Oct. 1, 2005 CODE OF FEDERAL REGULATIONS 49 Parts 300 to 399 Revised as of October 1, 2005 Transportation Containing a codification of documents of general applicability and future effect As of October 1, 2005 With Ancillaries

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As of October 1, 2005

Title 49, Parts 200 to 399

Revised as of October 1, 2004

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Title 49, Parts 200 to 299

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Parts 300 to 399

 Table of Contents Page Explanation v Title 49: Subtitle B—Other Regulations Relating to Transportation—(Continued): Chapter III—Federal Motor Carrier Safety Administration, Department of Transportation 5 Finding Aids: Material Approved for Incorporation by Reference 523 Table of CFR Titles and Chapters 525 Alphabetical List of Agencies Appearing in the CFR 543 List of CFR Sections Affected 553

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 Raymond A. Mosley, Director, Office of the Federal Register. October 1, 2005. THIS TITLE

Title 49—Transportation is composed of nine volumes. The parts in these volumes are arranged in the following order: Parts 1-99, parts 100-185, parts 186-199, parts 200-299, parts 300-399, parts 400-599, parts 600-999, parts 1000-1199, part 1200 to End. The first volume (parts 1-99) contains current regulations issued under subtitle A—Office of the Secretary of Transportation; the second volume (parts 100-185) and the third volume (parts 186-199) contain the current regulations issued under chapter I—Pipeline and Hazardous Materials Safety Administration (DOT); the fourth volume (parts 200-299) contains the current regulations issued under chapter II—Federal Railroad Administration (DOT); the fifth volume (parts 300-399) contains the current regulations issued under chapter III—Federal Motor Carrier Safety Administration (DOT); the sixth volume (parts 400-599) contains the current regulations issued under chapter IV—Coast Guard (DHS), chapter V—National Highway Traffic Safety Administration (DOT); the seventh volume (parts 600-999) contains the current regulations issued under chapter VI—Federal Transit Administration (DOT), chapter VII—National Railroad Passenger Corporation (AMTRAK), and chapter VIII—National Transportation Safety Board; the eighth volume (parts 1000-1199) contains the current regulations issued under chapter X—Surface Transportation Board and the ninth volume (part 1200 to End) contains the current regulations issued under chapter X—Surface Transportation Board, chapter XI—Research and Innovative Technology Administration, and chapter XII—Transportation Security Administration, Department of Transportation. The contents of these volumes represent all current regulations codified under this title of the CFR as of October 1, 2005.

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

For this volume, Robert J. Sheehan was Chief Editor. The Code of Federal Regulations publication program is under the direction of Frances D. McDonald, assisted by Alomha S. Morris.

 <LRH>49 CFR Ch. III (10-1-05 Edition)</LRH> <RRH>Federal Motor Carrier Safety Administration, DOT</RRH> <CFRTITLE> <TITLEHD> <PRTPAGE P="1"/> <HD SOURCE="HED">Title 49—Transportation</HD> <P>(This book contains parts 300 to 399)</P> </TITLEHD> <CFRTOC> <PTHD>Part</PTHD> <SUBTI> <HD SOURCE="HED">SUBTITLE B—<E T="04">Other Regulations Relating To Transportation</E>—(Continued)</HD> </SUBTI> <CHAPTI> <SUBJECT> <E T="04">chapter iii</E>—Federal Motor Carrier Safety Administration, Department of Transportation</SUBJECT> <PG>301</PG> </CHAPTI> </CFRTOC> </CFRTITLE> <SUBTITLE> <PRTPAGE P="3"/> <HD SOURCE="HED">Subtitle B—Other Regulations Relating To Transportation (Continued)</HD> <CHAPTER> <TOC> <TOCHD> <PRTPAGE P="5"/> <HD SOURCE="HED">CHAPTER III—FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION,</HD> <HD SOURCE="HED">DEPARTMENT OF TRANSPORTATION</HD> </TOCHD> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>For nomenclature changes to chapter III see 59 FR 60323, Nov. 23, 1994, 60 FR 38742, July 28, 1995, and 69 FR 18803, Apr. 9, 2004.</P> </EDNOTE> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER A—GENERAL REGULATIONS</HD> </SUBCHAP> <PTHD>Part</PTHD> <PGHD>Page</PGHD> <CHAPTI> <PT>301</PT> <RESERVED>[Reserved]</RESERVED> <PT>303</PT> <SUBJECT>Civil Rights</SUBJECT> <PG>7</PG> <PT>325</PT> <SUBJECT>Compliance with interstate motor carrier noise emission standards</SUBJECT> <PG>7</PG> </CHAPTI> <SUBCHAP> <HD SOURCE="HED">SUBCHAPTER B—FEDERAL MOTOR CARRIER SAFETY REGULATIONS</HD> </SUBCHAP> <CHAPTI> <PT>350</PT> <SUBJECT>Commercial motor carrier safety assistance program</SUBJECT> <PG>19</PG> <PT>355</PT> <SUBJECT>Compatibility of State laws and regulations affecting interstate motor carrier operations</SUBJECT> <PG>32</PG> <PT>356</PT> <SUBJECT>Motor carrier routing regulations</SUBJECT> <PG>35</PG> <PT>360</PT> <SUBJECT>Fees for motor carrier registration and insurance</SUBJECT> <PG>37</PG> <PT>365</PT> <SUBJECT>Rules governing applications for operating authority</SUBJECT> <PG>40</PG> <PT>366</PT> <SUBJECT>Designation of process agent</SUBJECT> <PG>52</PG> <PT>367</PT> <SUBJECT>Standards for registration with States</SUBJECT> <PG>53</PG> <PT>368</PT> <SUBJECT>Application for a certificate of registration to operate in municipalities in the United States on the United States-Mexico international border or within the commercial zones of such municipalities</SUBJECT> <PG>57</PG> <PT>370</PT> <SUBJECT>Principles and practices for the investigation and voluntary disposition of loss and damage claims and processing salvage</SUBJECT> <PG>59</PG> <PT>371</PT> <SUBJECT>Brokers of property</SUBJECT> <PG>62</PG> <PT>372</PT> <SUBJECT>Exemptions, commercial zones, and terminal areas</SUBJECT> <PG>63</PG> <PT>373</PT> <SUBJECT>Receipts and bills</SUBJECT> <PG>76</PG> <PT>374</PT> <SUBJECT>Passenger carrier regulations</SUBJECT> <PG>78<PRTPAGE P="6"/> </PG> <PT>375</PT> <SUBJECT>Transportation of household goods in interstate commerce; consumer protection regulations</SUBJECT> <PG>85</PG> <PT>376</PT> <SUBJECT>Lease and interchange of vehicles</SUBJECT> <PG>124</PG> <PT>377</PT> <SUBJECT>Payment of transportation charges</SUBJECT> <PG>131</PG> <PT>378</PT> <SUBJECT>Procedures governing the processing, investigation, and disposition of overcharge, duplicate payment, or overcollection claims</SUBJECT> <PG>135</PG> <PT>379</PT> <SUBJECT>Preservation of records</SUBJECT> <PG>137</PG> <PT>380</PT> <SUBJECT>Special training requirements</SUBJECT> <PG>142</PG> <PT>381</PT> <SUBJECT>Waivers, exemptions, and pilot programs</SUBJECT> <PG>152</PG> <PT>382</PT> <SUBJECT>Controlled substances and alcohol use and testing</SUBJECT> <PG>159</PG> <PT>383</PT> <SUBJECT>Commercial driver's license standards; requirements and penalties</SUBJECT> <PG>177</PG> <PT>384</PT> <SUBJECT>State compliance with commercial driver's license program</SUBJECT> <PG>206</PG> <PT>385</PT> <SUBJECT>Safety fitness procedures</SUBJECT> <PG>215</PG> <PT>386</PT> <SUBJECT>Rules of practice for motor carrier, broker, freight forwarder, and hazardous materials proceedings</SUBJECT> <PG>245</PG> <PT>387</PT> <SUBJECT>Minimum levels of financial responsibility for motor carriers</SUBJECT> <PG>281</PG> <PT>388</PT> <SUBJECT>Cooperative agreements with States</SUBJECT> <PG>303</PG> <PT>389</PT> <SUBJECT>Rulemaking procedures—Federal motor carrier safety regulations</SUBJECT> <PG>304</PG> <PT>390</PT> <SUBJECT>Federal motor carrier safety regulations; general</SUBJECT> <PG>307</PG> <PT>391</PT> <SUBJECT>Qualifications of drivers and longer combination vehicle (LCV) driver instructors</SUBJECT> <PG>320</PG> <PT>392</PT> <SUBJECT>Driving of commercial motor vehicles</SUBJECT> <PG>352</PG> <PT>393</PT> <SUBJECT>Parts and accessories necessary for safe operation</SUBJECT> <PG>361</PG> <PT>394</PT> <RESERVED>[Reserved]</RESERVED> <PT>395</PT> <SUBJECT>Hours of service of drivers</SUBJECT> <PG>450</PG> <PT>396</PT> <SUBJECT>Inspection, repair, and maintenance</SUBJECT> <PG>463</PG> <PT>397</PT> <SUBJECT>Transportation of hazardous materials; driving and parking rules</SUBJECT> <PG>469</PG> <PT>398</PT> <SUBJECT>Transportation of migrant workers</SUBJECT> <PG>486</PG> <PT>399</PT> <SUBJECT>Employee safety and health standards</SUBJECT> <PG>493</PG> </CHAPTI> <APPHED>Appendix A to Subchapter B [Reserved]</APPHED> <APP>Appendix B to Subchapter B—Special Agents</APP> <PG>496</PG> <APPHED>Appendixes C-E to Subchapter B [Reserved]</APPHED> <APP>Appendix F to Subchapter B—Commercial Zones</APP> <PG>497</PG> <APP>Appendix G to Subchapter B—Minimum Periodic Inspection Standards</APP> <PG>515</PG> </TOC> <SUBCHAP TYPE="N"> <PRTPAGE P="7"/> <HD SOURCE="HED">SUBCHAPTER A—GENERAL REGULATIONS</HD> <PART> <RESERVED>PART 301 [RESERVED]</RESERVED> </PART> <PART> <EAR>Pt. 303</EAR> <HD SOURCE="HED">PART 303—CIVIL RIGHTS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>303.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>303.3</SECTNO> <SUBJECT>Application of this part.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>Public Law 105-159, 113 Stat. 1748, Title I, sections 107(a) and 106 (Dec. 9, 1999) (49 U.S.C. 113); 42 U.S.C. 2000d, <E T="03">et seq.</E>; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>70 FR 7414, Feb. 14, 2005, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 303.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>The purpose of this part is to provide guidelines and procedures for implementing the Federal Motor Carrier Safety Administration's (FMCSA) Title VI program under Title VI of the Civil Rights Act of 1964 and related civil rights laws and regulations. For FMCSA-only programs or activities, Federal financial assistance recipients or grantees will continue to apply and use the Departmental Title VI provisions at 49 CFR part 21. For joint and multi-agency programs/projects, FMCSA Federal assistance recipients or grantees must use the Title VI requirements at 49 CFR part 21, unless agreement is reached by the Federal funding agencies for the recipients to use the Title VI procedures of another agency.</P> </SECTION> <SECTION> <SECTNO>§ 303.3</SECTNO> <SUBJECT>Application of this part.</SUBJECT> <P>The provisions of this part are applicable to all elements of the FMCSA and to any program or activity for which Federal financial assistance is authorized under a law administered by the FMCSA. This part provides Title VI guidelines for State Departments of Transportation and local State agencies, including their sub-recipients, to implement Title VI. It also applies to money paid, property transferred, or other Federal financial assistance extended under any program of the FMCSA after the date of this part.</P> </SECTION> </PART> <PART> <EAR>Pt. 325</EAR> <HD SOURCE="HED">PART 325—COMPLIANCE WITH INTERSTATE MOTOR CARRIER NOISE EMISSION STANDARDS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECHD>Sec.</SECHD> <SECTNO>325.1</SECTNO> <SUBJECT>Scope of the rules in this part.</SUBJECT> <SECTNO>325.3</SECTNO> <SUBJECT>Effective date.</SUBJECT> <SECTNO>325.5</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>325.7</SECTNO> <SUBJECT>Allowable noise levels.</SUBJECT> <SECTNO>325.9</SECTNO> <SUBJECT>Measurement tolerances.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Administrative Provisions</HD> <SECTNO>325.11</SECTNO> <SUBJECT>Issuance, amendment, and revocation of the rules in this part.</SUBJECT> <SECTNO>325.13</SECTNO> <SUBJECT>Inspection and examination of motor vehicles.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Instrumentation</HD> <SECTNO>325.21</SECTNO> <SUBJECT>Scope of the rules in this subpart.</SUBJECT> <SECTNO>325.23</SECTNO> <SUBJECT>Type of measurement systems which may be used.</SUBJECT> <SECTNO>325.25</SECTNO> <SUBJECT>Calibration of measurement systems.</SUBJECT> <SECTNO>325.27</SECTNO> <SUBJECT>Use of a windscreen.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Measurement of Noise Emissions; Highway Operations</HD> <SECTNO>325.31</SECTNO> <SUBJECT>Scope of the rules in this subpart.</SUBJECT> <SECTNO>325.33</SECTNO> <SUBJECT>Site characteristics; highway operations.</SUBJECT> <SECTNO>325.35</SECTNO> <SUBJECT>Ambient conditions; highway operations.</SUBJECT> <SECTNO>325.37</SECTNO> <SUBJECT>Location and operation of sound level measurement system; highway operations.</SUBJECT> <SECTNO>325.39</SECTNO> <SUBJECT>Measurement procedure; highway operations.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Measurement of Noise Emissions; Stationary Test</HD> <SECTNO>325.51</SECTNO> <SUBJECT>Scope of the rules in this subpart.</SUBJECT> <SECTNO>325.53</SECTNO> <SUBJECT>Site characteristics; stationary test.</SUBJECT> <SECTNO>325.55</SECTNO> <SUBJECT>Ambient conditions; stationary test.</SUBJECT> <SECTNO>325.57</SECTNO> <SUBJECT>Location and operation of sound level measurement systems; stationary test.</SUBJECT> <SECTNO>325.59</SECTNO> <SUBJECT>Measurement procedure; stationary test.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Correction Factors</HD> <SECTNO>325.71</SECTNO> <SUBJECT>Scope of the rules in this subpart.</SUBJECT> <SECTNO>325.73</SECTNO> <SUBJECT>Microphone distance correction factors.</SUBJECT> <SECTNO>325.75</SECTNO> <SUBJECT>Ground surface correction factors.</SUBJECT> <SECTNO>325.77</SECTNO> <SUBJECT>Computation of open site requirements—nonstandard sites.</SUBJECT> <SECTNO>325.79</SECTNO> <SUBJECT>Application of correction factors.</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="8"/> <HD SOURCE="HED">Subpart G—Exhaust Systems and Tires</HD> <SECTNO>325.91</SECTNO> <SUBJECT>Exhaust systems.</SUBJECT> <SECTNO>325.93</SECTNO> <SUBJECT>Tires.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>42 U.S.C. 4917; 49 U.S.C. 301; 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>40 FR 42437, Sept. 12, 1975, unless otherwise noted.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 325 appear at 66 FR 49869, Oct. 1, 2001.</P> </EDNOTE> <SUBPART> <HD SOURCE="HED">Subpart A—General Provisions</HD> <SECTION> <SECTNO>§ 325.1</SECTNO> <SUBJECT>Scope of the rules in this part.</SUBJECT> <P>(a) The rules in this part prescribe procedures for inspection, surveillance, and measurement of motor vehicles and motor vehicle equipment operated by motor carriers to determine whether those vehicles and that equipment conform to the Interstate Motor Carrier Noise Emission Standards of the Environmental Protection Agency, 40 CFR part 202.</P> <P>(b) Except as provided in paragraph (c) of this section, the rules in this part apply to motor carriers engaged in interstate commerce. The rules apply at any time or under any condition of highway grade, load, acceleration or deceleration.</P> <P>(c) The rules in this part do not apply to—</P> <P>(1) A motor vehicle that has a Gross Vehicle Weight Rating (GVWR) of 10,000 pounds (4,536 kg.) or less;</P> <P>(2) A combination of motor vehicles that has a Gross Combination Weight Rating (GCWR) of 10,000 pounds (4,536 kg.) or less;</P> <P>(3) The sound generated by a warning device, such as a horn or siren, installed in a motor vehicle, unless such device is intentionally sounded in order to preclude an otherwise valid noise emission measurement;</P> <P>(4) An emergency motor vehicle, such as a fire engine, an ambulance, a police van, or a rescue van, when it is responding to an emergency call;</P> <P>(5) A snow plow in operation; or</P> <P>(6) The sound generated by auxiliary equipment which is normally operated only when the motor vehicle on which it is installed is stopped or is operating at a speed of 5 miles per hour (8 kph) or less, unless such device is intentionally operated at speeds greater than 5 mph (8 kph) in order to preclude an otherwise valid noise measurement. Examples of that type of auxiliary equipment include, but are not limited to, cranes, asphalt, spreaders, ditch diggers, liquid or slurry pumps, auxiliary air compressors, welders, and trash compactors.</P> </SECTION> <SECTION> <SECTNO>§ 325.3</SECTNO> <SUBJECT>Effective date.</SUBJECT> <P>The rules in this part are effective on October 15, 1975.</P> </SECTION> <SECTION> <SECTNO>§ 325.5</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Statutory definitions.</E> All terms defined in the Noise Control Act of 1972 (Pub. L. 92-574, 86 Stat. 1234) are used as they are defined in that Act.</P> <P>(b) <E T="03">Definitions in standards.</E> All terms defined in § 202.10 of the Interstate Motor Carrier Noise Emission Standards, 40 CFR 202.10, are used as they are defined in that section.</P> <P>(c) <E T="03">Additional definitions.</E> (1) <E T="03">Hard test site</E> means any test site having the ground surface covered with concrete, asphalt, packed dirt, gravel, or similar reflective material for more than <FR>1/2</FR> the distance between the microphone target point and the microphone location point.</P> <P>(2) <E T="03">Soft test site</E> means any test site having the ground surface covered with grass, other ground cover, or similar absorptive material for <FR>1/2</FR> or more of the distance between the microphone target point and the microphone location point.</P> <P>(3) <E T="03">Ground cover</E> means any of various low, dense-growing plants, such as ivy, myrtle, low weeds, or brush.</P> <P>(4) <E T="03">Traffic railing</E> means any longitudinal highway traffic barrier system installed along the side or median of a highway. For the purpose of this part, a traffic railing must have at least 35 percent of its vertical height, from the ground surface to the top of the railing, open to free space in order to qualify as an acceptable object within a noise measurement test site. Further, for the purposes of this part, posts or other discrete supports shall be ignored when ascertaining open free space.</P> <P>(5) <E T="03">Relatively flat</E> when used to describe a noise measurement site means a site which does not contain significant concave curvatures or slope reversals that may result in the focusing of <PRTPAGE P="9"/>sound waves toward the microphone location point.</P> </SECTION> <SECTION> <SECTNO>§ 325.7</SECTNO> <SUBJECT>Allowable noise levels.</SUBJECT> <P>Motor vehicle noise emissions, when measured according to the rules of this part, shall not exceed the values specified in Table 1.</P> <GPOTABLE CDEF="s100,8,8,8,8,9,9" COLS="7" OPTS="L2"> <TTITLE>Table 1—Maximum Permissible Sound Level Readings (Decibel (A)) <SU>1, 2</SU> </TTITLE> <BOXHD> <CHED H="1"/> <CHED H="1">Highway operation test</CHED> <CHED H="2">Soft site</CHED> <CHED H="3">35 mi/h or less</CHED> <CHED H="3">Above 35 mi/h</CHED> <CHED H="2">Hard Site</CHED> <CHED H="3">35 mi/h or less</CHED> <CHED H="3">Above 35 mi/h</CHED> <CHED H="1">Stationary tests</CHED> <CHED H="2">Soft site</CHED> <CHED H="2">Hard site</CHED> </BOXHD> <ROW> <ENT I="11">If the distance between the microphone location point and the microphone target point is—</ENT> </ROW> <ROW> <ENT I="03">31 ft ( 9.5m) or more but less than 35 ft (10.7m)</ENT> <ENT>87</ENT> <ENT>91</ENT> <ENT>89</ENT> <ENT>93</ENT> <ENT>89</ENT> <ENT>91</ENT> </ROW> <ROW> <ENT I="03">35 ft (10.7m) or more but less than 39 ft (11.9m)</ENT> <ENT>86</ENT> <ENT>90</ENT> <ENT>88</ENT> <ENT>92</ENT> <ENT>88</ENT> <ENT>90</ENT> </ROW> <ROW> <ENT I="03">39 ft (11.9m) or more but less than 43 ft (13.1m)</ENT> <ENT>85</ENT> <ENT>89</ENT> <ENT>87</ENT> <ENT>91</ENT> <ENT>87</ENT> <ENT>89</ENT> </ROW> <ROW> <ENT I="03">43 ft (13.1m) or more but less than 48 ft (14.6m)</ENT> <ENT>84</ENT> <ENT>88</ENT> <ENT>86</ENT> <ENT>90</ENT> <ENT>86</ENT> <ENT>88</ENT> </ROW> <ROW> <ENT I="03">48 ft (14.6m) or more but less than 58 ft (17.1m)</ENT> <ENT>83</ENT> <ENT>87</ENT> <ENT>85</ENT> <ENT>89</ENT> <ENT>85</ENT> <ENT>87</ENT> </ROW> <ROW> <ENT I="03">58 ft (17.1m) or more but less than 70 ft (21.3m)</ENT> <ENT>82</ENT> <ENT>86</ENT> <ENT>84</ENT> <ENT>88</ENT> <ENT>84</ENT> <ENT>86</ENT> </ROW> <ROW> <ENT I="03">70 ft (21.3m) or more but less than 83 ft (25.3m)</ENT> <ENT>81</ENT> <ENT>85</ENT> <ENT>83</ENT> <ENT>87</ENT> <ENT>83</ENT> <ENT>85</ENT> </ROW> <TNOTE> <SU>1</SU> The speeds shown refer to measurements taken at sites having speed limits as indicated. These speed limits do not necessarily have to be posted.</TNOTE> <TNOTE> <SU>2</SU> This table is based on motor carrier noise emission requirements specified in 40 CFR 202.20 and 40 CFR 202.21.</TNOTE> </GPOTABLE> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 325.9</SECTNO> <SUBJECT>Measurement tolerances.</SUBJECT> <P>(a) Measurement tolerances will be allowed to take into account the effects of the following factors:</P> <P>(1) The consensus standard practice of reporting filed sound level measurements to the nearest whole decibel.</P> <P>(2) Variations resulting from commercial instrument tolerances.</P> <P>(3) Variations resulting from the topography of the noise measurement site.</P> <P>(4) Variations resulting from atmospheric conditions such as wind, ambient temperature, and atmospheric pressure.</P> <P>(5) Variations resulting from reflected sound from small objects allowed within the test site.</P> <P>(6) The interpretation of the effects of the above cited factors by enforcement personnel.</P> <P>(b) Measurement tolerances shall not exceed 2 decibels for a given measurement.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Administrative Provisions</HD> <SECTION> <SECTNO>§ 325.11</SECTNO> <SUBJECT>Issuance, amendment, and revocation of the rules in this part.</SUBJECT> <P>The procedures specified in part 389 of this chapter for the issuance, amendment, or revocation of the Federal Motor Carrier Safety Regulations apply to rulemaking proceedings for the issuance, amendment, or revocation of the rules in this part.</P> </SECTION> <SECTION> <SECTNO>§ 325.13</SECTNO> <SUBJECT>Inspection and examination of motor vehicles.</SUBJECT> <P>(a) Any special agent of the Federal Motor Carrier Safety Administration (designated in appendix B to subchapter B of this chapter) is authorized to inspect, examine, and test a motor vehicle operated by a motor carrier in accordance with the procedures specified in this part for the purpose of ascertaining whether the motor vehicle and equipment installed on the motor vehicle conforms to the Interstate <PRTPAGE P="10"/>Motor Carrier Noise Emission Standards of the Environmental Protection Agency, 40 CFR part 202.</P> <P>(b) A motor carrier, its officers, drivers, agents, and employees must, at any time, submit a motor vehicle used in its operations for inspection, examination, and testing for the purpose of ascertaining whether the motor vehicle and equipment installed on it conforms to the Interstate Motor Carrier Noise Emission Standards of the Environmental Protection Agency, 40 CFR part 202.</P> <P>(c) <E T="03">Prescribed inspection report.</E> Form MCS-141, Noise Level Compliance Check shall be used to record findings from motor vehicles selected for noise emission inspection by authorized employees.</P> <P>(d) <E T="03">Motor carrier's disposition of form MCS-141.</E> (1) The driver of any motor vehicle receiving a Form MCS-141 shall deliver such MCS-141 to the motor carrier operating the vehicle upon his/her arrival at the next terminal or facility of the motor carrier, if such arrival occurs within twenty-four (24) hours. If the driver does not arrive at a terminal or facility of the motor carrier operating the vehicle within twenty-four (24) hours he/she shall immediately mail the Form MCS-141 to the motor carrier. For operating convenience, motor carriers may designate any shop, terminal, facility, or person to which it may instruct its drivers to deliver or forward Form MCS-141. It shall be the sole responsibility of the motor carrier that Form MCS-141 is returned to the Federal Highway Administration, in accordance with the terms prescribed thereon and in paragraphs (d) (2) and (3) of this section. A driver, if himself/herself a motor carrier, shall return Form MCS-141 to the Federal Motor carrier Safety Administration , in accordance with the terms prescribed thereon and in paragraphs (d) (2) and (3) of this section.