lead to loss of
tient is persistently hypertensive on maxi- consciousness and/or seizures. Therefore, the
mal or near-maximal doses of 2–3 pharmaco- following drivers cannot be qualified:
logic agents. Some causes of secondary hy- (i) A driver who has a medical history of
pertension may be amenable to surgical epilepsy;
intervention or specific pharmacologic dis- (ii) A driver who has a current clinical di-
ease. agnosis of epilepsy; or
(ii) A driver who is taking antiseizure
G. Rheumatic, Arthritic, Orthopedic, Muscular,
medication.
Neuromuscular or Vascular Disease:
3. If an individual has had a sudden episode
§ 391.41(b)(7)
of a nonepileptic seizure or loss of conscious-
1. A person is physically qualified to drive ness of unknown cause which did not require
a commercial motor vehicle if that person: antiseizure medication, the decision as to
Has no established medical history or clin- whether that person’s condition will likely
ical diagnosis of rheumatic, arthritic, ortho- cause loss of consciousness or loss of ability
pedic, muscular, neuromuscular or vascular to control a motor vehicle is made on an in-
disease which interferes with the ability to dividual basis by the medical examiner in
control and operate a commercial motor ve- consultation with the treating physician. Be-
hicle safely. fore certification is considered, it is sug-
2. Certain diseases are known to have gested that a 6 month waiting period elapse
acute episodes of transient muscle weakness, from the time of the episode. Following the
poor muscular coordination (ataxia), abnor- waiting period, it is suggested that the indi-
mal sensations (paresthesia), decreased mus- vidual have a complete neurological exam-
cular tone (hypotonia), visual disturbances ination. If the results of the examination are
and pain which may be suddenly incapaci- negative and antiseizure medication is not
tating. With each recurring episode, these required, then the driver may be qualified.
symptoms may become more pronounced and 4. In those individual cases where a driver
remain for longer periods of time. Other dis- has a seizure or an episode of loss of con-
eases have more insidious onsets and display sciousness that resulted from a known med-
symptoms of muscle wasting (atrophy), ical condition (e.g., drug reaction, high tem-
swelling and paresthesia which may not sud- perature, acute infectious disease, dehydra-
denly incapacitate a person but may restrict tion or acute metabolic disturbance), certifi-
his/her movements and eventually interfere cation should be deferred until the driver has
with the ability to safely operate a motor ve- fully recovered from that condition and has
hicle. In many instances these diseases are no existing residual complications, and not
degenerative in nature or may result in dete- taking antiseizure medication.
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Pt. 391, App. A 49 CFR Ch. III (10–1–20 Edition)
commercial motor vehicle in interstate com- J. Vision: § 391.41(b)(10)
merce. Interstate drivers with a history of a 1. A person is physically qualified to drive
single unprovoked seizure may be qualified a commercial motor vehicle if that person:
to drive a commercial motor vehicle in Has distant visual acuity of at least 20/40
interstate commerce if seizure-free and off (Snellen) in each eye with or without correc-
antiseizure medication for a 5-year period or tive lenses or visual acuity separately cor-
more. rected to 20/40 (Snellen) or better with cor-
rective lenses, distant binocular acuity of at
I. Mental Disorders: § 391.41(b)(9) least 20/40 (Snellen) in both eyes with or
1. A person is physically qualified to drive without corrective lenses, field of vision of
at least 70 degrees in the horizontal meridian
a commercial motor vehicle if that person:
in each eye, and the ability to recognize the
Has no mental, nervous, organic or func-
colors of traffic signals and devices showing
tional disease or psychiatric disorder likely standard red, green, and amber.
to interfere with ability to drive a motor ve- 2. The term ‘‘ability to recognize the colors
hicle safely. of’’ is interpreted to mean if a person can
2. Emotional or adjustment problems con- recognize and distinguish among traffic con-
tribute directly to an individual’s level of trol signals and devices showing standard
memory, reasoning, attention, and judg- red, green and amber, he or she meets the
ment. These problems often underlie phys- minimum standard, even though he or she
ical disorders. A variety of functional dis- may have some type of color perception defi-
orders can cause drowsiness, dizziness, confu- ciency. If certain color perception tests are
sion, weakness or paralysis that may lead to administered, (such as Ishihara,
incoordination, inattention, loss of func- Pseudoisochromatic, Yarn) and doubtful
tional control and susceptibility to accidents findings are discovered, a controlled test
while driving. Physical fatigue, headache, using signal red, green and amber may be
impaired coordination, recurring physical employed to determine the driver’s ability to
ailments and chronic ‘‘nagging’’ pain may be recognize these colors.
3. Contact lenses are permissible if there is
present to such a degree that certification
sufficient evidence to indicate that the driv-
for commercial driving is inadvisable. So-
er has good tolerance and is well adapted to
matic and psychosomatic complaints should their use. Use of a contact lens in one eye for
be thoroughly examined when determining distance visual acuity and another lens in
an individual’s overall fitness to drive. Dis- the other eye for near vision is not accept-
orders of a periodically incapacitating na- able, nor telescopic lenses acceptable for the
ture, even in the early stages of develop- driving of commercial motor vehicles.
ment, may warrant disqualification. 4. If an individual meets the criteria by the
3. Many bus and truck drivers have docu- use of glasses or contact lenses, the fol-
mented that ‘‘nervous trouble’’ related to lowing statement shall appear on the Med-
neurotic, personality, or emotional or ad- ical Examiner’s Certificate: ‘‘Qualified only
justment problems is responsible for a sig- if wearing corrective lenses.’’ commercial
nificant fraction of their preventable acci- motor vehicle drivers who do not meet the
dents. The degree to which an individual is Federal vision standard may call (202) 366–
able to appreciate, evaluate and adequately 4001 for an application for a vision exemp-
respond to environmental strain and emo- tion.
tional stress is critical when assessing an in- K. Hearing: § 391.41(b)(11)
dividual’s mental alertness and flexibility to
cope with the stresses of commercial motor 1. A person is physically qualified to drive
vehicle driving. a commercial motor vehicle if that person:
4. When examining the driver, it should be First perceives a forced whispered voice in
the better ear at not less than 5 feet with or
kept in mind that individuals who live under