</P> <P>(2) Motor carriers shall carefully examine Forms MCS-141. Appropriate corrective action shall be taken on vehicles found to be not in compliance with the requirements of this part.</P> <P>(3) Motor carriers must complete the “Motor Carrier Certification of Action Taken” on Form MCS-141 in accordance with the terms prescribed thereon. Motor carriers must return Forms MCS-141 to the Division Office at the address indicated on Form MCS-141 within fifteen (15) days following the date of the vehicle inspection.</P> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976; 54 FR 50385, Dec. 6, 1989; 60 FR 38743, July 28, 1995; 66 FR 49869, Oct. 1, 2001]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Instrumentation</HD> <SECTION> <SECTNO>§ 325.21</SECTNO> <SUBJECT>Scope of the rules in this subpart.</SUBJECT> <P>The rules in this subpart specify criteria for sound level measurement systems which are used to make the sound level measurements specified in subpart D and subpart E of this part.</P> </SECTION> <SECTION> <SECTNO>§ 325.23</SECTNO> <SUBJECT>Type of measurement systems which may be used.</SUBJECT> <P>The sound level measurement system must meet or exceed the requirements of American National Standard Specification for Sound Level Meters (ANSI S1.4-1971), approved April 27, 1971, issued by the American National Standards Institute, <SU>1</SU> <FTREF/> throughout the applicable frequency range for either:</P> <FTNT> <P> <SU>1</SU> Copies of the specification may be secured from the American National Standards Institute, 1430 Broadway, New York, New York, 10018.</P> </FTNT> <P>(a) A Type 1 sound level meter;</P> <P>(b) A Type 2 sound level meter; or</P> <P>(c) A Type S sound level meter which has—</P> <P>(1) A weighing frequency response;</P> <P>(2) Fast dynamic characteristics of its indicating instrument; and</P> <P>(3) A relative response level tolerance consistent with those of either a Type 1 or Type 2 sound level meter, as specified in section 3.2 of ANSI S1.4-1971.</P> </SECTION> <SECTION> <SECTNO>§ 325.25</SECTNO> <SUBJECT>Calibration of measurement systems.</SUBJECT> <P>(a)(1) The sound level measurement system must be calibrated and appropriately adjusted at one or more frequencies in the range from 250 to 1,000 Hz at the beginning of each series of measurements and at intervals of 5-15 minutes thereafter, until it has been determined that the sound level measurement system has not significantly drifted from its calibrated level. Once <PRTPAGE P="11"/>this fact has been established, calibrations may be made at intervals once every hour. A significant drift shall be considered to have occurred if a 0.3 dB or more excursion is noted from the system's predetermined reference calibration level. In the case of systems using displays with whole decibel increments, the operator may visually judge when the 0.3 dB drift has been met or exceeded.</P> <P>(2) The sound level measurement system must be checked periodically by its manufacturer, a representative of its manufacturer, or a person of equivalent special competence to verify that its accuracy meets the manufacturer's design criteria.</P> <P>(b) An acoustical calibrator of the microphone coupler type designed for the sound level measurement system in use shall be used to calibrate the sound level measurement system in accordance with paragraph (a) of this section. The calibration must meet or exceed the accuracy requirements specified in section 5.4.1 of the American National Standard Institute Standard <E T="03">Methods for Measurements of Sound Pressure Levels</E> (ANSI S1.13-1971) for field method measurements.</P> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]</CITA> </SECTION> <SECTION> <SECTNO>§ 325.27</SECTNO> <SUBJECT>Use of a windscreen.</SUBJECT> <P>A properly installed windscreen, of the type recommended by the manufacturer of the Sound Level Measurement System, shall be used during the time that noise emission measurements are being taken.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Measurement of Noise Emissions; Highway Operations</HD> <SECTION> <SECTNO>§ 325.31</SECTNO> <SUBJECT>Scope of the rules in this subpart.</SUBJECT> <P>The rules in this subpart specify conditions and procedures for measurement of the sound level generated by a motor vehicle engaged in a highway operation for the purpose of ascertaining whether the motor vehicle conforms to the Standards for Highway Operations set forth in 40 CFR 202.20.</P> </SECTION> <SECTION> <SECTNO>§ 325.33</SECTNO> <SUBJECT>Site characteristics; highway operations.</SUBJECT> <P>(a) Measurement shall be made at a test site which is adjacent to, and includes a portion of, a traveled lane of a public highway. A microphone target point shall be established on the centerline of the traveled lane of the highway, and a microphone location point shall be established on the ground surface not less than 31 feet (9.5 m) or more than 83 feet (25.3 m) from the microphone target point and on a line that is perpendicular to the centerline of the traveled lane of the highway and that passes through the microphone target point. In the case of a standard test site, the microphone location point is 50 feet (15.2 m) from the microphone target point. Within the test site is a triangular measurement area. A plan view diagram of a standard test site, having an open site within a 50-foot (15.2 m) radius of both the microphone target point and the microphone location point, is shown in Figure 1. Measurements may be made at a test site having smaller or greater dimensions in accordance with the rules in subpart F of this part.</P> <GPH DEEP="153" SPAN="1"> <GID>EC01AP91.010</GID> </GPH> <P>(b) The test site must be an open site, essentially free of large sound-reflecting objects. However, the following objects may be within the test site, including the triangular measurement area:</P> <P>(1) Small cylindrical objects such as fire hydrants or telephone or utility poles.</P> <P>(2) Rural mailboxes.<PRTPAGE P="12"/> </P> <P>(3) Traffic railings of any type of construction except solid concrete barriers (see § 325.5(c)(4)).</P> <P>(4) One or more curbs having a vertical height of 1 foot (.3 m) or less.</P> <P>(c) The following objects may be within the test site if they are outside of the triangular measurement area of the site:</P> <P>(1) Any vertical surface (such as billboard), regardless of size, having a lower edge more than 15 feet (4.6 m) higher than the surface of the traveled lane of the highway.</P> <P>(2) Any uniformly smooth sloping surface slanting away from the highway (such as a rise in grade alongside the highway) with a slope that is less than 45 degrees above the horizontal.</P> <P>(3) Any surface slanting away from the highway that is 45 degrees or more and not more than 90 degrees above the horizontal, if all points on the surface are more than 15 feet (4.6 m) above the surface of the traveled lane of the highway.</P> <P>(d) The surface of the ground within the measurement area must be relatively flat (see § 325.5(c)(5)). The site shall be a “soft” test site. However, if the site is determined to be “hard,” the correction factor specified in § 325.75(a) of this part shall be applied to the measurement.</P> <P>(e) The traveled lane of the highway within the test site must be dry, paved with relatively smooth concrete or asphalt, and substantially free of—</P> <P>(1) Holes or other defects which would cause a motor vehicle to emit irregular tire, body, or chassis impact noise; and</P> <P>(2) Loose material, such as gravel or sand.</P> <P>(f) The traveled lane of the highway on which the microphone target point is situated must not pass through a tunnel or underpass located within 200 feet (61 m) of that point.</P> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 325.35</SECTNO> <SUBJECT>Ambient conditions; highway operations.</SUBJECT> <P>(a)(1) <E T="03">Sound.</E> The ambient A-weighted sound level at the microphone location point shall be measured, in the absence of motor vehicle noise emanating from within the clear zone, with fast meter response using a sound level measurement system that conforms to the rules of § 325.23.</P> <P>(2) The measured ambient level must be 10 dB(A) or more below that level specified in § 325.7, Table 1, which corresponds to the maximum permissible sound level reading which is applicable at the test site at the time of testing.</P> <P>(b) <E T="03">Wind.</E> The wind velocity at the test shall be measured at the beginning of each series of noise measurements and at intervals of 5-15 minutes thereafter until it has been established that the wind velocity is essentially constant. Once this fact has been established, wind velocity measurements may be made at intervals of once every hour. Noise measurements may only be made if the measured wind velocity is 12 mph (19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2 kph) are allowed.</P> <P>(c) <E T="03">Precipitation.</E> Measurements are prohibited under any condition of precipitation, however, measurements may be made with snow on the ground. The ground surface within the measurement area must be free of standing water.</P> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976; 41 FR 28267, July 9, 1976]</CITA> </SECTION> <SECTION> <SECTNO>§ 325.37</SECTNO> <SUBJECT>Location and operation of sound level measurement system; highway operations.</SUBJECT> <P>(a) The microphone of a sound level measurement system that conforms to the rules in § 325.23 of this part shall be located at a height of not less than 2 feet (.6 m) nor more than 6 feet (1.8 M) above the plane of the roadway surface and not less than 3<FR>1/2</FR> feet (1.1 m) above the surface on which the microphone stands. The preferred microphone height on flat terrain is 4 feet (1.2 m).</P> <P>(b)(1) When the sound level measurement system is hand-held or is otherwise monitored by a person located near its microphone, the holder must orient himself/herself relative to the highway in a manner consistent with the recommendation of the manufacturer of the sound level measurement system.</P> <P>(2) In no case shall the holder or observer be closer than 2 feet (.6 m) from the system's microphone, nor shall he/<PRTPAGE P="13"/>she locate himself/herself between the microphone and the vehicle being measured.</P> <P>(c) The microphone of the sound level measurement system shall be oriented toward the traveled lane of the highway at the microphone target point at an angle that is consistent with the recommendation of the system's manufacturer. If the manufacturer of the system does not recommend an angle of orientation for its microphone, the microphone shall be oriented toward the highway at an angle of not less than 70 degrees and not more than perpendicular to the horizontal plane of the traveled lane of the highway at the microphone target point.</P> <P>(d) The sound level measurement system shall be set to the A-weighting network and “fast” meter response mode.</P> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]</CITA> </SECTION> <SECTION> <SECTNO>§ 325.39</SECTNO> <SUBJECT>Measurement procedure; highway operations.</SUBJECT> <P>(a) In accordance with the rules in this subpart, a measurement shall be made of the sound level generated by a motor vehicle operating through the measurement area on the traveled lane of the highway within the test site, regardless of the highway grade, load, acceleration or deceleration.</P> <P>(b) The sound level generated by the motor vehicle is the highest reading observed on the sound level measurement system as the vehicle passes through the measurement area, corrected, when appropriate, in accordance with the rules in subpart F of this part. (Table 1 in § 325.7 lists the range of maximum permissible sound level readings for various test conditions.) The sound level of the vehicle being measured must be observed to rise at least 6 dB(A) before the maximum sound level occurs and to fall at least 6 dB(A) after the maximum sound level occurs in order to be considered a valid sound level reading.</P> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Measurement of Noise Emissions; Stationary Test</HD> <SECTION> <SECTNO>§ 325.51</SECTNO> <SUBJECT>Scope of the rules in this subpart.</SUBJECT> <P>(a) The rules in this subpart specify conditions and procedures for measuring the sound level generated by a vehicle when the vehicle's engine is rapidly accelerated from idle to governed speed at wide open throttle with the vehicle stationary, its transmission in neutral, and its clutch engaged, for the purpose of ascertaining whether the motor vehicle conforms to the Standard for Operation Under Stationary Test, 40 CFR 202.21.</P> <P>(b) The rules in this subpart apply only to a motor vehicle that is equipped with an engine speed governor.</P> <P>(c) Tests conducted in accordance with the rules of this subpart may be made on either side of the vehicle.</P> </SECTION> <SECTION> <SECTNO>§ 325.53</SECTNO> <SUBJECT>Site characteristics; stationary test.</SUBJECT> <P>(a)(1) The motor vehicle to be tested shall be parked on the test site. A microphone target point shall be established on the ground surface of the site on the centerline of the lane in which the motor vehicle is parked at a point that is within 3 feet (.9 m) of the longitudinal position of the vehicle's exhaust system outlet(s). A microphone location point shall be established on the ground surface not less than 31 feet (9.5 m) and not more than 83 feet (25.3 m) from the microphone target point. Within the test site is a triangular measurement area. A plan view diagram of a standard test site, having an open site within a 50-foot (15.2 m) radius of both the microphone target point and the microphone location point, is shown in Figure 2.</P> <GPH DEEP="132" SPAN="1"> <PRTPAGE P="14"/> <GID>EC01AP91.011</GID> </GPH> <P>(2) Measurements may be made at a test site having smaller or greater dimensions in accordance with the rules in subpart F of this part.</P> <P>(b) The test site must be an open site, essentially free of large sound-reflecting objects. However, the following objects may be within the test site, including the triangular measurement area:</P> <P>(1) Small cylindrical objects such as fire hydrants or telephone or utility poles.</P> <P>(2) Rural mailboxes.</P> <P>(3) Traffic railings of any type of construction except solid concrete barriers (see § 325.5(c)(4)).</P> <P>(4) One or more curbs having a height of 1 foot (.3 m) or less.</P> <P>(c) The following objects may be within the test site if they are outside of the triangular measurement area of the site:</P> <P>(1) Any vertical surface, regardless of size (such as a billboard), having a lower edge more than 15 feet (4.6 m) above the ground.</P> <P>(2) Any uniformly smooth surface slanting away from the vehicle with a slope that is less than 45 degrees above the horizontal.</P> <P>(3) Any surface slanting away from the vehicle that is 45 degrees or more and not more than 90 degrees above the horizontal, if all points on the surface are more than 15 feet (4.6 m) above the surface of the ground in the test site.</P> <P>(d) The surface of the ground within the measurement area must be relatively flat. (See § 325.5(c)(5)). The site shall be a “hard” site. However, if the site is determined to be “soft,” the correction factor specified in § 325.75(b) of this part shall be applied to the measurement.</P> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976; 54 FR 50385, Dec. 6, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 325.55</SECTNO> <SUBJECT>Ambient conditions; stationary test.</SUBJECT> <P>(a)(1) <E T="03">Sound.</E> The ambient A-weighted sound level at the microphone location point shall be measured, in the absence of motor vehicle noise emanating from within the clear zone, with fast meter response using a sound level measurement system that conforms to the rules of § 325.23.</P> <P>(2) The measured ambient level must be 10 dB(A) or more below that level specified in § 325.7, Table 1, which corresponds to the maximum permissible sound level reading which is applicable at the test site at the time of testing.</P> <P>(b) <E T="03">Wind.</E> The wind velocity at the test site shall be measured at the beginning of each series of noise measurements and at intervals of 5-15 minutes thereafter until it has been established that the wind velocity is essentially constant. Once this fact has been established, wind velocity measurements may be made at intervals of once every hour. Noise measurements may only be made if the measured wind velocity is 12 mph (19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2 kph) are allowed.</P> <P>(c) <E T="03">Precipitation.</E> Measurements are prohibited under any conditions of precipitation, however, measurements may be made with snow on the ground. The ground within the measurement area must be free of standing water.</P> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 28267, July 9, 1976]</CITA> </SECTION> <SECTION> <SECTNO>§ 325.57</SECTNO> <SUBJECT>Location and operation of sound level measurement systems; stationary test.</SUBJECT> <P>(a) The microphone of a sound level measurement system that conforms to the rules in § 325.23 shall be located at a height of not less than 2 feet (.6 m) nor more than 6 feet (1.8 m) above the plane of the roadway surface and not less than 3<FR>1/2</FR> feet (1.1 m) above the surface on which the microphone stands. The preferred microphone height on flat terrain is 4 feet (1.2 m).<PRTPAGE P="15"/> </P> <P>(b) When the sound level measurement system is hand-held or otherwise monitored by a person located near its microphone, the holder must orient himself/herself relative to the highway in a manner consistent with the recommendation of the manufacturer of the sound level measurement system. In no case shall the holder or observer be closer than 2 feet (.6 m) from the system's microphone, nor shall he/she locate himself/herself between the microphone and the vehicle being measured.</P> <P>(c) The microphone of the sound level measurement system shall be oriented toward the vehicle at an angle that is consistent with the recommendation of the system's manufacturer. If the manufacturer of the system does not recommend an angle of orientation for its microphone, the microphone shall be oriented at an angle of not less than 70 degrees and not more than perpendicular to the horizontal plane of the test site at the microphone target point.</P> <P>(d) The sound level measurement system shall be set to the A-weighting network and “fast” meter response mode.</P> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]</CITA> </SECTION> <SECTION> <SECTNO>§ 325.59</SECTNO> <SUBJECT>Measurement procedure; stationary test.</SUBJECT> <P>In accordance with the rules in this subpart, a measurement shall be made of the sound level generated by a stationary motor vehicle as follows:</P> <P>(a) Park the motor vehicle on the test site as specified in § 325.53 of this subpart. If the motor vehicle is a combination (articulated) vehicle, park the combination so that the longitudinal centerlines of the towing vehicle and the towed vehicle or vehicles are in substantial alinement.</P> <P>(b) Turn off all auxiliary equipment which is installed on the motor vehicle and which is designed to operate under normal conditions only when the vehicle is operating at a speed of 5 mph (8 kph) or less. Examples of such equipment include cranes, asphalt spreaders, liquid or slurry pumps, auxiliary air compressors, welders, and trash compactors.</P> <P>(c) If the motor vehicle's engine radiator fan drive is equipped with a clutch or similar device that automatically either reduces the rotational speed of the fan or completely disengages the fan from its power source in response to reduced engine cooling loads, park the vehicle before testing with its engine running at high idle or any other speed the operator may choose, for sufficient time but not more than 10 minutes, to permit the engine radiator fan to automatically disengage when the vehicle's noise emissions are measured under stationary test.</P> <P>(d) With the motor vehicle's transmission in neutral and its clutch engaged, rapidly accelerate the vehicle's engine from idle to its maximum governed speed with wide open throttle. Return the engine's speed to idle.</P> <P>(e) Observe the maximum reading on the sound level measurement system during the time the procedures specified in paragraph (d) of this section are followed. Record that reading, if the reading has not been influenced by extraneous noise sources such as motor vehicles operating on adjacent roadways.</P> <P>(f) Repeat the procedures specified in paragraphs (d) and (e) of this section until the first two maximum sound level readings that are within 2 dB(A) of each other are recorded. Numerically average those two maximum sound level readings. When appropriate, correct the average figure in accordance with the rules in subpart F of this part.</P> <P>(g) The average figure, corrected as appropriate, contained in accordance with paragraph (f) of this section, is the sound level generated by the motor vehicle for the purpose of determining whether it conforms to the Standard for Operation Under Stationary Test, 40 CFR 202.21. (Table 1 in § 325.7 lists the range of maximum permissible sound level readings for various test conditions.)</P> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976]</CITA> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="16"/> <HD SOURCE="HED">Subpart F—Correction Factors</HD> <SECTION> <SECTNO>§ 325.71</SECTNO> <SUBJECT>Scope of the rules in this subpart.</SUBJECT> <P>(a) The rules in this subpart specify correction factors which are added to, or subtracted from, the reading of the sound level generated by a motor vehicle, as displayed on a sound level measurement system, during the measurement of the motor vehicle's sound level emissions at a test site which is not a standard site.</P> <P>(b) The purpose of adding or subtracting a correction factor is to equate the sound level reading actually generated by the motor vehicle to the sound level reading it would have generated if the measurement had been made at a standard test site.</P> </SECTION> <SECTION> <SECTNO>§ 325.73</SECTNO> <SUBJECT>Microphone distance correction factors. <SU>1</SU> <FTREF/> </SUBJECT> <FTNT> <P> <SU>1</SU> Table 1, in § 325.7 is a tabulation of the maximum allowable sound level readings taking into account both the distance correction factors contained in § 325.73 and the ground surface correction factors contained in § 325.75.</P> </FTNT> <P>If the distance between the microphone location point and the microphone target point is other than 50 feet (15.2 m), the maximum observed sound level reading generated by the motor vehicle in accordance with § 325.39 of this part or the numerical average of the recorded maximum observed sound level readings generated by the motor vehicle in accordance with § 325.59 of this part shall be corrected as specified in the following table:</P> <GPOTABLE CDEF="s50,9" COLS="2" OPTS="L2"> <TTITLE>Table 2—Distance Correction Factors</TTITLE> <BOXHD> <CHED H="1">If the distance between the microphone location point and the microphone target point is</CHED> <CHED H="1">The value dB(A) to be applied to the observed sound level reading is—</CHED> </BOXHD> <ROW> <ENT I="01">31 feet (9.5 m) or more but less than 35 feet (10.7 m)</ENT> <ENT>−4</ENT> </ROW> <ROW> <ENT I="01">35 feet (10.7 m) or more but less than 39 feet (11.9 m)</ENT> <ENT>−3</ENT> </ROW> <ROW> <ENT I="01">39 feet (11.9 m) or more but less than 43 feet (13.1 m)</ENT> <ENT>−2</ENT> </ROW> <ROW> <ENT I="01">43 feet (13.1 m) or more but less than 48 feet (14.6 m)</ENT> <ENT>−1</ENT> </ROW> <ROW> <ENT I="01">48 feet (14.6 m) or more but less than 58 feet (17.7 m)</ENT> <ENT>0</ENT> </ROW> <ROW> <ENT I="01">58 feet (17.7 m) or more but less than 70 feet (21.3 m)</ENT> <ENT>+1</ENT> </ROW> <ROW> <ENT I="01">70 feet (21.3 m) or more but less than 83 feet (25.3 m)</ENT> <ENT>+2</ENT> </ROW> </GPOTABLE> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 325.75</SECTNO> <SUBJECT>Ground surface correction factors. <SU>1</SU> <FTREF/> </SUBJECT> <FTNT> <P> <SU>1</SU> Table 1, in § 325.7 is a tabulation of the maximum allowable sound level readings taking into account both the distance correction factors contained in § 325.73 and the ground surface correction factors contained in § 325.75.</P> </FTNT> <P>(a) <E T="03">Highway operations.</E> When measurements are made in accordance with the rules in subpart D of this part upon a test site which is “hard,” a correction factor of 2 dB(A) shall be subtracted from the maximum observed sound level reading generated by the motor vehicle to determine whether the motor vehicle conforms to the Standards for Highway Operations, 40 CFR 202.20.</P> <P>(b) <E T="03">Stationary Test.</E> When measurements are made in accordance with the rules in subpart E of this part upon a test site which is “soft,” a correction factor of 2 dB(A) shall be added to the numerical average of the recorded maximum observed sound level readings generated by the motor vehicle to determine whether the motor vehicle conforms to the Standard for Operation Under Stationary Test, 40 CFR 202.21.</P> </SECTION> <SECTION> <SECTNO>§ 325.77</SECTNO> <SUBJECT>Computation of open site requirements—nonstandard sites.</SUBJECT> <P>(a) If the distance between the microphone location point and the microphone target point is other than 50 feet (15.2 m), the test site must be an open site within a radius from both points which is equal to the distance between the microphone location point and the microphone target point.<PRTPAGE P="17"/> </P> <P>(b) Plan view diagrams of nonstandard test sites are shown in Figures 3 and 4. Figure 3 illustrates a test site which is larger than a standard test site and is based upon a 60-foot (18.3 m) distance between the microphone location point and the microphone target point. (See § 325.79(b)(1) for an example of the application of the correction factor to a sound level reading obtained at such a site.) Figure 4 illustrates a test site which is smaller than a standard test site and is based upon a 35-foot (10.7 m) distance between the microphone location point and the microphone target point. (See § 325.79(b)(2) for an example of the application of the correction factor to a sound level reading obtained at such a site.)</P> <GPH DEEP="148" SPAN="1"> <GID>EC01AP91.012</GID> </GPH> <GPH DEEP="151" SPAN="1"> <GID>EC01AP91.013</GID> </GPH> </SECTION> <SECTION> <SECTNO>§ 325.79</SECTNO> <SUBJECT>Application of correction factors.</SUBJECT> <P>(a) If two correction factors apply to a measurement they are applied cumulatively.</P> <P>(b) The following examples illustrate the application of correction factors to sound level measurement readings:</P> <P>(1) <E T="03">Example 1—Highway operations.</E> Assume that a motor vehicle generates a maximum observed sound level reading of 86 dB(A) during a measurement in accordance with the rules in subpart D of this part. Assume also that the distance between the microphone location point and the microphone target point is 60 feet (18.3 m) and that the measurement area of the test site is acoustically “hard.” The corrected sound level generated by the motor vehicle would be 85 dB(A), calculated as follows: </P> <EXTRACT> <FP> 86 dB(A)Uncorrected reading</FP> <FP>+1 dB(A)Distance correction factor</FP> <FP>−2 dB(A)Ground surface correction factor</FP> <FP>_____</FP> <FP> 85 dB(A)Corrected reading</FP> </EXTRACT> <P>(2) <E T="03">Example 2—Stationary test.</E> Assume that a motor vehicle generates maximum sound level readings which average 88 dB(A) during a measurement in accordance with the rules in subpart E of this part. Assume also that the distance between the microphone location point and the microphone target point is 35 feet (10.7 m), and that the measurement area of the test site is acoustically “soft.” The corrected sound level generated by the motor vehicle would be 87 dB(A), calculated as follows: </P> <EXTRACT> <FP> 88 dB(A)Uncorrected average of readings</FP> <FP>−3 dB(A)Distance correction factor</FP> <FP>+2 dB(A)Ground surface correction factor</FP> <FP>_____</FP> <FP> 87 dB(A)Corrected reading</FP> </EXTRACT> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Exhaust Systems and Tires</HD> <SECTION> <SECTNO>§ 325.91</SECTNO> <SUBJECT>Exhaust systems.</SUBJECT> <P>A motor vehicle does not conform to the visual exhaust system inspection requirements, 40 CFR 202.22, of the Interstate Motor Carrier Noise Emission Standards, if inspection of the exhaust system of the motor vehicle discloses that the system—<PRTPAGE P="18"/> </P> <P>(a) Has a defect which adversely affects sound reduction, such as exhaust gas leaks or alteration or deterioration of muffler elements, (small traces of soot on flexible exhaust pipe sections shall not constitute a violation of this subpart);</P> <P>(b) Is not equipped with either a muffler or other noise dissipative device, such as a turbocharger (supercharger driven by exhaust gases); or</P> <P>(c) Is equipped with a cut-out, by-pass, or similar device, unless such device is designed as an exhaust gas driven cargo unloading system.</P> </SECTION> <SECTION> <SECTNO>§ 325.93</SECTNO> <SUBJECT>Tires.</SUBJECT> <P>(a) Except as provided in paragraph (b) of this section, a motor vehicle does not conform to the visual tire inspection requirements, 40 CFR 202.23, of the Interstate Motor Carrier Noise Emissions Standards, if inspection of any tire on which the vehicle is operating discloses that the tire has a tread pattern composed primarily of cavities in the tread (excluding sipes and local chunking) which are not vented by grooves to the tire shoulder or circumferentially to each other around the tire.</P> <P>(b) Paragraph (a) of this section does not apply to a motor vehicle operated on a tire having a tread pattern of the type specified in that paragraph, if the motor carrier who operates the motor vehicle demonstrates to the satisfaction of the Administrator or his/her designee that either—</P> <P>(1) The tire did not have that type of tread pattern when it was originally manufactured or newly remanufactured; or</P> <P>(2) The motor vehicle generates a maximum sound level reading of 90 dB(A) or less when measured at a standard test site for highway operations at a distance of 15.3 meters (50 feet) and under the following conditions:</P> <P>(i) The measurement must be made at a time and place and under conditions specified by the Administrator or his/her designee.</P> <P>(ii) The motor vehicle must be operated on the same tires that were installed on it when the inspection specified in paragraph (a) of this section occurred.</P> <P>(iii) The motor vehicle must be operated on a highway having a posted speed limit of more than 56.3 kph (35 mph).</P> <P>(iv) The sound level measurement must be made while the motor vehicle is operating at the posted speed limit.</P> <CITA>[40 FR 42437, Sept. 12, 1975, as amended at 60 FR 38743, July 28, 1995]</CITA> </SECTION> </SUBPART> </PART> </SUBCHAP> <SUBCHAP TYPE="P"> <PRTPAGE P="19"/> <HD SOURCE="HED">SUBCHAPTER B—FEDERAL MOTOR CARRIER SAFETY REGULATIONS</HD> <PART> <EAR>Pt. 350</EAR> <HD SOURCE="HED">PART 350—COMMERCIAL MOTOR CARRIER SAFETY ASSISTANCE PROGRAM</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>350.101</SECTNO> <SUBJECT>What is the Motor Carrier Safety Assistance Program (MCSAP)?</SUBJECT> <SECTNO>350.103</SECTNO> <SUBJECT>What is the purpose of this part?</SUBJECT> <SECTNO>350.105</SECTNO> <SUBJECT>What definitions are used in this part?</SUBJECT> <SECTNO>350.107</SECTNO> <SUBJECT>What jurisdictions are eligible for MCSAP funding?</SUBJECT> <SECTNO>350.109</SECTNO> <SUBJECT>What are the national program elements?</SUBJECT> <SECTNO>350.111</SECTNO> <SUBJECT>What constitutes “traffic enforcement” for the purpose of the MCSAP?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Requirements for Participation</HD> <SECTNO>350.201</SECTNO> <SUBJECT>What conditions must a State meet to qualify for Basic Program Funds?</SUBJECT> <SECTNO>350.203</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>350.205</SECTNO> <SUBJECT>How and when does a State apply for MCSAP funding?</SUBJECT> <SECTNO>350.207</SECTNO> <SUBJECT>What response does a State receive to its CVSP submission?</SUBJECT> <SECTNO>350.209</SECTNO> <SUBJECT>How does a State demonstrate that it satisfies the conditions for Basic Program funding?</SUBJECT> <SECTNO>350.211</SECTNO> <SUBJECT>What is the format of the certification required by § 350.209?</SUBJECT> <SECTNO>350.213</SECTNO> <SUBJECT>What must a State CVSP include?</SUBJECT> <SECTNO>350.215</SECTNO> <SUBJECT>What are the consequences for a State that fails to perform according to an approved CVSP or otherwise fails to meet the conditions of this part?</SUBJECT> <SECTNO>350.217</SECTNO> <SUBJECT>What are the consequences for a State with a CDL program not in substantial compliance with 49 CFR part 384, subpart B?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Funding</HD> <SECTNO>350.301</SECTNO> <SUBJECT>What level of effort must a State maintain to qualify for MCSAP funding?</SUBJECT> <SECTNO>350.303</SECTNO> <SUBJECT>What are the State and Federal shares of expenses incurred under an approved CVSP?</SUBJECT> <SECTNO>350.305</SECTNO> <SUBJECT>Are U.S. Territories subject to the matching funds requirement?</SUBJECT> <SECTNO>350.307</SECTNO> <SUBJECT>How long are MCSAP funds available to a State?</SUBJECT> <SECTNO>350.309</SECTNO> <SUBJECT>What activities are eligible for reimbursement under the MCSAP?</SUBJECT> <SECTNO>350.311</SECTNO> <SUBJECT>What specific items are eligible for reimbursement under the MCSAP?</SUBJECT> <SECTNO>350.313</SECTNO> <SUBJECT>How are MCSAP funds allocated?</SUBJECT> <SECTNO>350.315</SECTNO> <SUBJECT>How may Basic Program Funds be used?</SUBJECT> <SECTNO>350.317</SECTNO> <SUBJECT>What are Incentive Funds and how may they be used?</SUBJECT> <SECTNO>350.319</SECTNO> <SUBJECT>What are permissible uses of High Priority Activity Funds?</SUBJECT> <SECTNO>350.321</SECTNO> <SUBJECT>What are permissible uses of Border Activity Funds?</SUBJECT> <SECTNO>350.323</SECTNO> <SUBJECT>What criteria are used in the Basic Program Funds allocation?</SUBJECT> <SECTNO>350.325</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>350.327</SECTNO> <SUBJECT>How may States qualify for Incentive Funds?</SUBJECT> <SECTNO>350.329</SECTNO> <SUBJECT>How may a State or a local agency qualify for High Priority or Border Activity Funds?</SUBJECT> <SECTNO>350.331</SECTNO> <SUBJECT>How does a State ensure its laws and regulations are compatible with the FMCSRs and HMRs?</SUBJECT> <SECTNO>350.333</SECTNO> <SUBJECT>What are the guidelines for the compatibility review?</SUBJECT> <SECTNO>350.335</SECTNO> <SUBJECT>What are the consequences if my State has laws or regulations incompatible with the Federal regulations?</SUBJECT> <SECTNO>350.337</SECTNO> <SUBJECT>How may State laws and regulations governing motor carriers, CMV drivers, and CMVs in interstate commerce differ from the FMCSRs and still be considered compatible?</SUBJECT> <SECTNO>350.339</SECTNO> <SUBJECT>What are tolerance guidelines?</SUBJECT> <SECTNO>350.341</SECTNO> <SUBJECT>What specific variances from the FMCSRs are allowed for State laws and regulations governing motor carriers, CMV drivers, and CMVs engaged in intrastate commerce and not subject to Federal jurisdiction?</SUBJECT> <SECTNO>350.343</SECTNO> <SUBJECT>How may a State obtain a new exemption for State laws and regulations for a specific industry involved in intrastate commerce?</SUBJECT> <SECTNO>350.345</SECTNO> <SUBJECT>How does a State apply for additional variances from the FMCSRs?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13902, 31100-31104, 31108, 31136, 31140-31141, 31161, 31310-31311, 31502; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>65 FR 15102, Mar. 21, 2000, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 350.101</SECTNO> <SUBJECT>What is the Motor Carrier Safety Assistance Program (MCSAP)?</SUBJECT> <P>The MCSAP is a Federal grant program that provides financial assistance to States to reduce the number and severity of accidents and hazardous materials incidents involving commercial motor vehicles (CMV). The goal of the MCSAP is to reduce CMV-involved accidents, fatalities, and injuries through <PRTPAGE P="20"/>consistent, uniform, and effective CMV safety programs. Investing grant monies in appropriate safety programs will increase the likelihood that safety defects, driver deficiencies, and unsafe motor carrier practices will be detected and corrected before they become contributing factors to accidents. The MCSAP also sets forth the conditions for participation by States and local jurisdictions and promotes the adoption and uniform enforcement of safety rules, regulations, and standards compatible with the Federal Motor Carrier Safety Regulations (FMCSRs) and Federal Hazardous Material Regulations (HMRs) for both interstate and intrastate motor carriers and drivers.</P> </SECTION> <SECTION> <SECTNO>§ 350.103</SECTNO> <SUBJECT>What is the purpose of this part?</SUBJECT> <P>The purpose of this part is to ensure the Federal Motor Carrier Safety Administration (FMCSA), States, and other political jurisdictions work in partnership to establish programs to improve motor carrier, CMV, and driver safety to support a safe and efficient transportation system.</P> </SECTION> <SECTION> <SECTNO>§ 350.105</SECTNO> <SUBJECT>What definitions are used in this part?</SUBJECT> <P> <E T="03">10-year average accident rate</E> means for each State, the aggregate number of large truck-involved fatal crashes (as reported in the Fatality Analysis Reporting System (FARS)) for a 10-year period divided by the aggregate vehicle miles traveled (VMT) (as defined by the Federal Motor Carrier Safety Administration (FMCSA) ) for the same 10-year period.</P> <P> <E T="03">Accident rate</E> means for each State, the total number of fatal crashes involving large trucks (as measured by the FARS for each State) divided by the total VMT as defined by the FMCSA for each State for all vehicles.</P> <P> <E T="03">Agency</E> means Federal Motor Carrier Safety Administration.</P> <P> <E T="03">Administrative Takedown Funds</E> means funds deducted by the FMCSA each fiscal year from the amount made available for the MCSAP for expenses incurred in the administration of the MCSAP, including expenses to train State and local government employees.</P> <P> <E T="03">Administrator</E> means Federal Motor Carrier Safety Administrator.</P> <P> <E T="03">Basic Program Funds</E> means the total MCSAP funds less the High Priority Activity, Border Activity, Administrative Takedown, and Incentive Funds.</P> <P> <E T="03">Border Activity Funds</E> means funds provided to States, local governments, and other persons carrying out programs, activities, and projects relating to CMV safety and regulatory enforcement supporting the North American Free Trade Agreement (NAFTA) at the U.S. border. Up to 5 percent of total MCSAP funds are available for these activities.</P> <P> <E T="03">Commercial motor vehicle (CMV)</E> means a motor vehicle that has any of the following characteristics:</P> <P>(1) A gross vehicle weight (GVW), gross vehicle weight rating (GVWR), gross combination weight (GCW), or gross combination weight rating (GCWR) of 4,537 kilograms (10,001 pounds) or more.</P> <P>(2) Regardless of weight, is designed or used to transport 16 or more passengers, including driver.</P> <P>(3) Regardless of weight, is used in the transportation of hazardous materials and is required to be placarded pursuant to 49 CFR part 172, subpart F.</P> <P> <E T="03">Commercial vehicle safety plan (CVSP)</E> means the document outlining the State's CMV safety objectives, strategies, activities and performance measures.</P> <P> <E T="03">Compatible</E> or <E T="03">Compatibility</E> means State laws and regulations applicable to interstate commerce and to intrastate movement of hazardous materials are identical to the FMCSRs and the HMRs or have the same effect as the FMCSRs. State laws applicable to intrastate commerce are either identical to, or have the same effect as, the FMCSRs or fall within the established limited variances under § 350.341.</P> <P> <E T="03">High Priority Activity Funds</E> means funds provided to States, local governments, and other persons carrying out activities and projects that directly support the MCSAP, are national in scope in that the successful activity or project could potentially be applied in other States on a national scale, and improve CMV safety and compliance with CMV safety regulations. Up to 5 percent of total MCSAP funds are available for these activities.<PRTPAGE P="21"/> </P> <P> <E T="03">Incentive Funds</E> means funds awarded to States achieving reductions in CMV involved fatal accidents, CMV fatal accident rate, or meeting specified CMV safety program performance criteria.</P> <P> <E T="03">Large truck</E> means a truck over 10,000 pounds gross vehicle weight rating including single unit trucks and truck tractors (FARS definition).</P> <P> <E T="03">Motor carrier</E> means a for-hire motor carrier or private motor carrier. The term includes a motor carrier's agents, officers, or representatives responsible for hiring, supervising, training, assigning, or dispatching a driver or concerned with the installation, inspection, and maintenance of motor vehicle equipment or accessories or both.</P> <P> <E T="03">North American Standard Inspection</E> means the methodology used by State CMV safety inspectors to conduct safety inspections of CMVs. This consists of various levels of inspection of the vehicle or driver or both. The inspection criteria are developed by the FMCSA in conjunction with the Commercial Vehicle Safety Alliance (CVSA), an association of States, Canadian Provinces, and Mexico whose members agree to adopt these standards for inspecting CMVs in their jurisdiction.</P> </SECTION> <SECTION> <SECTNO>§ 350.107</SECTNO> <SUBJECT>What jurisdictions are eligible for MCSAP funding?</SUBJECT> <P>All of the States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, American Samoa, Guam, and the Virgin Islands are eligible to receive MCSAP grants directly from the FMCSA. For purposes of this subpart, all references to “State” or “States” include these jurisdictions.</P> </SECTION> <SECTION> <SECTNO>§ 350.109</SECTNO> <SUBJECT>What are the national program elements?</SUBJECT> <P>The national program elements include the following five activities:</P> <P>(a) Driver/vehicle inspections.</P> <P>(b) Traffic enforcement.</P> <P>(c) Compliance reviews.</P> <P>(d) Public education and awareness.</P> <P>(e) Data collection.</P> </SECTION> <SECTION> <SECTNO>§ 350.111</SECTNO> <SUBJECT>What constitutes “traffic enforcement” for the purpose of the MCSAP?</SUBJECT> <P>Traffic enforcement means enforcement activities of State or local officials, including stopping CMVs operating on highways, streets, or roads for violations of State or local motor vehicle or traffic laws (<E T="03">e.g.,</E> speeding, following too closely, reckless driving, improper lane change). To be eligible for funding through the grant, traffic enforcement must include an appropriate North American Standard Inspection of the CMV or driver or both prior to releasing the driver or CMV for resumption of operations.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Requirements for Participation</HD> <SECTION> <SECTNO>§ 350.201</SECTNO> <SUBJECT>What conditions must a State meet to qualify for Basic Program Funds?</SUBJECT> <P>Each State must meet the following twenty-two conditions:</P> <P>(a) Assume responsibility for improving motor carrier safety and adopting and enforcing State safety laws and regulations that are compatible with the FMCSRs (49 CFR parts 390-397) and the HMRs (49 CFR parts 107 (subparts F and G only), 171-173, 177, 178 and 180), except as may be determined by the Administrator to be inapplicable to a State enforcement program.</P> <P>(b) Implement a performance-based program by the beginning of Fiscal Year 2000 and submit a CVSP which will serve as the basis for monitoring and evaluating the State's performance.</P> <P>(c) Designate, in its State Certification, the lead State agency responsible for implementing the CVSP.</P> <P>(d) Ensure that only agencies having the legal authority, resources, and qualified personnel necessary to enforce the FMCSRs and HMRs or compatible State laws or regulations are assigned to perform functions in accordance with the approved CVSP.</P> <P>(e) Allocate adequate funds for the administration of the CVSP including the enforcement of the FMCSRs, HMRs, or compatible State laws or regulations.<PRTPAGE P="22"/> </P> <P>(f) Maintain the aggregate expenditure of funds by the State and its political subdivisions, exclusive of Federal funds, for motor carrier and highway hazardous materials safety enforcement, eligible for funding under this part, at a level at least equal to the average expenditure for Federal or State fiscal years 1997, 1998, and 1999.</P> <P>(g) Provide legal authority for a right of entry and inspection adequate to carry out the CVSP.</P> <P>(h) Prepare and submit to the FMCSA, upon request, all reports required in connection with the CVSP or other conditions of the grant.</P> <P>(i) Adopt and use the reporting standards and forms required by the FMCSA to record work activities performed under the CVSP.</P> <P>(j) Require registrants of CMVs to declare, at the time of registration, their knowledge of applicable FMCSRs, HMRs, or compatible State laws or regulations.</P> <P>(k) Grant maximum reciprocity for inspections conducted under the North American Standard Inspection through the use of a nationally accepted system that allows ready identification of previously inspected CMVs.</P> <P>(l) Conduct CMV size and weight enforcement activities funded under this program only to the extent those activities do not diminish the effectiveness of other CMV safety enforcement programs.</P> <P>(m) Coordinate the CVSP, data collection and information systems, with State highway safety programs under title 23 United States Code (U.S.C.).</P> <P>(n) Ensure participation in SAFETYNET and other information systems by all appropriate jurisdictions receiving funding under this section.</P> <P>(o) Ensure information is exchanged with other States in a timely manner.</P> <P>(p) Emphasize and improve enforcement of State and local traffic laws and regulations related to CMV safety.</P> <P>(q) Promote activities in support of the national program elements listed in § 350.109, including the following three activities:</P> <P>(1) Activities aimed at removing impaired CMV drivers from the highways through adequate enforcement of restrictions on the use of alcohol and controlled substances and by ensuring ready roadside access to alcohol detection and measuring equipment.</P> <P>(2) Activities aimed at providing an appropriate level of training to MCSAP personnel to recognize drivers impaired by alcohol or controlled substances.</P> <P>(3) Interdiction activities affecting the transportation of controlled substances by CMV drivers and training on appropriate strategies for carrying out those interdiction activities.</P> <P>(r) Enforce requirements relating to the licensing of CMV drivers, including checking the status of commercial drivers' licenses (CDL).</P> <P>(s) Require the proper and timely correction of all CMV safety violations noted during inspections carried out with MCSAP funds.</P> <P>(t)(1) Enforce registration requirements under 49 U.S.C. 13902, and 49 CFR part 365, and 49 CFR 392.9a by placing out-of-service the vehicle discovered to be operating without registration or beyond the scope of its registration.</P> <P>(2) Enforce financial responsibility requirements under 49 U.S.C. 13906, 31138, 31139, and 49 CFR part 387.</P> <P>(u) Adopt and maintain consistent, effective, and reasonable sanctions for violations of CMV, driver, and hazardous materials regulations.</P> <P>(v) Ensure that MCSAP agencies have policies that stipulate roadside inspections will be conducted at locations that are adequate to protect the safety of drivers and enforcement personnel.</P> <CITA>[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 55165, Aug. 28, 2002; 67 FR 61820, Oct. 2, 2002]</CITA> </SECTION> <SECTION> <SECTNO>§ 350.203</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 350.205</SECTNO> <SUBJECT>How and when does a State apply for MCSAP funding?</SUBJECT> <P>(a) The lead agency, designated by the Governor, must submit the State's CVSP to the Motor Carrier State Director, FMCSA, on or before August 1 of each year.</P> <P>(b) This deadline may, for good cause, be extended by the State Director for a period not to exceed 30 calendar days.</P> <P>(c) For a State to receive funding, the CVSP must be complete and include all required documents.</P> </SECTION> <SECTION> <PRTPAGE P="23"/> <SECTNO>§ 350.207</SECTNO> <SUBJECT>What response does a State receive to its CVSP submission?</SUBJECT> <P>(a) The FMCSA will notify the State, in writing, within 30 days of receipt of the CVSP whether:</P> <P>(1) The plan is approved.</P> <P>(2) Approval of the plan is withheld because the CVSP does not meet the requirements of this part, or is not adequate to ensure effective enforcement of the FMCSRs and HMRs or compatible State laws and regulations.</P> <P>(b) If approval is withheld, the State will have 30 days from the date of the notice to modify and resubmit the plan.</P> <P>(c) Disapproval of a resubmitted plan is final.</P> <P>(d) Any State aggrieved by an adverse decision under this section may seek judicial review under 5 U.S.C. chapter 7.</P> </SECTION> <SECTION> <SECTNO>§ 350.209</SECTNO> <SUBJECT>How does a State demonstrate that it satisfies the conditions for Basic Program funding?</SUBJECT> <P>(a) The Governor, the State's Attorney General, or other State official specifically designated by the Governor, must execute a State Certification as described in § 350.211.</P> <P>(b) The State must submit the State Certification along with its CVSP, and supplement it with a copy of any State law, regulation, or form pertaining to CMV safety adopted since the State's last certification that bears on the items contained in § 350.201 of this subpart.</P> </SECTION> <SECTION> <SECTNO>§ 350.211</SECTNO> <SUBJECT>What is the format of the certification required by § 350.209?</SUBJECT> <P>The State's certification must be consistent with the following content: </P> <EXTRACT> <P>I (name), (title), on behalf of the State (or Commonwealth) of (State), as requested by the Administrator as a condition of approval of a grant under the authority of 49 U.S.C. 31102, as amended, do hereby certify as follows:</P> <P>1. The State has adopted commercial motor carrier and highway hazardous materials safety rules and regulations that are compatible with the FMCSRs and the HMRs.</P> <P>2. The State has designated (name of State CMV safety agency) as the lead agency to administer the CVSP for the grant sought and (names of agencies) to perform defined functions under the plan. These agencies have the legal authority, resources, and qualified personnel necessary to enforce the State's commercial motor carrier, driver, and highway hazardous materials safety laws or regulations.</P> <P>3. The State will obligate the funds or resources necessary to provide a matching share to the Federal assistance provided in the grant to administer the plan submitted and to enforce the State's commercial motor carrier safety, driver, and hazardous materials laws or regulations in a manner consistent with the approved plan.</P> <P>4. The laws of the State provide the State's enforcement officials right of entry and inspection sufficient to carry out the purposes of the CVSP, as approved, and provide that the State will grant maximum reciprocity for inspections conducted pursuant to the North American Standard Inspection procedure, through the use of a nationally accepted system allowing ready identification of previously inspected CMVs.</P> <P>5. The State requires that all reports relating to the program be submitted to the appropriate State agency or agencies, and the State will make these reports available, in a timely manner, to the FMCSA on request.</P> <P>6. The State has uniform reporting requirements and uses FMCSA designated forms for record keeping, inspection, and other enforcement activities.</P> <P>7. The State has in effect a requirement that registrants of CMVs declare their knowledge of the applicable Federal or State CMV safety laws or regulations.</P> <P>8. The State will maintain the level of its expenditures, exclusive of Federal assistance, at least at the level of the average of the aggregate expenditures of the State and its political subdivisions during State or Federal fiscal years 1997, 1998, and 1999. These expenditures must cover at least the following four program areas, if applicable:</P> <P>(a) Motor carrier safety programs in accordance with 49 CFR 350.301.</P> <P>(b) Size and weight enforcement programs.</P> <P>(c) Traffic safety.</P> <P>(d) Drug interdiction enforcement programs.</P> <P>9. The State will ensure that CMV size and weight enforcement activities funded with MCSAP funds will not diminish the effectiveness of other CMV safety enforcement programs.</P> <P>10. The State will ensure that violation fines imposed and collected by the State are consistent, effective, and equitable.</P> <P>11. The State will ensure it has a program for timely and appropriate correction of all violations discovered during inspections conducted using MCSAP funds.</P> <P>12. The State will ensure that the CVSP, data collection, and information systems are coordinated with the State highway safety program under title 23, U.S. Code. The name of the Governor's highway safety representative (or other authorized State official <PRTPAGE P="24"/>through whom coordination was accomplished) is ______. (Name)</P> <P>13. The State participates in SAFETYNET and ensures information is exchanged with other States in a timely manner.</P> <P>14. The State has undertaken efforts to emphasize and improve enforcement of State and local traffic laws as they pertain to CMV safety.</P> <P>15. The State will ensure that MCSAP agencies have departmental policies stipulating that roadside inspections will be conducted at locations that are adequate to protect the safety of drivers and enforcement personnel.</P> <P>16. The State will ensure that requirements relating to the licensing of CMV drivers are enforced, including checking the status of CDLs.</P> <P>17. The State or a local recipient of MCSAP funds will certify that it meets the minimum Federal standards set forth in 49 CFR part 385, Subpart C, for training and experience of employees performing safety audits, compliance reviews, or driver/vehicle roadside inspections.</P> <FP SOURCE="FP-DASH">Date</FP> <FP SOURCE="FP-DASH">Signature</FP> </EXTRACT> <CITA>[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 12779, Mar. 19, 2002; 67 FR 61820, Oct. 2, 2002]</CITA> </SECTION> <SECTION> <SECTNO>§ 350.213</SECTNO> <SUBJECT>What must a State CVSP include?</SUBJECT> <P>The State's CVSP must reflect a performance-based program, and contain the following eighteen items:</P> <P>(a) A general overview section that must include the following two items:</P> <P>(1) A statement of the State agency goal or mission.</P> <P>(2) A program summary of the effectiveness of the prior years' activities in reducing CMV accidents, injuries and fatalities, and improving driver and motor carrier safety performance. Data periods used must be consistent from year to year. This may be calendar year or fiscal year or any 12-month period of time for which the State's data is current. The summary must show trends supported by safety and program performance data collected over several years. It must identify safety or performance problems in the State and those problems must be addressed in the new or modified CVSP.</P> <P>(b) A brief narrative describing how the State program addresses the national program elements listed in § 350.109. The plan must address these elements even if there are no planned activities in a program area. The rationale for the resource allocation decision must be explained. The narrative section must include a description of how the State supports the activities identified in § 350.201(q) and (t).</P> <P>(1) Activities aimed at removing impaired CMV drivers from the highways through adequate enforcement of restrictions on the use of alcohol and controlled substances and by ensuring ready roadside access to alcohol detection and measuring equipment.</P> <P>(2) Activities aimed at providing an appropriate level of training to MCSAP personnel to recognize drivers impaired by alcohol or controlled substances.</P> <P>(3) Interdiction activities affecting the transportation of controlled substances by CMV drivers and training on appropriate strategies for carrying out those interdiction activities.</P> <P>(4) Activities to enforce registration requirements under 49 U.S.C. 13902 and 49 CFR part 365 and financial responsibility requirements under 49 U.S.C. 13906, 31138 and 31139 and 49 CFR part 387.</P> <P>(c) A definitive problem statement for each objective, supported by data or other information. The CVSP must identify the source of the data, and who is responsible for its collection, maintenance, and analysis.</P> <P>(d) Performance objectives, stated in quantifiable terms, to be achieved through the State plan. Objectives must include a measurable reduction in highway accidents or hazardous materials incidents involving CMVs. The objective may also include documented improvements in other program areas (e.g., legislative or regulatory authority, enforcement results, or resource allocations).</P> <P>(e) Strategies to be employed to achieve performance objectives. Strategies may include education, enforcement, legislation, use of technology and improvements to safety infrastructure.</P> <P>(f) Specific activities intended to achieve the stated strategies and objectives. Planned activities must be eligible under this program as defined in §§ 350.309 and 350.311.<PRTPAGE P="25"/> </P> <P>(g) Specific quantifiable performance measures, as appropriate. These performance measures will be used to assist the State in monitoring the progress of its program and preparing an annual evaluation.</P> <P>(h) A description of the State's method for ongoing monitoring of the progress of its plan. This should include who will conduct the monitoring, the frequency with which it will be carried out, and how and to whom reports will be made.</P> <P>(i) An objective evaluation that discusses the progress towards individual objectives listed under the “Performance Objectives” section of the previous year's CVSP and identifies any safety or performance problems discovered. States will identify those problems as new objectives or make modifications to the existing objectives in the next CVSP.</P> <P>(j) A budget which supports the CVSP, describing the expenditures for allocable costs such as personnel and related costs, equipment purchases, printing, information systems costs, and other eligible costs consistent with §§ 350.311 and 350.309.</P> <P>(k) A budget summary form including planned expenditures for that fiscal year and projected number of activities in each national program element, except data collection.</P> <P>(l) The results of the annual review to determine the compatibility of State laws and regulations with the FMCSRs and HMRs.</P> <P>(m) A copy of any new law or regulation affecting CMV safety enforcement that was enacted by the State since the last CVSP was submitted.</P> <P>(n) Executed State Certification as outlined in § 350.211.</P> <P>(o) Executed MCSAP-1 form.</P> <P>(p) List of MCSAP contacts.</P> <P>(q) Annual Certification of Compatibility, § 350.331.</P> <P>(r) State Training Plan.</P> <CITA>[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 61820, Oct. 2, 2002; 67 FR 63019, Oct. 9, 2002]</CITA> </SECTION> <SECTION> <SECTNO>§ 350.215</SECTNO> <SUBJECT>What are the consequences for a State that fails to perform according to an approved CVSP or otherwise fails to meet the conditions of this part?</SUBJECT> <P>(a) If a State is not performing according to an approved plan or not adequately meeting conditions set forth in § 350.201, the Administrator may issue a written notice of proposed determination of nonconformity to the Governor of the State or the official designated in the plan. The notice will set forth the reasons for the proposed determination.</P> <P>(b) The State will have 30 days from the date of the notice to reply. The reply must address the deficiencies or incompatibility cited in the notice and provide documentation as necessary.</P> <P>(c) After considering the State's reply, the Administrator will make a final decision.</P> <P>(d) In the event the State fails timely to reply to a notice of proposed determination of nonconformity, the notice becomes the Administrator's final determination of nonconformity.</P> <P>(e) Any adverse decision will result in immediate cessation of Federal funding under this part.</P> <P>(f) Any State aggrieved by an adverse decision under this section may seek judicial review under 5 U.S.C. chapter 7.</P> </SECTION> <SECTION> <SECTNO>§ 350.217</SECTNO> <SUBJECT>What are the consequences for a State with a CDL program not in substantial compliance with 49 CFR part 384, subpart B?</SUBJECT> <P>(a) A State with a CDL program not in substantial compliance with 49 CFR part 384, subpart B, as required by 49 CFR part 384, subpart C, is subject to the loss of all Motor Carrier Safety Assistance Program (MCSAP) grant funds authorized under sec. 103(b)(1) of the Motor Carrier Safety Improvement Act of 1999 [Pub. L. 106-159, 113 Stat. 1748] and loss of certain Federal-aid highway funds, as specified in 49 CFR part 384, subpart D.</P> <P>(b) Withheld MCSAP grant funds will be restored to the State if the State meets the conditions of § 384.403(b) of this subchapter.</P> <CITA>[67 FR 49755, July 31, 2002]</CITA> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="26"/> <HD SOURCE="HED">Subpart C—Funding</HD> <SECTION> <SECTNO>§ 350.301</SECTNO> <SUBJECT>What level of effort must a State maintain to qualify for MCSAP funding?</SUBJECT> <P>(a) The State must maintain the average aggregate expenditure (monies spent during the base period of Federal or State fiscal years 1997, 1998, and 1999) of State funds for motor carrier and highway hazardous materials safety enforcement purposes, in the year in which the grant is sought.</P> <P>(b) Determination of a State's level of effort must not include the following three things:</P> <P>(1) Federal funds received for support of motor carrier and hazardous materials safety enforcement.</P> <P>(2) State matching funds.</P> <P>(3) State funds used for federally sponsored demonstration or pilot CMV safety programs.</P> <P>(c) The State must include costs associated with activities performed during the base period by State or local agencies currently receiving or projected to receive funds under this part. It must include only those activities which meet the current requirements for funding eligibility under the grant program.</P> </SECTION> <SECTION> <SECTNO>§ 350.303</SECTNO> <SUBJECT>What are the State and Federal shares of expenses incurred under an approved CVSP?</SUBJECT> <P>(a) The FMCSA will reimburse up to 80 percent of the eligible costs incurred in the administration of an approved CVSP.</P> <P>(b) In-kind contributions are acceptable in meeting the State's matching share if they represent eligible costs as established by 49 CFR part 18 or agency policy.</P> </SECTION> <SECTION> <SECTNO>§ 350.305</SECTNO> <SUBJECT>Are U.S. Territories subject to the matching funds requirement?</SUBJECT> <P>The Administrator waives the requirement for matching funds for the Virgin Islands, American Samoa, Guam, and the Commonwealth of the Northern Mariana Islands.</P> </SECTION> <SECTION> <SECTNO>§ 350.307</SECTNO> <SUBJECT>How long are MCSAP funds available to a State?</SUBJECT> <P>The funds obligated to a State will remain available for the rest of the fiscal year in which they were obligated and the next full fiscal year. The State must account for any prior year's unexpended funds in the annual CVSP. Funds must be expended in the order in which they are obligated.</P> </SECTION> <SECTION> <SECTNO>§ 350.309</SECTNO> <SUBJECT>What activities are eligible for reimbursement under the MCSAP?</SUBJECT> <P>The primary activities eligible for reimbursement are:</P> <P>(a) The five national program elements listed in § 350.109 of this part.</P> <P>(b) Sanitary food transportation inspections performed under 49 U.S.C. 5708.</P> <P>(c) The following three activities, when accompanied by an appropriate North American Standard Inspection and inspection report:</P> <P>(1) Enforcement of size and weight regulations conducted at locations other than fixed weight facilities, at specific geographical locations where the weight of the vehicle can significantly affect the safe operation of the vehicle, or at seaports where intermodal shipping containers enter and exit the United States.</P> <P>(2) Detection of the unlawful presence of controlled substances in a CMV or on the driver or any occupant of a CMV.</P> <P>(3) Enforcement of State traffic laws and regulations designed to promote the safe operation of CMVs.</P> </SECTION> <SECTION> <SECTNO>§ 350.311</SECTNO> <SUBJECT>What specific items are eligible for reimbursement under the MCSAP?</SUBJECT> <P>All reimbursable items must be necessary, reasonable, allocable to the approved CVSP, and allowable under this part and 49 CFR part 18. The eligibility of specific items is subject to review by the FMCSA. The following six types of expenses are eligible for reimbursement:</P> <P>(a) Personnel expenses, including recruitment and screening, training, salaries and fringe benefits, and supervision.</P> <P>(b) Equipment and travel expenses, including per diem, directly related to the enforcement of safety regulations, including vehicles, uniforms, communications equipment, special inspection equipment, vehicle maintenance, fuel, and oil.<PRTPAGE P="27"/> </P> <P>(c) Indirect expenses for facilities, except fixed scales, used to conduct inspections or house enforcement personnel, support staff, and equipment to the extent they are measurable and recurring (<E T="03">e.g.,</E> rent and overhead).</P> <P>(d) Expenses related to data acquisition, storage, and analysis that are specifically identifiable as program-related to develop a data base to coordinate resources and improve efficiency.</P> <P>(e) Clerical and administrative expenses, to the extent necessary and directly attributable to the MCSAP.</P> <P>(f) Expenses related to the improvement of real property (e.g., installation of lights for the inspection of vehicles at night). Acquisition of real property, land, or buildings are not eligible costs.</P> </SECTION> <SECTION> <SECTNO>§ 350.313</SECTNO> <SUBJECT>How are MCSAP funds allocated?</SUBJECT> <P>(a) After deducting administrative expenses authorized in 49 U.S.C. 31104(e), the MCSAP funds are allocated as follows:</P> <P>(1) Up to 5 percent of the MCSAP funds appropriated for each fiscal year may be distributed for High Priority Activities and Projects at the discretion of the Administrator.</P> <P>(2) Up to 5 percent of the MCSAP funds appropriated for each fiscal year may be distributed for Border CMV Safety and Enforcement Programs at the discretion of the Administrator.</P> <P>(3) The remaining funds will be allocated among qualifying States in two ways:</P> <P>(i) As Basic Program Funds in accordance with § 350.323 of this part,</P> <P>(ii) As Incentive Funds in accordance with § 350.327 of this part.</P> <P>(b) The funding provided in paragraphs (a)(1) and (a)(2) of this section may be awarded through contract, cooperative agreement, or grant. The FMCSA will notify States if it intends to solicit State grant proposals for any portion of this funding.</P> <P>(c) The funding provided under paragraphs (a)(1) and (a)(2) of this section may be made available to State MCSAP lead agencies, local governments, and other persons that use and train qualified officers and employees in coordination with State motor vehicle safety agencies.</P> </SECTION> <SECTION> <SECTNO>§ 350.315</SECTNO> <SUBJECT>How may Basic Program Funds be used?</SUBJECT> <P>Basic Program Funds may be used for any eligible activity or item consistent with §§ 350.309 and 350.311.</P> </SECTION> <SECTION> <SECTNO>§ 350.317</SECTNO> <SUBJECT>What are Incentive Funds and how may they be used?</SUBJECT> <P>Incentive Funds are monies, in addition to Basic Program Funds, provided to States that achieve reduction in CMV-involved fatal accidents, CMV fatal accident rate, or that meet specified CMV safety performance criteria. Incentive Funds may be used for any eligible activity or item consistent with §§ 350.309 and 350.311.</P> </SECTION> <SECTION> <SECTNO>§ 350.319</SECTNO> <SUBJECT>What are permissible uses of High Priority Activity Funds?</SUBJECT> <P>(a) The FMCSA may generally use these funds to support, enrich, or evaluate State CMV safety programs and to accomplish the five objectives listed below:</P> <P>(1) Implement, promote, and maintain national programs to improve CMV safety.</P> <P>(2) Increase compliance with CMV safety regulations.</P> <P>(3) Increase public awareness about CMV safety.</P> <P>(4) Provide education on CMV safety and related issues.</P> <P>(5) Demonstrate new safety related technologies.</P> <P>(b) These funds will be allocated, at the discretion of the FMCSA, to States, local governments, and other organizations that use and train qualified officers and employees in coordination with State safety agencies.</P> <P>(c) The FMCSA will notify the States when such funds are available.</P> <P>(d) The Administrator may designate up to 5 percent of the annual MCSAP funding for these projects and activities.</P> </SECTION> <SECTION> <SECTNO>§ 350.321</SECTNO> <SUBJECT>What are permissible uses of Border Activity Funds?</SUBJECT> <P>(a) The FMCSA may generally use such funds to develop and implement a national program addressing CMV safety and enforcement activities along the United States' borders.</P> <P>(b) These funds will be allocated, at the discretion of the FMCSA, to States, local governments, and other <PRTPAGE P="28"/>organizations that use and train qualified officials and employees in coordination with State safety agencies. The FMCSA will notify the States when such funds are available. The Administrator may designate up to 5 percent of the annual MCSAP funding for these projects and activities.</P> </SECTION> <SECTION> <SECTNO>§ 350.323</SECTNO> <SUBJECT>What criteria are used in the Basic Program Funds allocation?</SUBJECT> <P>(a) The funds are distributed proportionally to the States using the following four, equally weighted (25 percent), factors.</P> <P>(1) 1997 Road miles (all highways) as defined by the FMCSA.</P> <P>(2) All vehicle miles traveled (VMT) as defined by the FMCSA.</P> <P>(3) Population—annual census estimates as issued by the U.S. Census Bureau.</P> <P>(4) Special fuel consumption (net after reciprocity adjustment) as defined by the FMCSA.</P> <P>(b) Distribution of Basic Program Funds is subject to a maximum and minimum allocation as illustrated in the Table to this section, as follows:</P> <GPOTABLE CDEF="s50,r100,r100" COLS="3" OPTS="L2"> <TTITLE>Table to § <E T="01">350.323(b)</E>—Basic Program Fund Allocation Limitations</TTITLE> <BOXHD> <CHED H="1">Recipient</CHED> <CHED H="1">Maximum allocation</CHED> <CHED H="1">Minimum allocation</CHED> </BOXHD> <ROW RUL="s"> <ENT I="01">States and Puerto Rico</ENT> <ENT>4.944% of the Basic Program Funds</ENT> <ENT>$350,000 or 0.44% of Basic Program Funds, whichever is greater.</ENT> </ROW> <ROW> <ENT I="01">U.S. Territories</ENT> <ENT A="01">$350,000 (fixed amount)</ENT> </ROW> </GPOTABLE> </SECTION> <SECTION> <SECTNO>§ 350.325</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 350.327</SECTNO> <SUBJECT>How may States qualify for Incentive Funds?</SUBJECT> <P>(a) A State may qualify for Incentive Funds if it can demonstrate that its CMV safety program has shown improvement in any or all of the following five categories:</P> <P>(1) Reduction of large truck-involved fatal accidents.</P> <P>(2) Reduction of large truck-involved fatal accident rate or maintenance of a large truck-involved fatal accident rate that is among the lowest 10 percent of such rates of MCSAP recipients.</P> <P>(3) Upload of CMV accident reports in accordance with current FMCSA policy guidelines.</P> <P>(4) Verification of CDLs during all roadside inspections.</P> <P>(5) Upload of CMV inspection data in accordance with current FMCSA policy guidelines.</P> <P>(b) Incentive Funds will be distributed based upon the five following safety and program performance factors:</P> <P>(1) Five shares will be awarded to States that reduce the number of large truck-involved fatal accidents for the most recent calendar year for which data are available when compared to the 10-year average number of large truck-involved fatal accidents ending with the preceding year. The 10-year average will be computed from the number of large truck-involved fatal crashes, as reported by the FARS, administered by the National Highway Traffic Safety Administration (NHTSA).</P> <P>(2) Four shares will be awarded to States that reduce the fatal-accident rate for the most recent calendar year for which data are available when compared to each State's average fatal accident rate for the preceding 10-year period. States with the lowest 10 percent of accident rates in the most recent calendar year for which data are available will be awarded three shares if the rate for the State is the same as its average accident rate for the preceding 10-year period.</P> <P>(3) Two shares will be awarded to States that upload CMV accident data within FMCSA policy guidelines.</P> <P>(4) Two shares will be awarded to States that certify their MCSAP inspection agencies have departmental policies that stipulate CDLs are verified, as part of the inspection process, through Commercial Driver's License Information System (CDLIS), National Law Enforcement Tracking System (NLETS), or the State licensing authority.<PRTPAGE P="29"/> </P> <P>(5) Two shares will be awarded to States that upload CMV inspection reports within current FMCSA policy guidelines.</P> <P>(c) The total of all States' shares awarded will be divided into the dollar amount of Incentive Funds available, thereby establishing the value of one share. Each State's incentive allocation will then be determined by multiplying the State's percentage participation in the formula allocation of Basic Program Funds, by the number of shares it received that year, multiplied by the dollar value of one share.</P> <P>(d) States may use Incentive Funds for any eligible CMV safety purpose.</P> <P>(e) Incentive Funds are subject to the same State matching requirements as Basic Program Funds.</P> <P>(f) A State must annually certify compliance with the applicable incentive criteria to receive Incentive Funds. A State must submit the required certification as part of its CVSP or as a separate document.</P> </SECTION> <SECTION> <SECTNO>§ 350.329</SECTNO> <SUBJECT>How may a State or a local agency qualify for High Priority or Border Activity Funds?</SUBJECT> <P>(a) States must meet the requirements of § 350.201, as applicable.</P> <P>(b) Local agencies must meet the following nine conditions:</P> <P>(1) Prepare a proposal in accordance with § 350.213, as applicable.</P> <P>(2) Coordinate the proposal with the State lead MCSAP agency to ensure the proposal is consistent with State and national CMV safety program priorities.</P> <P>(3) Certify that your local jurisdiction has the legal authority, resources, and trained and qualified personnel necessary to perform the functions specified in the proposal.</P> <P>(4) Designate a person who will be responsible for implementation, reporting, and administering the approved proposal and will be the primary contact for the project.</P> <P>(5) Agree to fund up to 20 percent of the proposed request.</P> <P>(6) Agree to prepare and submit all reports required in connection with the proposal or other conditions of the grant.</P> <P>(7) Agree to use the forms and reporting criteria required by the State lead MCSAP agency and/or the FMCSA to record work activities to be performed under the proposal.</P> <P>(8) Certify that the local agency will impose sanctions for violations of CMV and driver laws and regulations that are consistent with those of the State.</P> <P>(9) Certify participation in national data bases appropriate to the project.</P> </SECTION> <SECTION> <SECTNO>§ 350.331</SECTNO> <SUBJECT>How does a State ensure its laws and regulations are compatible with the FMCSRs and HMRs?</SUBJECT> <P>(a) A State must review any new law or regulation affecting CMV safety as soon as possible, but in any event immediately after enactment or issuance, for compatibility with the FMCSRs and HMRs.</P> <P>(b) If the review determines that the new law or regulation is incompatible with the FMCSRs and/or HMRs, the State must immediately notify the Motor Carrier State Director.</P> <P>(c) A State must conduct an annual review of its laws and regulations for compatibility and report the results of that review in the annual CVSP in accordance with § 350.213(l) along with a certification of compliance, no later than August 1 of each year. The report must include the following two items:</P> <P>(1) A copy of the State law, regulation, or policy relating to CMV safety that was adopted since the State's last report.</P> <P>(2) A certification, executed by the State's Governor, Attorney General, or other State official specifically designated by the Governor, stating that the annual review was performed and that State CMV safety laws remain compatible with the FMCSRs and HMRs. If State CMV laws are no longer compatible, the certifying official shall explain.</P> <P>(d) As soon as practical after the effective date of any newly enacted regulation or amendment to the FMCSRs or HMRs, but no later than three years after that date, the State must amend its laws or regulations to make them compatible with the FMCSRs and/or HMRs, as amended.</P> </SECTION> <SECTION> <PRTPAGE P="30"/> <SECTNO>§ 350.333</SECTNO> <SUBJECT>What are the guidelines for the compatibility review?</SUBJECT> <P>(a) The State law or regulation must apply to all segments of the motor carrier industry (<E T="03">i.e.,</E> for-hire and private motor carriers of property and passengers).</P> <P>(b) Laws and regulations reviewed for the CDL compliance report are excluded from the compatibility review.</P> <P>(c) Definitions of words or terms must be consistent with those in the FMCSRs and HMRs.</P> <P>(d) A State must identify any law or regulation that is not the same as the corresponding Federal regulation and evaluate it in accordance with the table to this section as follows:</P> <GPOTABLE CDEF="s50,r50,r50,r100" COLS="4" OPTS="L2"> <TTITLE>Table to § 350.333—Guidelines for the State Law and Regulation Compatibility Review</TTITLE> <BOXHD> <CHED H="1">Law or regulation has same effect as corresponding Federal regulation</CHED> <CHED H="1">Applies to interstate or intrastate commerce</CHED> <CHED H="1">Less stringent or more stringent</CHED> <CHED H="1">Action authorized</CHED> </BOXHD> <ROW> <ENT I="01">(1) Yes</ENT> <ENT/> <ENT/> <ENT>Compatible—Interstate and intrastate commerce enforcement authorized.</ENT> </ROW> <ROW> <ENT I="01">(2) No</ENT> <ENT>Intrastate</ENT> <ENT/> <ENT>Refer to § 350.341</ENT> </ROW> <ROW> <ENT I="01">(3) No</ENT> <ENT>Interstate</ENT> <ENT>Less stringent</ENT> <ENT>Enforcement prohibited.</ENT> </ROW> <ROW> <ENT I="01">(4) No</ENT> <ENT>Interstate</ENT> <ENT>More stringent</ENT> <ENT>Enforcement authorized if the State can demonstrate the law or regulation has a safety benefit or does not create an undue burden upon interstate commerce (See 49 CFR Part 355).</ENT> </ROW> </GPOTABLE> </SECTION> <SECTION> <SECTNO>§ 350.335</SECTNO> <SUBJECT>What are the consequences if my State has laws or regulations incompatible with the Federal regulations?</SUBJECT> <P>(a) A State that currently has compatible CMV safety laws and regulations pertaining to interstate commerce (i.e., rules identical to the FMCSRs and HMRs) and intrastate commerce (i.e., rules identical to or within the tolerance guidelines for the FMCSRs and identical to the HMRs) but enacts a law or regulation which results in an incompatible rule will not be eligible for Basic Program Funds nor Incentive Funds.</P> <P>(b) A State that fails to adopt any new regulation or amendment to the FMCSRs or HMRs within three years of its effective date will be deemed to have incompatible regulations and will not be eligible for Basic Program nor Incentive Funds.</P> <P>(c) Those States with incompatible laws or regulations pertaining to intrastate commerce and receiving 50 percent of their basic formula allocation on April 20, 2000 will continue at that level of funding until those incompatibilities are removed, provided no further incompatibilities are created.</P> <P>(d) Upon a finding by the FMCSA, based upon its own initiative or upon a petition of any person, including any State, that your State law, regulation or enforcement practice pertaining to CMV safety, in either interstate or intrastate commerce, is incompatible with the FMCSRs or HMRs, the FMCSA may initiate a proceeding under § 350.215 for withdrawal of eligibility for all Basic Program and Incentive Funds.</P> <P>(e) Any decision regarding the compatibility of your State law or regulation with the HMRs that requires an interpretation will be referred to the Research and Special Programs Administration of the DOT for such interpretation before proceeding under § 350.215.</P> </SECTION> <SECTION> <SECTNO>§ 350.337</SECTNO> <SUBJECT>How may State laws and regulations governing motor carriers, CMV drivers, and CMVs in interstate commerce differ from the FMCSRs and still be considered compatible?</SUBJECT> <P>States are not required to adopt 49 CFR parts 398 and 399, subparts A through E and H of part 107, and §§ 171.15 and 171.16, as applicable to either interstate or intrastate commerce.</P> </SECTION> <SECTION> <PRTPAGE P="31"/> <SECTNO>§ 350.339</SECTNO> <SUBJECT>What are tolerance guidelines?</SUBJECT> <P>Tolerance guidelines set forth the limited deviations from the FMCSRs allowed in your State's laws and regulations. These variances apply only to motor carriers, CMV drivers and CMVs engaged in intrastate commerce and not subject to Federal jurisdiction.</P> </SECTION> <SECTION> <SECTNO>§ 350.341</SECTNO> <SUBJECT>What specific variances from the FMCSRs are allowed for State laws and regulations governing motor carriers, CMV drivers, and CMVs engaged in intrastate commerce and not subject to Federal jurisdiction?</SUBJECT> <P>(a) A State may exempt a CMV from all or part of its laws or regulations applicable to intrastate commerce, provided that neither the GVW, GVWR, GCW, nor GCWR of the vehicle equals or exceeds 11,801 kg (26,001 lbs.). However, a State may not exempt a CMV from such laws or regulations if the vehicle:</P> <P>(1) Transports hazardous materials requiring a placard.</P> <P>(2) Is designed or used to transport 16 or more people, including the driver.</P> <P>(b) State laws and regulations applicable to intrastate commerce may not grant exemptions based upon the type of transportation being performed (<E T="03">e.g.,</E> for-hire, private, etc.).</P> <P>(c) A State may retain those exemptions from its motor carrier safety laws and regulations that were in effect before April, 1988, are still in effect, and apply to specific industries operating in intrastate commerce.</P> <P>(d) State laws and regulations applicable to intrastate commerce must not include exemptions based upon the distance a motor carrier or driver operates from the work reporting location. This prohibition does not apply to those exemptions already contained in the FMCSRs nor to the extension of the mileage radius exemption contained in 49 CFR 395.1(e) from 100 to 150 miles.</P> <P>(e) Hours of service—State hours-of-service limitations applied to intrastate transportation may vary to the extent of allowing the following:</P> <P>(1) A 12-hour driving limit, provided driving a CMV after having been on duty more than 16 hours is prohibited.</P> <P>(2) Driving prohibitions for drivers who have been on duty 70 hours in 7 consecutive days or 80 hours in 8 consecutive days.</P> <P>(f) Age of CMV driver—All CMV drivers must be at least 18 years of age.</P> <P>(g) Grandfather clauses—States may provide grandfather clauses in their rules and regulations if such exemptions are uniform or in substantial harmony with the FMCSRs and provide an orderly transition to full regulatory adoption at a later date.</P> <P>(h) Driver qualifications:</P> <P>(1) Intrastate drivers who do not meet the physical qualification standards in 49 CFR 391.41 may continue to be qualified to operate a CMV in intrastate commerce if the following three conditions are met:</P> <P>(i) The driver was qualified under existing State law or regulation at the time the State adopted physical qualification standards compatible with the Federal standards in 49 CFR 391.41.</P> <P>(ii) The otherwise non-qualifying medical or physical condition has not substantially worsened.</P> <P>(iii) No other non-qualifying medical or physical condition has developed.</P> <P>(2) The State may adopt or continue programs granting variances to intrastate drivers with medical or physical conditions that would otherwise be non-qualifying under the State's equivalent of 49 CFR 391.41 if the variances are based upon sound medical judgment combined with appropriate performance standards ensuring no adverse affect on safety.</P> </SECTION> <SECTION> <SECTNO>§ 350.343</SECTNO> <SUBJECT>How may a State obtain a new exemption for State laws and regulations for a specific industry involved in intrastate commerce?</SUBJECT> <P>The FMCSA strongly discourages exemptions for specific industries, but will consider such requests if the State submits documentation containing information supporting evaluation of the following 10 factors:</P> <P>(a) Type and scope of the industry exemption requested, including percentage of industry affected, number of vehicles, mileage traveled, number of companies involved.</P> <P>(b) Type and scope of the requirement to which the exemption would apply.<PRTPAGE P="32"/> </P> <P>(c) Safety performance of that specific industry (<E T="03">e.g.,</E> accident frequency, rates and comparative figures).</P> <P>(d) Inspection information (<E T="03">e.g.,</E> number of violations per inspection, driver and vehicle out-of-service information).</P> <P>(e) Other CMV safety regulations enforced by other State agencies not participating in the MCSAP.</P> <P>(f) Commodity transported (<E T="03">e.g.,</E> livestock, grain).</P> <P>(g) Similar variations granted and the circumstances under which they were granted.</P> <P>(h) Justification for the exemption.</P> <P>(i) Identifiable effects on safety.</P> <P>(j) State's economic environment and its ability to compete in foreign and domestic markets.</P> </SECTION> <SECTION> <SECTNO>§ 350.345</SECTNO> <SUBJECT>How does a State apply for additional variances from the FMCSRs?</SUBJECT> <P>Any State may apply to the Administrator for a variance from the FMCSRs for intrastate commerce. The variance will be granted only if the State satisfactorily demonstrates that the State law, regulation or enforcement practice:</P> <P>(a) Achieves substantially the same purpose as the similar Federal regulation.</P> <P>(b) Does not apply to interstate commerce.</P> <P>(c) Is not likely to have an adverse impact on safety.</P> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 355</EAR> <HD SOURCE="HED">PART 355—COMPATIBILITY OF STATE LAWS AND REGULATIONS AFFECTING INTERSTATE MOTOR CARRIER OPERATIONS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Applicability and Definitions</HD> <SECHD>Sec.</SECHD> <SECTNO>355.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <SECTNO>355.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>355.5</SECTNO> <SUBJECT>Definitions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Requirements</HD> <SECTNO>355.21</SECTNO> <SUBJECT>Regulatory review.</SUBJECT> <SECTNO>355.23</SECTNO> <SUBJECT>Submission of results.</SUBJECT> <SECTNO>355.25</SECTNO> <SUBJECT>Adopting and enforcing compatible laws and regulations.</SUBJECT> <APP>Appendix A to Part 355—Guidelines for the Regulatory Review</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 504 and 31101 <E T="03">et seq.</E>; 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>57 FR 40962, Sept. 8, 1992, unless otherwise noted.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 355 appear at 66 FR 49870, Oct. 1, 2001.</P> </EDNOTE> <SUBPART> <HD SOURCE="HED">Subpart A—General Applicability and Definitions</HD> <SECTION> <SECTNO>§ 355.1</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>(a) To promote adoption and enforcement of State laws and regulations pertaining to commercial motor vehicle safety that are compatible with appropriate parts of the Federal Motor Carrier Safety Regulations.</P> <P>(b) To provide guidelines for a continuous regulatory review of State laws and regulations.</P> <P>(c) To establish deadlines for States to achieve compatibility with appropriate parts of the Federal Motor Carrier Safety Regulations with respect to interstate commerce.</P> </SECTION> <SECTION> <SECTNO>§ 355.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>These provisions apply to any State that adopts or enforces laws or regulations pertaining to commercial motor vehicle safety in interstate commerce.</P> </SECTION> <SECTION> <SECTNO>§ 355.5</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>Unless specifically defined in this section, terms used in this part are subject to the definitions in 49 CFR 390.5.</P> <P> <E T="03">Compatible</E> or <E T="03">Compatibility</E> means that State laws and regulations applicable to interstate commerce and to intrastate movement of hazardous materials are identical to the FMCSRs and the HMRs or have the same effect as the FMCSRs; and that State laws applicable to intrastate commerce are either identical to, or have the same effect as, the FMCSRs or fall within the established limited variances under §§ 350.341, 350.343, and 350.345 of this subchapter.</P> <P> <E T="03">Federal Hazardous Materials Regulations (FMHRs)</E> means those safety regulations which are contained in parts 107, 171-173, 177, 178 and 180, except part 107 and §§ 171.15 and 171.16.</P> <P> <E T="03">Federal Motor Carrier Safety Regulations (FMCSRs)</E> means those safety regulations which are contained in parts <PRTPAGE P="33"/>390, 391, 392, 393, 395, 396, and 397 of this subchapter.</P> <P> <E T="03">State</E> means a State of the United States, the District of Columbia, the Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana Islands, American Samoa, Guam and the Virgin Islands.</P> <CITA>[57 FR 40962, Sept. 8, 1992, as amended at 65 FR 15109, Mar. 21, 2000]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Requirements</HD> <SECTION> <SECTNO>§ 355.21</SECTNO> <SUBJECT>Regulatory review.</SUBJECT> <P>(a) <E T="03">General.</E> Each State shall annually analyze its laws and regulations, including those of its political subdivisions, which pertain to commercial motor vehicle safety to determine whether its laws and regulations are compatible with the Federal Motor Carrier Safety Regulations. Guidelines for the regulatory review are provided in the appendix to this part.</P> <P>(b) <E T="03">Responsibility.</E> The State agency designated as lead agency for the administration of grants made pursuant to part 350 of this subchapter is responsible for reviewing and analyzing State laws and regulations for compliance with this part. In the absence of an officially designated Motor Carrier Safety Assistance Program (MCSAP) lead agency or in its discretion, the State shall designate another agency responsible to review and determine compliance with these regulations.</P> <P>(c) <E T="03"> State review.</E> (1) The State shall determine which of its laws and regulations pertaining to commercial motor vehicle safety are the same as the Federal Motor Carrier Safety or Federal Hazardous Materials Regulations. With respect to any State law or regulation which is not the same as the FMCSRs (FHMRs must be identical), the State shall identify such law or regulation and determine whether:</P> <P>(i) It has the same effect as a corresponding section of the Federal Motor Carrier Safety Regulations;</P> <P>(ii) It applies to interstate commerce;</P> <P>(iii) It is more stringent than the FMCSRs in that it is more restrictive or places a greater burden on any entity subject to its provisions.</P> <P>(2) If the inconsistent State law or regulation applies to interstate commerce and is more stringent than the FMCSRs, the State shall determine:</P> <P>(i) The safety benefits associated with such State law or regulation; and</P> <P>(ii) The effect of the enforcement of such State law or regulation on interstate commerce.</P> <P>(3) If the inconsistent State law or regulation does not apply to interstate commerce or is less stringent than the FMCSRs, the guidelines for participation in the Motor Carrier Safety Assistance Program in §§ 350.341, 350.343, and 350.345 of this subchapter shall apply.</P> <CITA>[57 FR 40962, Sept. 8, 1992, as amended at 65 FR 15109, Mar. 21, 2000]</CITA> </SECTION> <SECTION> <SECTNO>§ 355.23</SECTNO> <SUBJECT>Submission of results.</SUBJECT> <P>Each State shall submit the results of its regulatory review annually with its certification of compliance under § 350.209 of this subchapter. It shall submit the results of the regulatory review with the certification no later than August 1 of each year with the Commercial Vehicle Safety Plan (CVSP). The State shall include copies of pertinent laws and regulations.</P> <CITA>[65 FR 15109, Mar. 21, 2000]</CITA> </SECTION> <SECTION> <SECTNO>§ 355.25</SECTNO> <SUBJECT>Adopting and enforcing compatible laws and regulations.</SUBJECT> <P>(a) <E T="03">General.</E> No State shall have in effect or enforce any State law or regulation pertaining to commercial motor vehicle safety in interstate commerce which the Administrator finds to be incompatible with the provisions of the Federal Motor Carrier Safety Regulations.</P> <P>(b) <E T="03">New state requirements.</E> No State shall implement any changes to a law or regulation which makes that or any other law or regulation incompatible with a provision of the Federal Motor Carrier Safety Regulations.</P> <P>(c) <E T="03">Enforcement.</E> To enforce compliance with this section, the Administrator will initiate a rulemaking proceeding under part 389 of this subchapter to declare the incompatible State law or regulation pertaining to commercial motor vehicle safety unenforceable in interstate commerce.</P> <P>(d) <E T="03">Waiver of determination.</E> Any person (including any State) may petition for a waiver of a determination made <PRTPAGE P="34"/>under paragraph (c) of this section. Such petition will also be considered in a rulemaking proceeding under part 389. Waivers shall be granted only upon a satisfactory showing that continued enforcement of the incompatible State law or regulation is not contrary to the public interest and is consistent with the safe operation of commercial motor vehicles.</P> <P>(e) <E T="03">Consolidation of proceedings.</E> The Administrator may consolidate any action to enforce this section with other proceedings required under this section if the Administrator determines that such consolidation will not adversely affect any party to any such proceeding.</P> </SECTION> <APPENDIX> <EAR>Pt. 355, App. A</EAR> <HD SOURCE="HED">Appendix A to Part 355—Guidelines for the Regulatory Review</HD> <P>Each State shall review its laws and regulations to achieve compatibility with the Federal Motor Carrier Safety Regulations (FMCSRs). Each State shall consider all related requirements on enforcement of the State's motor carrier safety regulations. The documentation shall be simple and brief.</P> <HD SOURCE="HD1">Scope</HD> <P>The State review required by § 355.21 may be limited to those laws and regulations previously determined to be incompatible in the report of the Commercial Motor Vehicle Safety Regulatory Review Panel issued in August 1990, or by subsequent determination by the Administrator under this part, <E T="03">and</E> any State laws or regulations enacted or issued after August 1990.</P> <HD SOURCE="HD1">Applicability</HD> <P>The requirements must apply to all segments of the motor carrier industry common, contract, and private carriers of property and for-hire carriers of passengers.</P> <HD SOURCE="HD1">Definitions</HD> <P>Definitions of terms must be consistent with those in the FMCSRs.</P> <HD SOURCE="HD1">Driver Qualifications</HD> <P>Require a driver to be properly licensed to drive a commercial motor vehicle; require a driver to be in good physical health, at least 21 years of age, able to operate a vehicle safely, and maintain a good driving record; prohibit drug and alcohol abuse; require a motor carrier to maintain a driver qualification file for each driver; and require a motor carrier to ensure that a driver is medically qualified. </P> <NOTE> <HD SOURCE="HED">Note:</HD> <P>The requirements for testing apply only to drivers of commercial motor vehicles as defined in 49 CFR part 383.</P> </NOTE> <HD SOURCE="HD1">Driving of Motor Vehicles</HD> <P>Prohibit possession, use, or driving under the influence of alcohol or other controlled substances (while on duty); and establish 0.04 percent as the level of alcohol in the blood at which a driver is considered under the influence of alcohol.</P> <HD SOURCE="HD1">Parts and Accessories Necessary for Safe Operation</HD> <P>Require operational lights and reflectors; require systematically arranged and installed wiring; and require brakes working at the required performance level, and other key components included in 49 CFR part 393.</P> <HD SOURCE="HD1">Hours of Service of Drivers</HD> <P>Prohibit a motor carrier from allowing or requiring any driver to drive: More than 10 hours following 8 consecutive hours off duty; after being on duty 15 hours, after being on duty more than 60 hours in any 7 consecutive days; or after being on duty more than 70 hours in any 8 consecutive days.</P> <P>Require a driver to prepare a record-of-duty status for each 24-hour period. The driver and motor carrier must retain the records.</P> <HD SOURCE="HD1">Inspection and Maintenance</HD> <P>Prohibit a commercial motor vehicle from being operated when it is likely to cause an accident or a breakdown; require the driver to conduct a walk-around inspection of the vehicle before driving it to ensure that it can be safely operated; require the driver to prepare a driver vehicle inspection report; and require commercial motor vehicles to be inspected at least annually.</P> <HD SOURCE="HD1">Hazardous Materials</HD> <P>Require a motor carrier or a person operating a commercial motor vehicle transporting hazardous materials to follow the safety and hazardous materials requirements.</P> <HD SOURCE="HD1">State Determinations</HD> <P>1. Each State must determine whether its requirements affecting interstate motor carriers are “less stringent” than the Federal requirements. “Less stringent” requirements represent either gaps in the State requirements in relation to the Federal requirements as summarized under item number one in this appendix or State requirements which are less restrictive than the Federal requirements.</P> <P>a. An example of a gap is when a State does not have the authority to regulate the safety of for-hire carriers of passengers or <PRTPAGE P="35"/>has the authority but chooses to exempt the carrier.</P> <P>b. An example of a less restrictive State requirement is when a State allows a person under 21 years of age to operate a commercial motor vehicle in interstate commerce.</P> <P>2. Each State must determine whether its requirements affecting interstate motor carriers are “more stringent” than the Federal requirements: “More stringent” requirements are more restrictive or inclusive in relation to the Federal requirements as summarized under item number one in this appendix. For example, a requirement that a driver must have 2 days off after working 5 consecutive days. The State would demonstrate that its more stringent requirements:</P> <P>a. Have a “safety benefit;” for example, result in fewer accidents or reduce the risk of accidents;</P> <P>b. do not create “an undue burden on interstate commerce,” e.g., do not delay, interfere with, or increase that cost or the administrative burden for a motor carrier transporting property or passengers in interstate commerce; and</P> <P>c. Are otherwise compatible with Federal safety requirements.</P> <P>3. A State must adopt and enforce in a consistent manner the requirements referenced in the above guidelines in order for the FMCSA to accept the State's determination that it has compatible safety requirements affecting interstate motor carrier operations. Generally, the States would have up to 3 years from the effective date of the new Federal requirement to adopt and enforce compatible requirements. The FMCSA would specify the deadline when promulgating future Federal safety requirements. The requirements are considered of equal importance.</P> <CITA>[57 FR 40962, Sept. 8, 1992, as amended by 58 FR 33776, June 21, 1993; 62 FR 37151, July 11, 1997; 65 FR 15110, Mar. 21, 2000]</CITA> </APPENDIX> </SUBPART> </PART> <PART> <EAR>Pt. 356</EAR> <HD SOURCE="HED">PART 356—MOTOR CARRIER ROUTING REGULATIONS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>356.1</SECTNO> <SUBJECT>Authority to serve a particular area—construction.</SUBJECT> <SECTNO>356.3</SECTNO> <SUBJECT>Regular route motor passenger service.</SUBJECT> <SECTNO>356.5</SECTNO> <SUBJECT>Traversal authority.</SUBJECT> <SECTNO>356.7</SECTNO> <SUBJECT>Tacking.</SUBJECT> <SECTNO>356.9</SECTNO> <SUBJECT>Elimination of routing restrictions—regular route carriers.</SUBJECT> <SECTNO>356.11</SECTNO> <SUBJECT>Elimination of gateways—regular and irregular route carriers.</SUBJECT> <SECTNO>356.13</SECTNO> <SUBJECT>Redesignated highways.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>5 U.S.C. 553; 49 U.S.C. 13301 and 13902; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>62 FR 32041, June 12, 1997, unless otherwise noted.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 356 appear at 66 FR 49870, Oct. 1, 2001.</P> </EDNOTE> <SECTION> <SECTNO>§ 356.1</SECTNO> <SUBJECT>Authority to serve a particular area—construction.</SUBJECT> <P>(a) <E T="03">Service at municipality.</E> A motor carrier of property, motor passenger carrier of express, and freight forwarder authorized to serve a municipality may serve all points within that municipality's commercial zone not beyond the territorial limits, if any, fixed in such authority.</P> <P>(b)<E T="03"> Service at unincorporated community.</E> A motor carrier of property, motor passenger carrier of express, and freight forwarder, authorized to serve an unincorporated community having a post office of the same name, may serve all points in the United States not beyond the territorial limits, if any, fixed in such authority, as follows:</P> <P>(1) All points within 3 miles of the post office in such unincorporated community if it has a population of less than 2,500; within 4 miles if it has a population of 2,500 but less than 25,000; and within 6 miles if it has a population of 25,000 or more;</P> <P>(2) At all points in any municipality any part of which is within the limits described in paragraph (b)(1) of this section; and</P> <P>(3) At all points in any municipality wholly surrounded, or so surrounded except for a water boundary, by any municipality included under the terms of paragraph (b)(2) of this section.</P> </SECTION> <SECTION> <SECTNO>§ 356.3</SECTNO> <SUBJECT>Regular route motor passenger service.</SUBJECT> <P>(a) A motor common carrier authorized to transport passengers over regular routes may serve:</P> <P>(1) All points on its authorized route;</P> <P>(2) All municipalities wholly within one airline mile of its authorized route;</P> <P>(3) All unincorporated areas within one airline mile of its authorized route; and</P> <P>(4) All military posts, airports, schools, and similar establishments that may be entered within one airline mile of its authorized route, but operations within any part of such establishment more than one airline mile <PRTPAGE P="36"/>from such authorized route may not be over a public road.</P> <P>(b) This section does not apply to those motor passenger common carriers authorized to operate within:</P> <P>(1) New York, NY;</P> <P>(2) Rockland, Westchester, Orange, or Nassau Counties, NY;</P> <P>(3) Fairfield County, CT; and</P> <P>(4) Passaic, Bergen, Essex, Hudson, Union, Morris, Somerset, Middlesex, or Monmouth Counties, NJ.</P> </SECTION> <SECTION> <SECTNO>§ 356.5</SECTNO> <SUBJECT>Traversal authority.</SUBJECT> <P>(a) <E T="03">Scope.</E> An irregular route motor carrier may operate between authorized service points over any reasonably direct or logical route unless expressly prohibited.</P> <P>(b) <E T="03">Requirements.</E> Before commencing operations, the carrier must, regarding each State traversed:</P> <P>(1) Notify the State regulatory body in writing, attaching a copy of its operating rights;</P> <P>(2) Designate a process agent; and</P> <P>(3) Comply with 49 CFR 387.315.</P> </SECTION> <SECTION> <SECTNO>§ 356.7</SECTNO> <SUBJECT>Tacking.</SUBJECT> <P>Unless expressly prohibited, a motor common carrier of property holding separate authorities which have common service points may join, or <E T="03">tack,</E> those authorities at the common point, or<E T="03"> gateway,</E> for the purpose of performing through service as follows:</P> <P>(a) Regular route authorities may be tacked with one another;</P> <P>(b) Regular route authority may be tacked with irregular route authority;</P> <P>(c) Irregular route authorities may be tacked with one another if the authorities were granted pursuant to application filed on or before November 23, 1973, and the distance between the points at which service is provided, when measured through the gateway point, is 300 miles or less; and</P> <P>(d) Irregular route authorities may be tacked with one another if the authorities involved contain a specific provision granting the right to tack.</P> </SECTION> <SECTION> <SECTNO>§ 356.9</SECTNO> <SUBJECT>Elimination of routing restrictions—regular route carriers.</SUBJECT> <P>(a) <E T="03">Regular route authorities—construction.</E> All certificates that, either singly or in combination, authorize the transportation by a motor common carrier of property over:</P> <P>(1) A single regular route or;</P> <P>(2) Over two or more regular routes that can lawfully be tacked at a common service point, shall be construed as authorizing transportation between authorized service points over any available route.</P> <P>(b) <E T="03">Service at authorized points.</E> A common carrier departing from its authorized service routes under paragraph (a) of this section shall continue to serve points authorized to be served on or in connection with its authorized service routes.</P> <P>(c) <E T="03">Intermediate point service.</E> A common carrier conducting operations under paragraph (a) of this section may serve points on, and within one airline mile of, an alternative route it elects to use if all the following conditions are met:</P> <P>(1) The carrier is authorized to serve all intermediate points (without regard to nominal restrictions) on the underlying service route;</P> <P>(2) The alternative route involves the use of a superhighway (i.e., a limited access highway with split-level crossings);</P> <P>(3) The alternative superhighway route, including highways connecting the superhighway portion of the route with the carrier's authorized service route,</P> <P>(i) Extends in the same general direction as the carrier's authorized service route and</P> <P>(ii) Is wholly within 25 airline miles of the carrier's authorized service route; and</P> <P>(4) Service is provided in the same manner as, and subject to any restrictions that apply to, service over the authorized service route.</P> </SECTION> <SECTION> <SECTNO>§ 356.11</SECTNO> <SUBJECT>Elimination of gateways—regular and irregular route carriers.</SUBJECT> <P>A motor common carrier of property holding separate grants of authority (including regular route authority), one or more of which authorizes transportation over irregular routes, where the authorities have a common service point at which they can lawfully be tacked to perform through service, may perform such through service over any available route.</P> </SECTION> <SECTION> <PRTPAGE P="37"/> <SECTNO>§ 356.13</SECTNO> <SUBJECT>Redesignated highways.</SUBJECT> <P>Where a highway over which a regular route motor common carrier of property is authorized to operate is assigned a new designation, such as a new number, letter, or name, the carrier shall advise the FMCSA by letter, and shall provide information concerning the new and the old designation, the points between which the highway is redesignated, and each place where the highway is referred to in the carrier's authority. The new designation of the highway will be shown in the carrier's certificate when the FMCSA has occasion to reissue it.</P> </SECTION> </PART> <PART> <EAR>Pt. 360</EAR> <HD SOURCE="HED">PART 360—FEES FOR MOTOR CARRIER REGISTRATION AND INSURANCE</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>360.1</SECTNO> <SUBJECT>Fees for records search, review, copying, certification, and related services.</SUBJECT> <SECTNO>360.3</SECTNO> <SUBJECT>Filing fees.</SUBJECT> <SECTNO>360.5</SECTNO> <SUBJECT>Updating user fees.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>31 U.S.C. 9701; 49 U.S.C. 13908(c) and 14504(c)(2); and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>64 FR 7137, Feb. 12, 1999, unless otherwise noted.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 360 appear at 66 FR 49870, Oct. 1, 2001.</P> </EDNOTE> <SECTION> <SECTNO>§ 360.1</SECTNO> <SUBJECT>Fees for records search, review, copying, certification, and related services.</SUBJECT> <P>Certifications and copies of public records and documents on file with the Federal Motor Carrier Safety Administration will be furnished on the following basis, pursuant to the Freedom of Information Act regulations at 49 CFR Part 7:</P> <P>(a) Certificate of the Director, Office of Data Analysis and Information Systems, as to the authenticity of documents, $9.00;</P> <P>(b) Service involved in checking records to be certified to determine authenticity, including clerical work, etc., incidental thereto, at the rate of $16.00 per hour;</P> <P>(c) Copies of the public documents, at the rate of $.80 per letter size or legal size exposure. A minimum charge of $5.00 will be made for this service; and</P> <P>(d) Search and copying services requiring ADP processing, as follows:</P> <P>(1) A fee of $42.00 per hour for professional staff time will be charged when it is required to fulfill a request for ADP data.</P> <P>(2) The fee for computer searches will be set at the current rate for computer service. Information on those charges can be obtained from the Office of Data Analysis and Information Systems (MC-PSDRIS).</P> <P>(3) Printing shall be charged at the rate of $.10 per page of computer generated output with a minimum charge of $.25. A charge of $30 per reel of magnetic tape will be made if the tape is to be permanently retained by the requestor.</P> </SECTION> <SECTION> <SECTNO>§ 360.3</SECTNO> <SUBJECT>Filing fees.</SUBJECT> <P>(a) <E T="03">Manner of payment.</E> (1) Except for the insurance fees described in the next sentence, all filing fees will be payable at the time and place the application, petition, or other document is tendered for filing. The service fee for insurance, surety or self-insurer accepted certificate of insurance, surety bond or other instrument submitted in lieu of a broker surety bond must be charged to an insurance service account established by the Federal Motor Carrier Safety Administration in accordance with paragraph (a)(2) of this section.</P> <P>(2) <E T="03">Billing account procedure.</E> A written request must be submitted to the Office of Enforcement and Compliance, Insurance Compliance Division (MC-PSDECI) to establish an insurance service fee account.</P> <P>(i) Each account will have a specific billing date within each month and a billing cycle. The billing date is the date that the bill is prepared and printed. The billing cycle is the period between the billing date in one month and the billing date in the next month. A bill for each account which has activity or an unpaid balance during the billing cycle will be sent on the billing date each month. Payment will be due 20 days from the billing date. Payments received before the next billing date are applied to the account. Interest will accrue in accordance with 4 CFR 102.13.</P> <P>(ii) The Debt Collection Act of 1982, including disclosure to the consumer reporting agencies and the use of collection agencies, as set forth in 4 CFR <PRTPAGE P="38"/>102.5 and 102.6 will be utilized to encourage payment where appropriate.</P> <P>(iii) An account holder who files a petition in bankruptcy or who is the subject of a bankruptcy proceeding must provide the following information to theOffice of Enforcement and Compliance, Insurance Division (MC-PSDECI):</P> <P>(A) The filing date of the bankruptcy petition;</P> <P>(B) The court in which the bankruptcy petition was filed;</P> <P>(C) The type of bankruptcy proceeding;</P> <P>(D) The name, address, and telephone number of its representative in the bankruptcy proceeding; and</P> <P>(E) The name, address, and telephone number of the bankruptcy trustee, if one has been appointed.</P> <P>(3) Fees will be payable to the Federal Motor Carrier Safety Administration by a check payable in United States currency drawn upon funds deposited in a United States or foreign bank or other financial institution, money order payable in United States' currency, or credit card (VISA or MASTERCARD).</P> <P>(b) Any filing that is not accompanied by the appropriate filing fee is deficient except for filings that satisfy the deferred payment procedures in paragraph (a) of this section.</P> <P>(c) <E T="03">Fees not refundable.</E> Fees will be assessed for every filing in the type of proceeding listed in the schedule of fees contained in paragraph (f) of this section, subject to the exceptions contained in paragraphs (d) and (e) of this section. After the application, petition, or other document has been accepted for filing by the Federal Motor Carrier Safety Administration, the filing fee will not be refunded, regardless of whether the application, petition, or other document is granted or approved, denied, rejected before docketing, dismissed, or withdrawn.</P> <P>(d) <E T="03">Related or consolidated proceedings.</E> (1) Separate fees need not be paid for related applications filed by the same applicant which would be the subject of one proceeding. (This does not mean requests for multiple types of operating authority filed on forms in the OP-1 series under the regulations at 49 CFR part 365. A separate filing fee is required for each type of authority sought in each transportation mode, e.g., common, contract, and broker authority for motor property carriers.)</P> <P>(2) Separate fees will be assessed for the filing of temporary operating authority applications as provided in paragraph (f)(6) of this section, regardless of whether such applications are related to an application for corresponding permanent operating authority.</P> <P>(3) The Federal Motor Carrier Safety Administration may reject concurrently filed applications, petitions, or other documents asserted to be related and refund the filing fee if, in its judgment, they embrace two or more severable matters which should be the subject of separate proceedings.</P> <P>(e) <E T="03">Waiver or reduction of filing fees.</E> It is the general policy of the Federal Motor Carrier Safety Administration not to waive or reduce filing fees except as described as follows:</P> <P>(1) Filing fees are waived for an application or other proceeding which is filed by a Federal government agency, or a State or local government entity. For purposes of this section the phrases “Federal government agency” or “government entity” do not include a quasi-governmental corporation or government subsidized transportation company.</P> <P>(2) In extraordinary situations the Federal Motor Carrier Safety Administration will accept requests for waivers or fee reductions in accordance with the following procedure:</P> <P>(i) <E T="03">When to request.</E> At the time that a filing is submitted to the Federal Motor Carrier Safety Administration the applicant may request a waiver or reduction of the fee prescribed in this part. Such request should be addressed to the Director, Office of Data Analysis and Information Systems.</P> <P>(ii) <E T="03">Basis.</E> The applicant must show the waiver or reduction of the fee is in the best interest of the public, or that payment of the fee would impose an undue hardship upon the requestor.</P> <P>(iii) <E T="03">Federal Motor Carrier Safety Administration action.</E> The Director, Office of Data Analysis and Information Systems, will notify the applicant of the decision to grant or deny the request for waiver or reduction.</P> <P>(f) Schedule of filing fees.<PRTPAGE P="39"/> </P> <GPOTABLE CDEF="s50,r150,r50" COLS="3" OPTS="L2"> <BOXHD> <CHED H="1">Type of Proceeding</CHED> <CHED H="1"/> <CHED H="1">Fee</CHED> </BOXHD> <ROW> <ENT I="22">Part I: Licensing:</ENT> </ROW> <ROW> <ENT I="02">(1)</ENT> <ENT>An application for motor carrier operating authority, a certificate of registration for certain foreign carriers, property broker authority, or freight forwarder authority</ENT> <ENT>$300</ENT> </ROW> <ROW> <ENT I="02">(2)</ENT> <ENT>A petition to interpret or clarify an operating authority</ENT> <ENT>3,000</ENT> </ROW> <ROW> <ENT I="02">(3)</ENT> <ENT>A request seeking the modification of operating authority only to the extent of making a ministerial correction, when the original error was caused by applicant, a change in the name of the shipper or owner of a plant site, or the change of a highway name or number</ENT> <ENT>50</ENT> </ROW> <ROW> <ENT I="02">(4)</ENT> <ENT>A petition to renew authority to transport explosives</ENT> <ENT>250</ENT> </ROW> <ROW> <ENT I="02">(5)</ENT> <ENT>An application for authority to deviate from authorized regular-route authority</ENT> <ENT>150</ENT> </ROW> <ROW> <ENT I="02">(6)</ENT> <ENT>An application for motor carrier temporary authority issued in an emergency situation</ENT> <ENT>100</ENT> </ROW> <ROW> <ENT I="02">(7)</ENT> <ENT>Request for name change of a motor carrier, property broker, or freight forwarder</ENT> <ENT>14</ENT> </ROW> <ROW> <ENT I="02">(8)</ENT> <ENT>An application involving the merger, transfer, or lease of the operating rights of motor passenger and property carriers, property brokers, and household goods freight forwarders under 49 U.S.C. 10321 and 10926</ENT> <ENT>300</ENT> </ROW> <ROW> <ENT I="02">(9)—(49)</ENT> <ENT>[Reserved]</ENT> <ENT/> </ROW> <ROW> <ENT I="22">Part II: Insurance:</ENT> </ROW> <ROW> <ENT I="02">(50)</ENT> <ENT>(i) An application for original qualification as self-insurer for bodily injury and property damage insurance (BI&PD)</ENT> <ENT>4,200</ENT> </ROW> <ROW> <ENT I="22"/> <ENT>(ii) An application for original qualification as self-insurer for cargo insurance</ENT> <ENT>420</ENT> </ROW> <ROW> <ENT I="02">(51)</ENT> <ENT>A service fee for insurer, surety, or self-insurer accepted certificate of insurance, surety bond, and other instrument submitted in lieu of a broker surety bond</ENT> <ENT>$10 per accepted certificate, surety bond or other instrument submitted in lieu of a broker surety bond.</ENT> </ROW> <ROW> <ENT I="02">(52)</ENT> <ENT>A petition for reinstatement of revoked operating authority</ENT> <ENT>80</ENT> </ROW> <ROW> <ENT I="02">(53)—(79)</ENT> <ENT>[Reserved]</ENT> </ROW> <ROW> <ENT I="22">Part III: Services:</ENT> </ROW> <ROW> <ENT I="02">(80)</ENT> <ENT>Request for service or pleading list for proceedings</ENT> <ENT>13 per list</ENT> </ROW> <ROW> <ENT I="02">(81)</ENT> <ENT>Faxed copies of operating authority to applicants or their representatives who did not receive a served copy</ENT> <ENT>5</ENT> </ROW> </GPOTABLE> <P>(g) <E T="03">Returned check policy.</E> (1) If a check submitted to the FMCSA for a filing or service fee is dishonored by a bank or financial institution on which it is drawn, the FMCSA will notify the person who submitted the check that:</P> <P>(i) All work will be suspended on the filing or proceeding, until the check is made good;</P> <P>(ii) A returned check charge of $6.00 and any bank charges incurred by the FMCSA as a result of the dishonored check must be submitted with the filing fee which is outstanding; and</P> <P>(iii) If payment is not made within the time specified by the FMCSA, the proceeding will be dismissed or the filing may be rejected.</P> <P>(2) If a person repeatedly submits dishonored checks to the FMCSA for filing fees, the FMCSA may notify the person that all future filing fees must be submitted in the form of a certified or cashier's check, money order, or credit card.</P> <CITA>[64 FR 7137, Feb. 12, 1999, as amended at 67 FR 61820, Oct. 2, 2002]</CITA> </SECTION> <SECTION> <SECTNO>§ 360.5</SECTNO> <SUBJECT>Updating user fees.</SUBJECT> <P>(a) <E T="03">Update.</E> Each fee established in this part may be updated in accordance with this section as deemed necessary by the FMCSA.</P> <P>(b) <E T="03">Publication and effective dates.</E> Updated fees shall be published in the <E T="04">Federal Register</E> and shall become effective 30 days after publication.</P> <P>(c) <E T="03">Payment of fees.</E> Any person submitting a filing for which a fee is established shall pay the fee in effect at the time of the filing.</P> <P>(d) <E T="03">Method of updating fees.</E> Each fee shall be updated by updating the cost components comprising the fee. Cost components shall be updated as follows:</P> <P>(1) Direct labor costs shall be updated by multiplying base level direct labor costs by percentage changes in average <PRTPAGE P="40"/>wages and salaries of FMCSA employees. Base level direct labor costs are direct labor costs determined by the cost study in <E T="03">Regulations Governing Fees For Service,</E> 1 I.C.C. 2d 60 (1984), or subsequent cost studies. The base period for measuring changes shall be April 1984 or the year of the last cost study.</P> <P>(2) Operations overhead shall be developed each year on the basis of current relationships existing on a weighted basis, for indirect labor applicable to the first supervisory work centers directly associated with user fee activity. Actual updating of operations overhead will be accomplished by applying the current percentage factor to updated direct labor, including current governmental overhead costs.</P> <P>(3)(i) Office general and administrative costs shall be developed each year on the basis of current levels costs, i.e., dividing actual office general and administrative costs for the current fiscal year by total office costs for the office directly associated with user fee activity. Actual updating of office general and administrative costs will be accomplished by applying the current percentage factor to updated direct labor, including current governmental overhead and current operations overhead costs.</P> <P>(ii) FMCSA general and administrative costs shall be developed each year on the basis of current level costs; i.e., dividing actual FMCSA general and administrative costs for the current fiscal year by total agency expenses for the current fiscal year. Actual updating of FMCSA general and administrative costs will be accomplished by applying the current percentage factor to updated direct labor, including current governmental overhead, operations overhead and office general and administrative costs.</P> <P>(4) Publication costs shall be adjusted on the basis of known changes in the costs applicable to publication of material in the <E T="04">Federal Register</E> or FMCSA Register.</P> <P>(This rounding procedures excludes copying, printing and search fees.)</P> <P>(e) <E T="03">Rounding of updated fees.</E> Updated fees shall be rounded in the following manner:</P> <P>(1) Fees between $1 and $30 will be rounded to the nearest $1;</P> <P>(2) Fees between $30 and $100 will be rounded to the nearest $10;</P> <P>(3) Fees between $100 and $999 will be rounded to the nearest $50; and</P> <P>(4) Fees above $1,000 will be rounded to the nearest $100.</P> </SECTION> </PART> <PART> <EAR>Pt. 365</EAR> <HD SOURCE="HED">PART 365—RULES GOVERNING APPLICATIONS FOR OPERATING AUTHORITY</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—How To Apply for Operating Authority</HD> <SECHD>Sec.</SECHD> <SECTNO>365.101</SECTNO> <SUBJECT>Applications governed by these rules.</SUBJECT> <SECTNO>365.103</SECTNO> <SUBJECT>Modified procedure.</SUBJECT> <SECTNO>365.105</SECTNO> <SUBJECT>Starting the application process: Form OP-1.</SUBJECT> <SECTNO>365.107</SECTNO> <SUBJECT>Types of applications.</SUBJECT> <SECTNO>365.109</SECTNO> <SUBJECT>FMCSA review of the application.</SUBJECT> <SECTNO>365.111</SECTNO> <SUBJECT>Appeals to rejections of the application.</SUBJECT> <SECTNO>365.113</SECTNO> <SUBJECT>Changing the request for authority or filing supplementary evidence after the application is filed.</SUBJECT> <SECTNO>365.115</SECTNO> <SUBJECT>After publication in the FMCSA Register.</SUBJECT> <SECTNO>365.117</SECTNO> <SUBJECT>Obtaining a copy of the application.</SUBJECT> <SECTNO>365.119</SECTNO> <SUBJECT>Opposed applications.</SUBJECT> <SECTNO>365.121</SECTNO> <SUBJECT>Filing a reply statement.</SUBJECT> <SECTNO>365.123</SECTNO> <SUBJECT>Applicant withdrawal.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How To Oppose Requests for Authority</HD> <SECTNO>365.201</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>365.203</SECTNO> <SUBJECT>Time for filing.</SUBJECT> <SECTNO>365.205</SECTNO> <SUBJECT>Contents of the protest.</SUBJECT> <SECTNO>365.207</SECTNO> <SUBJECT>Withdrawal.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—General Rules Governing the Application Process</HD> <SECTNO>365.301</SECTNO> <SUBJECT>Applicable rules.</SUBJECT> <SECTNO>365.303</SECTNO> <SUBJECT>Contacting another party.</SUBJECT> <SECTNO>365.305</SECTNO> <SUBJECT>Serving copies of pleadings.</SUBJECT> <SECTNO>365.307</SECTNO> <SUBJECT>Replies to motions.</SUBJECT> <SECTNO>365.309</SECTNO> <SUBJECT>FAX filings.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Transfer of Operating Rights Under 49 U.S.C. 10926</HD> <SECTNO>365.401</SECTNO> <SUBJECT>Scope of rules.</SUBJECT> <SECTNO>365.403</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>365.405</SECTNO> <SUBJECT>Applications.</SUBJECT> <SECTNO>365.407</SECTNO> <SUBJECT>Notice.</SUBJECT> <SECTNO>365.409</SECTNO> <SUBJECT>FMCSA action and criteria for approval.</SUBJECT> <SECTNO>365.411</SECTNO> <SUBJECT>Responsive pleadings.</SUBJECT> <SECTNO>365.413</SECTNO> <SUBJECT>Procedures for changing the name or business form of a motor carrier, freight forwarder, or property broker.</SUBJECT> </SUBPART> <SUBPART> <PRTPAGE P="41"/> <HD SOURCE="HED">Subpart E—Special Rules for Certain Mexico-Domiciled Carriers</HD> <SECTNO>365.501</SECTNO> <SUBJECT>Scope of rules.</SUBJECT> <SECTNO>365.503</SECTNO> <SUBJECT>Application.</SUBJECT> <SECTNO>365.505</SECTNO> <SUBJECT>Re-registration and fee waiver for certain applicants.</SUBJECT> <SECTNO>365.507</SECTNO> <SUBJECT>FMCSA action on the application.</SUBJECT> <SECTNO>365.509</SECTNO> <SUBJECT>Requirement to notify FMCSA of change in applicant information.</SUBJECT> <SECTNO>365.511</SECTNO> <SUBJECT>Requirement for CVSA inspection of vehicles during first three consecutive years of permanent operating authority.</SUBJECT> <APP>Appendix A to Subpart E—Explanation of Pre-Authorization Safety Audit Evaluation Criteria for Mexico-Domiciled Motor Carriers</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>5 U.S.C. 553 and 559; 16 U.S.C. 1456; 49 U.S.C. 13101, 13301, 13901-13906, 14708, 31138, and 31144; 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>59 FR 63728, Dec. 9, 1994, unless otherwise noted. Redesignated at 61 FR 54707, Oct. 21, 1996.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 365 appear at 66 FR 49870, Oct. 1, 2001.</P> </EDNOTE> <SUBPART> <HD SOURCE="HED">Subpart A—How To Apply for Operating Authority</HD> <SECTION> <SECTNO>§ 365.101</SECTNO> <SUBJECT>Applications governed by these rules.</SUBJECT> <P>These rules govern the handling of applications for operating authority of the following type:</P> <P>(a) Applications for certificates and permits to operate as a motor common or contract carrier of property or passengers.</P> <P>(b) Applications for permits to operate as a freight forwarder.</P> <P>(c) [Reserved]</P> <P>(d) Applications for licenses to operate as a broker of motor vehicle transportation.</P> <P>(e) Applications for certificates under 49 U.S.C. 13902(b)(3) to operate as a motor common carrier of passengers in intrastate commerce on a route over which applicant holds interstate authority as of November 19, 1982.</P> <P>(f) Applications for certificates under 49 U.S.C. 13902(b)(3) to operate as a motor common carrier of passengers in intrastate commerce on a route over which applicant has been granted or will be granted interstate authority after November 19, 1982.</P> <P>(g) Applications for temporary motor carrier authority.</P> <P>(h) Applications for Mexico-domiciled motor carriers to operate in foreign commerce as common, contract or private motor carriers of property (including exempt items) between Mexico and all points in the United States. Under NAFTA Annex I, page I-U-20, a Mexico-domiciled motor carrier may not provide point-to-point transportation services, including express delivery services, within the United States for goods other than international cargo.</P> <CITA>[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 62 FR 49940, Sept. 24, 1997; 67 FR 12714, Mar. 19, 2002; 67 FR 61820, Oct. 2, 2002]</CITA> </SECTION> <SECTION> <SECTNO>§ 365.103</SECTNO> <SUBJECT>Modified procedure.</SUBJECT> <P>The FMCSA will handle licensing application proceedings using the modified procedure, if possible. The applicant and protestants send statements made under oath (verified statements) to each other and to the FMCSA. There are no personal appearances or formal hearings.</P> </SECTION> <SECTION> <SECTNO>§ 365.105</SECTNO> <SUBJECT>Starting the application process: Form OP-1.</SUBJECT> <P>(a) All applicants must file the appropriate form in the OP-1 series, effective January 1, 1995. Form OP-1 for motor property carriers and brokers of general freight and household goods; Form OP-1(P) for motor passenger carriers; Form OP-1(FF) for freight forwarders; and Form OP-1(MX) for Mexico-domiciled motor property carriers, including household goods and motor passenger carriers. A separate filing fee in the amount set forth at 49 CFR 360.3(f)(1) is required for each type of authority sought in each transportation mode.</P> <P>(b) Obtain forms at a FMCSA Division Office in each State or at one of the FMCSA Service Centers. Addresses and phone numbers for the Division Offices and Service Centers can be found at: <E T="03">http://www.fmcsa.dot.gov/aboutus/fieldoffices.</E> The forms and information about filing procedures can be downloaded at: <E T="03">http://www.fmcsa.dot.gov/factsfigs/formspubs;</E> and from the do-it-yourself website at: <E T="03">http://www.diy.dot.gov.</E> </P> <CITA>[66 FR 49870, Oct. 1, 2001, as amended at 67 FR 12714, Mar. 19, 2002; 67 FR 61820, Oct. 2, 2002]</CITA> </SECTION> <SECTION> <PRTPAGE P="42"/> <SECTNO>§ 365.107</SECTNO> <SUBJECT>Types of applications.</SUBJECT> <P>(a) Fitness applications. Motor property applications and certain types of motor passenger applications require only the finding that the applicant is fit, willing and able to perform the involved operations and to comply with all applicable statutory and regulatory provisions. These applications can be opposed only on the grounds that applicant is not fit [<E T="03">e.g.,</E> is not in compliance with applicable financial responsibility and safety fitness requirements]. These applications are:</P> <P>(1) Motor common and contract carrier of property (except household goods) , Mexican motor property carriers that perform private carriage and transport exempt items, and motor contract carrier of passengers transportation.</P> <P>(2) Motor carrier brokerage of general commodities (except household goods).</P> <P>(3) Certain types of motor passenger applications as described in Form OP-1 (P).</P> <P>(b) Motor passenger “public interest” applications as described in Form OP-1 (P).</P> <P>(c) Intrastate motor passenger applications under 49 U.S.C. 13902(b)(3) as described in Form OP-1, Schedule B.</P> <P>(d) Motor common carrier of household goods applications, including Mexican carrier applicants. These applications require a finding that:</P> <P>(1) The applicant is fit, willing, and able to provide the involved transportation and to comply with all applicable statutory and regulatory provisions; and</P> <P>(2) The service proposed will serve a useful public purpose, responsive to a public demand or need.</P> <P>(e) Motor contract carrier of household goods, household goods property broker, and freight forwarder applications. These applications require a finding that:</P> <P>(1) The applicant is fit, willing, and able to provide the involved transportation and to comply with all applicable statutory and regulatory provisions; and</P> <P>(2) The transportation to be provided will be consistent with the public interest and the national transportation policy of 49 U.S.C. 13101.</P> <P>(f) Temporary authority (TA) for motor and water carriers. These applications require a finding that there is or soon will be an immediate transportation need that cannot be met by existing carrier service.</P> <P>(g)In view of the expedited time frames established in this part for processing requests for permanent authority, applications for TA will be entertained <E T="03">only</E> in exceptional circumstances (<E T="03">i.e.,</E> natural disasters or national emergencies) when evidence of immediate service need can be specifically documented in a narrative supplement appended to Form OP-1 for motor property carriers, Form OP-1MX for Mexican property carriers and, Form OP-1(P) for motor passenger carriers.</P> <CITA>[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 62 FR 49940, Sept. 24, 1997; 67 FR 61820, Oct. 2, 2002]</CITA> </SECTION> <SECTION> <SECTNO>§ 365.109</SECTNO> <SUBJECT>FMCSA review of the application.</SUBJECT> <P>(a) FMCSA staff will review the application for correctness, completeness, and adequacy of the evidence (the <E T="03">prima facie</E> case).</P> <P>(1) Minor errors will be corrected without notification to the applicant.</P> <P>(2) Materially incomplete applications will be rejected. Applications that are in substantial compliance with these rules may be accepted.</P> <P>(3) All motor carrier applications will be reviewed for consistency with the FMCSA's operational safety fitness policy. Applicants with “Unsatisfactory” safety fitness ratings from DOT will have their applications rejected.</P> <P>(4) FMCSA staff will review completed applications that conform with the FMCSA's safety fitness policy and that are accompanied by evidence of adequate financial responsibility.</P> <P>(5) Financial responsibility is indicated by filing within 20 days from the date an application notice is published in the FMCSA Register:</P> <P>(i) <E T="03">Form BMC-91 or 91X or BMC 82 surety bond</E>—Bodily injury and property damage (motor property and passenger carriers; household goods freight forwarders that provide pickup or delivery service directly or by using a local delivery service under their control).<PRTPAGE P="43"/> </P> <P>(ii) <E T="03">Form BMC-84</E>—Surety bond or Form BMC-85—trust fund agreement (property brokers of general commodities and household goods).</P> <P>(iii) <E T="03">Form BMC-34 or BMC 83 surety bond</E>—Cargo liability (motor property common carriers and household goods freight forwarders).</P> <P>(6) Applicants also must submit Form BOC-3—designation of legal process agents—within 20 days from the date an application notice is published in the <E T="03">FMCSA Register.</E> </P> <P>(7) Applicants seeking to conduct operations for which tariffs are required may not commence such operations until tariffs are in effect.</P> <P>(8) All applications must be completed in English.</P> <P>(b) A summary of the application will be published as a preliminary grant of authority in the <E T="03">FMCSA Register</E> to give notice to the public in case anyone wishes to oppose the application.</P> <CITA>[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 67 FR 61820, Oct. 2, 2002]</CITA> </SECTION> <SECTION> <SECTNO>§ 365.111</SECTNO> <SUBJECT>Appeals to rejections of the application.</SUBJECT> <P>(a) An applicant has the right to appeal rejection of the application. The appeal must be filed at the FMCSA within 10 days of the date of the letter of rejection.</P> <P>(b) If the appeal is successful and the filing is found to be proper, the application shall be deemed to have been properly filed as of the decision date of the appeal.</P> </SECTION> <SECTION> <SECTNO>§ 365.113</SECTNO> <SUBJECT>Changing the request for authority or filing supplementary evidence after the application is filed.</SUBJECT> <P>(a) Once the application is filed, the applicant may supplement evidence only with approval of the FMCSA.</P> <P>(b) Amendments to the application generally are not permitted, but in appropriate instances may be entertained at the discretion of the FMCSA.</P> </SECTION> <SECTION> <SECTNO>§ 365.115</SECTNO> <SUBJECT>After publication in the FMCSA Register.</SUBJECT> <P>(a) Interested persons have 10 days from the date of <E T="03">FMCSA Register</E> publication to file protests. See Subpart B of this part.</P> <P>(b) If no one opposes the application, the grant published in the <E T="03">FMCSA Register</E> will become effective by issuance of a certificate, permit, or license.</P> </SECTION> <SECTION> <SECTNO>§ 365.117</SECTNO> <SUBJECT>Obtaining a copy of the application.</SUBJECT> <P>After publication, interested persons may request a copy of the application by contacting the FMCSA-designated contract agent (as identified in the <E T="03">FMCSA Register</E>).</P> </SECTION> <SECTION> <SECTNO>§ 365.119</SECTNO> <SUBJECT>Opposed applications.</SUBJECT> <P>If the application is opposed, opposing parties are required to send a copy of their protest to the applicant.</P> </SECTION> <SECTION> <SECTNO>§ 365.121</SECTNO> <SUBJECT>Filing a reply statement.</SUBJECT> <P>(a) If the application is opposed, applicant may file a reply statement. This statement is due within 20 days after <E T="03">FMCSA Register</E> publication.</P> <P>(b) The reply statement may not contain new evidence. It shall only rebut or further explain matters previously raised.</P> <P>(c) The reply statement need not be notarized or verified. Applicant understands that the oath in the application form applies to all evidence submitted in the application. Separate legal arguments by counsel need not be notarized or verified.</P> </SECTION> <SECTION> <SECTNO>§ 365.123</SECTNO> <SUBJECT>Applicant withdrawal.</SUBJECT> <P>If the applicant wishes to withdraw an application, it shall request dismissal in writing.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—How To Oppose Requests for Authority</HD> <SECTION> <SECTNO>§ 365.201</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>A person wishing to oppose a request for permanent authority files a <E T="03">protest.</E> A person filing a valid protest becomes a <E T="03">protestant.</E> </P> </SECTION> <SECTION> <SECTNO>§ 365.203</SECTNO> <SUBJECT>Time for filing.</SUBJECT> <P>A protest shall be filed (received at the FMCSA) within 10 days after notice of the application appears in the <E T="03">FMCSA Register.</E> A copy of the protest shall be sent to applicant's representative at the same time. Failure timely to file a protest waives further participation in the proceeding.</P> </SECTION> <SECTION> <PRTPAGE P="44"/> <SECTNO>§ 365.205</SECTNO> <SUBJECT>Contents of the protest.</SUBJECT> <P>(a) All information upon which the protestant plans to rely is put into the protest.</P> <P>(b) A protest must be verified, as follows: </P> <EXTRACT> <P>I, __________, verify under penalty of perjury under laws of the United States of America, that the information above is true and correct. Further, I certify that I am qualified and authorized to file this protest. (<E T="03">See</E> 18 U.S.C. 1001 and 18 U.S.C. 1621 for penalties.) </P> <FP>(Signature and Date)</FP> </EXTRACT> <P>(c) A protest not in substantial compliance with applicable statutory standards or these rules may be rejected.</P> <P>(d) Protests must respond directly to the statutory standards for FMCSA review of the application. As these standards vary for particular types of applications, potential protestants should refer to the general criteria addressed at § 365.107 and may consult the FMCSA at (202) 366-9805 for further assistance in developing their evidence.</P> <CITA>[59 FR 63728, Dec. 9, 1994. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR 49940, Sept. 24, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 365.207</SECTNO> <SUBJECT>Withdrawal.</SUBJECT> <P>A protestant wishing to withdraw from a proceeding shall inform the FMCSA and applicant in writing.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—General Rules Governing the Application Process</HD> <SECTION> <SECTNO>§ 365.301</SECTNO> <SUBJECT>Applicable rules.</SUBJECT> <P>Generally, all application proceedings are governed by the FMCSA's Rules of Practice at part 386 of this chapter except as designated below.</P> </SECTION> <SECTION> <SECTNO>§ 365.303</SECTNO> <SUBJECT>Contacting another party.</SUBJECT> <P>When a person wishes to contact a party or serve a pleading or letter on that party, it shall do so through its representative. The phone and FAX numbers and address of applicant's representative shall be listed in the <E T="03">FMCSA Register</E>.</P> </SECTION> <SECTION> <SECTNO>§ 365.305</SECTNO> <SUBJECT>Serving copies of pleadings.</SUBJECT> <P>(a) An applicant must serve all pleadings and letters on the FMCSA and all known participants in the proceeding, except that a reply to a motion need only be served on the moving party.</P> <P>(b) A protestant need serve only the FMCSA and applicant with pleadings or letters.</P> </SECTION> <SECTION> <SECTNO>§ 365.307</SECTNO> <SUBJECT>Replies to motions.</SUBJECT> <P>Replies to motions filed under this part are due within 5 days of the date the motion is filed at the FMCSA.</P> </SECTION> <SECTION> <SECTNO>§ 365.309</SECTNO> <SUBJECT>FAX filings.</SUBJECT> <P>FAX filings of applications and supporting evidence are not permitted. To assist parties in meeting the expedited time frames established for protesting an application, however, the FMCSA will accept FAX filings of protests and any reply or rebuttal evidence. FAX filings of these pleadings must be followed by the original document, plus one copy for FMCSA recordkeeping purposes.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Transfer of Operating Rights Under 49 U.S.C. 10926</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>53 FR 4852, Feb. 18, 1988, unless otherwise noted. Redesignated at 61 FR 54707, Oct. 21, 1996.</P> </SOURCE> <SECTION> <SECTNO>§ 365.401</SECTNO> <SUBJECT>Scope of rules.</SUBJECT> <P>These rules define the procedures that enable motor passenger and property carriers,, property brokers, and household goods freight forwarders to obtain approval from the FMCSA to merge, transfer, or lease their operating rights in financial transactions not subject to 49 U.S.C. 11343. Transactions covered by these rules are governed by 49 U.S.C. 10321 and 10926. The filing fee is set forth at 49 CFR 360.3(f)(8).</P> <CITA>[53 FR 4852, Feb. 18, 1988, as amended at 67 FR 61820, Oct. 2, 2002]</CITA> </SECTION> <SECTION> <SECTNO>§ 365.403</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>For the purposes of this part, the following definitions apply:</P> <P>(a) <E T="03">Transfer.</E> Transfers include all transactions (<E T="03">i.e.,</E> the sale or lease of <PRTPAGE P="45"/>interstate operating rights, <SU>1</SU> <FTREF/> or the merger of two or more carriers or a carrier into a noncarrier) subject to 49 U.S.C. 10926, as well as the sale of property brokers' licenses under 49 U.S.C. 10321.</P> <FTNT> <P> <SU>1</SU> The execution of a chattel mortgage, deed of trust, or other similar document does not constitute a transfer or require the FMCSA's approval. However, a foreclosure for the purpose of transferring an operating right to satisfy a judgment or claim against the record holder may not be effected without approval of the FMCSA.</P> </FTNT> <P>(b) <E T="03">Operating rights.</E> Operating rights include:</P> <P>(1) Certificates and permits issued to motor carriers;</P> <P>(2) Permits issued to freight forwarders;</P> <P>(3) Licenses issued to property brokers; and</P> <P>(4) Certificates of Registration issued to motor carriers. The term also includes authority held by virtue of the gateway elimination regulations published in the <E T="04">Federal Register</E> as letter-notices.</P> <P>(c) <E T="03">Certificate of registration.</E> The evidence of a motor carrier's right to engage in interstate or foreign commerce within a single State is established by a corresponding State certificate.</P> <P>(d) <E T="03">Person.</E> An individual, partnership, corporation, company, association, or other form of business, or a trustee, receiver, assignee, or personal representative of any of these.</P> <P>(e) <E T="03">Record holder.</E> The person shown on the records of the FMCSA as the legal owner of the operating rights.</P> <P>(f) <E T="03">Control.</E> A relationship between persons that includes actual control, legal control, and the power to exercise control, through or by common directors, officers, stockholders, a voting trust, a holding or investment company, or any other means.</P> <P>(g) <E T="03">Category 1 transfers.</E> Transactions in which the person to whom the operating rights would be transferred is not an FMCSA carrier and is not affiliated with any FMCSA carrier.</P> <P>(h) <E T="03">Category 2 transfers.</E> Transactions in which the person to whom the operating rights would be transferred is an FMCSA carrier and/or is affiliated with an FMCSA carrier.</P> <CITA>[53 FR 4852, Feb. 18, 1988, as amended at 67 FR 61821, Oct. 2, 2002]</CITA> </SECTION> <SECTION> <SECTNO>§ 365.405</SECTNO> <SUBJECT>Applications.</SUBJECT> <P>(a) <E T="03">Procedural requirements.</E> (1) At least 10 days before consummation, an original and two copies of a properly completed Form OP-FC-1 and any attachments (<E T="03">see</E> paragraph (b)(1)(viii) of this section) must be filed with the FMCSA, Licensing Team; (MC-PSDRIS), 400 Seventh Street, SW., Room 8214, Washington, DC 20590.</P> <P>(2) At any time after the expiration of the 10-day waiting period, applicants may consummate the transaction, subject to the subsequent approval of the application by the FMCSA, as described below. The transferee may commence operations under the rights acquired from the transferor upon its compliance with the FMCSA's regulations governing insurance, and process agents. <E T="03">See</E> 49 CFR parts 387, subpart C, and 366, respectively. In the alternative, applicants may wait until the FMCSA has issued a decision on their application before transferring the operating rights. If the transferee wants the transferor's operating authority to be reissued in its name, it should furnish the FMCSA with a statement executed by both transferor and transferee indicating that the transaction has been consummated. Authority will not be reissued until after the FMCSA has approved the transaction.</P> <P>(b) <E T="03">Information required.</E> (1) In category 1 and category 2 transfers, applicants must furnish the following information:</P> <P>(i) Full name, address, and signatures of the transferee and transferor.</P> <P>(ii) A copy of the transferor's operating authority involved in the transfer proceeding.</P> <P>(iii) A short summary of the essential terms of the transaction.</P> <P>(iv) If relevant, the status of proceedings for the transfer of State certificate(s) corresponding to the Certificates of Registration being transferred.</P> <P>(v) A statement as to whether the transfer will or will not significantly affect the quality of the human environment.<PRTPAGE P="46"/> </P> <P>(vi) Certification by transferor and transferee of their current respective safety ratings by the United States Department of Transportation (<E T="03">i.e.,</E> satisfactory, conditional, unsatisfactory, or unrated).</P> <P>(vii) Certification by the transferee that it has sufficient insurance coverage under 49 U.S.C. 13906 for the service it intends to provide.</P> <P>(viii) Information to demonstrate that the proposed transaction is consistent with the national transportation policy and satisfies the criteria for approval set forth at § 365.409 of this part. (Such information may be appended to the application form and, if provided, would be embraced by the oath and verification contained on that form.)</P> <P>(ix) If motor carrier operating rights are being transferred, certification by the transferee that it is not domiciled in Mexico nor owned or controlled by persons of that country.</P> <P>(2) Category 2 applicants must also submit the following additional information:</P> <P>(i) Name(s) of the carrier(s), if any, with which the transferee is affiliated.</P> <P>(ii) Aggregate revenues of the transferor, transferee, and their carrier affiliates from interstate transportation sources for a 1-year period ending not earlier than 6 months before the date of the agreement of the parties concerning the transaction. If revenues exceed $2 million, the transfer may be subject to 49 U.S.C. 14303 rather than these rules.</P> <CITA>[53 FR 4852, Feb. 18, 1988, as amended at 54 FR 35343, Aug. 25, 1989; 62 FR 49940, Sept. 24, 1997; 67 FR 61821, Oct. 2, 2002; 68 FR 56198, Sept. 30, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 365.407</SECTNO> <SUBJECT>Notice.</SUBJECT> <P>The FMCSA will give notice of approved transfer applications through publication in the <E T="03">FMCSA Register.</E> </P> </SECTION> <SECTION> <SECTNO>§ 365.409</SECTNO> <SUBJECT>FMCSA action and criteria for approval.</SUBJECT> <P>A transfer will be approved under this section if:</P> <P>(a) The transaction is not subject to 49 U.S.C. 14303; and</P> <P>(b) The transaction is consistent with the public interest; however,</P> <P>(c) If the transferor or transferee has an “Unsatisfactory” safety fitness rating from DOT, the transfer may be denied. If an application is denied, the FMCSA will set forth the basis for its action in a decision or letter notice. If parties with “Unsatisfactory” safety fitness ratings consummate a transaction pursuant to the 10-day rule at § 365.405 of this part prior to the notification of FMCSA action, they do so at their own risk and subject to any conditions we may impose subsequently. Transactions that have been consummated but later are denied by the FMCSA are null and void and must be rescinded. Similarly, if applications contain false or misleading information, they are void <E T="03">ab initio.</E> </P> <CITA>[53 FR 4852, Feb. 18, 1988, as amended at 56 FR 46735, Sept. 16, 1991; 62 FR 49940, Sept. 24, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 365.411</SECTNO> <SUBJECT>Responsive pleadings.</SUBJECT> <P>(a) Protests must be filed within 20 days after the date of publication of an approved transfer application in the <E T="03">FMCSA Register.</E> Protests received prior to the notice will be rejected. Applicants may respond within 20 days after the due date of protests. Petitions for reconsideration of decisions denying applications must be filed within 20 days after the date of service of such decisions.</P> <P>(b) Protests and petitions for reconsideration must be filed with the FMCSA Licensing Team (MC-PSDRIS), 400 Seventh Street, SW., Room 8214, Washington, DC 20590, and be served on appropriate parties.</P> <CITA>[53 FR 4852, Feb. 18, 1988, as amended at 67 FR 61821, Oct. 2, 2002; 68 FR 56198, Sept. 30, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 365.413</SECTNO> <SUBJECT>Procedures for changing the name or business form of a motor carrier, freight forwarder, or property broker.</SUBJECT> <P>(a) <E T="03">Scope.</E> These procedures apply in the following circumstances:</P> <P>(1) A change in the form of a business, such as the incorporation of a partnership or sole proprietorship;</P> <P>(2) A change in the legal name of a corporation or partnership or change in the trade name or assumed name of any entity;<PRTPAGE P="47"/> </P> <P>(3) A transfer of operating rights from a deceased or incapacitated spouse to the other spouse;</P> <P>(4) A reincorporation and merger for the purpose of effecting a name change;</P> <P>(5) An amalgamation or consolidation of a carrier and a noncarrier into a new carrier having a different name from either of the predecessor entities; and</P> <P>(6) A change in the State of incorporation accomplished by dissolving the corporation in one State and reincorporating in another State.</P> <P>(b) <E T="03">Procedures.</E> To accomplish these changes, a letter must be sent to the FMCSA, Licensing Team (MC-PSDRIS), Washington, DC 20590. The envelope should be marked “NAME CHANGE”. The applicant must provide:</P> <P>(1) The docket number(s) and name of the carrier requesting the change;</P> <P>(2) A copy of the articles of incorporation and the State certificate reflecting the incorporation;</P> <P>(3) The name(s) of the owner(s) of the stock and the distribution of the shares;</P> <P>(4) The names of the officers and directors of the corporation; and</P> <P>(5) A statement that there is no change in the ownership, management, or control of the business. When this procedure is being used to transfer operating rights from a deceased or incapacitated spouse to the other spouse, documentation that the other spouse has the legal right to effect such change must be included with the request. The fee for filing a name change request is in § 360.3(f) of this chapter.</P> <CITA>[53 FR 4852, Feb. 18, 1988, as amended at 54 FR 47364, Nov. 14, 1989; 62 FR 49940, Sept. 24, 1997; 68 FR 56198, Sept. 30, 2003]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Special Rules for Certain Mexico-domiciled Carriers</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>67 FR 12714, Mar. 19, 2002, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 365.501</SECTNO> <SUBJECT>Scope of rules.</SUBJECT> <P>(a) The rules in this subpart govern the application by a Mexico-domiciled motor carrier to provide transportation of property or passengers in interstate commerce between Mexico and points in the United States beyond the municipalities and commercial zones along the United States-Mexico international border.</P> <P>(b) A Mexico-domiciled carrier may not provide point-to-point transportation services, including express delivery services, within the United States for goods other than international cargo.</P> </SECTION> <SECTION> <SECTNO>§ 365.503</SECTNO> <SUBJECT>Application.</SUBJECT> <P>(a) Each applicant applying under this subpart must submit an application that consists of:</P> <P>(1) Form OP-1 (MX)—Application to Register Mexican Carriers for Motor Carrier Authority To Operate Beyond U.S. Municipalities and Commercial Zones on the U.S.-Mexico Border;</P> <P>(2) Form MCS-150—Motor Carrier Identification Report; and</P> <P>(3) A notification of the means used to designate process agents, either by submission in the application package of Form BOC-3—Designation of Agents-Motor Carriers, Brokers and Freight Forwarders or a letter stating that the applicant will use a process agent service that will submit the Form BOC-3 electronically.</P> <P>(b) The Federal Motor Carrier Safety Administration (FMCSA) will only process your application if it meets the following conditions:</P> <P>(1) The application must be completed in English;</P> <P>(2) The information supplied must be accurate, complete, and include all required supporting documents and applicable certifications in accordance with the instructions to Form OP-1 (MX), Form MCS-150, and Form BOC-3;</P> <P>(3) The application must include the filing fee payable to the FMCSA in the amount set forth at 49 CFR 360.3(f)(1); and</P> <P>(4) The application must be signed by the applicant.</P> <P>(c) You must submit the application to the address provided in Form OP-1(MX).</P> <P>(d) You may obtain the application forms from any FMCSA Division Office or download it from the FMCSA website at: <E T="03">http://www.fmcsa.dot.gov/factsfigs/formspubs.htm.</E> </P> </SECTION> <SECTION> <PRTPAGE P="48"/> <SECTNO>§ 365.505</SECTNO> <SUBJECT>Re-registration and fee waiver for certain applicants.</SUBJECT> <P>(a) If you filed an application using Form OP-1(MX) before May 3, 2002, you are required to file a new Form OP-1(MX). You do not need to submit a new fee when you file a new application under this subpart.</P> <P>(b) If you hold a Certificate of Registration issued before April 18, 2002, authorizing operations beyond the municipalities along the United States-Mexico border and beyond the commercial zones of such municipalities, you are required to file an OP-1(MX) if you want to continue those operations. You do not need to submit a fee when you file an application under this subpart.</P> <P>(1) You must file the application by November 4, 2003.</P> <P>(2) The FMCSA may suspend or revoke the Certificate of Registration of any applicable holder that fails to comply with the procedures set forth in this section.</P> <P>(3) Certificates of Registration issued before April 18, 2002, will remain valid until the FMCSA acts on the OP-1(MX) application.</P> <CITA>[67 FR 12714, Mar. 19, 2002, as amended at 68 FR 56198, Sept. 30, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 365.507</SECTNO> <SUBJECT>FMCSA action on the application.</SUBJECT> <P>(a) The FMCSA will review and act on each application submitted under this subpart in accordance with the procedures set out in this part.</P> <P>(b) The FMCSA will validate the accuracy of information and certifications provided in the application by checking data maintained in databases of the governments of Mexico and the United States.</P> <P>(c) <E T="03">Pre-authorization safety audit.</E> Every Mexico-domiciled carrier that applies under this part must satisfactorily complete an FMCSA-administered safety audit before FMCSA will grant provisional operating authority to operate in the United States. The safety audit is a review by the FMCSA of the carrier's written procedures and records to validate the accuracy of information and certifications provided in the application and determine whether the carrier has established or exercises the basic safety management controls necessary to ensure safe operations. The FMCSA will evaluate the results of the safety audit using the criteria in Appendix A to this subpart.</P> <P>(d) If a carrier successfully completes the pre-authorization safety audit and the FMCSA approves its application submitted under this subpart, FMCSA will publish a summary of the application as a preliminary grant of authority in the FMCSA Register to give notice to the public in case anyone wishes to oppose the application, as required in § 365.109(b) of this part.</P> <P>(e) If the FMCSA grants provisional operating authority to the applicant, it will assign a distinctive USDOT Number that identifies the motor carrier as authorized to operate beyond the municipalities in the United States on the U.S.-Mexico international border and beyond the commercial zones of such municipalities. In order to operate in the United States, a Mexico-domiciled motor carrier with provisional operating authority must:</P> <P>(1) Have its surety or insurance provider file proof of financial responsibility in the form of certificates of insurance, surety bonds, and endorsements, as required by § 387.301 of this subchapter;</P> <P>(2) File a hard copy of, or have its process agent(s) electronically submit, Form BOC-3—Designation of Agents-Motor Carriers, Brokers and Freight Forwarders, as required by part 366 of this subchapter; and</P> <P>(3) Comply with all provisions of the safety monitoring system in subpart B of part 385 of this subchapter, including successfully passing CVSA Level I inspections at least every 90 days and having decals affixed to each commercial motor vehicle operated in the United States as required by § 385.103(c) of this subchapter.</P> <P>(f) The FMCSA may grant permanent operating authority to a Mexico-domiciled carrier no earlier than 18 months after the date that provisional operating authority is granted and only after successful completion to the satisfaction of the FMCSA of the safety monitoring system for Mexico-domiciled carriers set out in subpart B of part 385 of this subchapter. Successful completion includes obtaining a satisfactory safety rating as the result of a compliance review.</P> </SECTION> <SECTION> <PRTPAGE P="49"/> <SECTNO>§ 365.509</SECTNO> <SUBJECT>Requirement to notify FMCSA of change in applicant information.</SUBJECT> <P>(a) A motor carrier subject to this subpart must notify the FMCSA of any changes or corrections to the information in parts I, IA or II submitted on the Form OP-1(MX) or the Form BOC-3—Designation of Agents—Motor Carriers, Brokers and Freight Forwarders during the application process or after having been granted provisional operating authority. The carrier must notify the FMCSA in writing within 45 days of the change or correction.</P> <P>(b) If a carrier fails to comply with paragraph (a) of this section, the FMCSA may suspend or revoke its operating authority until it meets those requirements.</P> </SECTION> <SECTION> <SECTNO>§ 365.511</SECTNO> <SUBJECT>Requirement for CVSA inspection of vehicles during first three consecutive years of permanent operating authority.</SUBJECT> <P>A Mexico-domiciled motor carrier granted permanent operating authority must have its vehicles inspected by Commercial Vehicle Safety Alliance (CVSA)-certified inspectors every three months and display a current inspection decal attesting to the successful completion of such an inspection for at least three consecutive years after receiving permanent operating authority from the FMCSA.</P> </SECTION> <APPENDIX> <EAR>Pt. 365, Subpt. E, App. A</EAR> <HD SOURCE="HED">Appendix A to Subpart E of Part 365—Explanation of Pre-Authorization Safety Audit Evaluation Criteria for Mexico-Domiciled Motor Carriers</HD> <HD SOURCE="HD1">I. General</HD> <P>(a) Section 350 of the Fiscal Year 2002 DOT Appropriations Act (Pub. L. 107-87) directed the FMCSA to perform a safety audit of each Mexico-domiciled motor carrier before the FMCSA grants the carrier provisional operating authority to operate beyond United States municipalities and commercial zones on the United States-Mexico international border.</P> <P>(b) The FMCSA will decide whether it will conduct the safety audit at the Mexico-domiciled motor carrier's principal place of business in Mexico or at a location specified by the FMCSA in the United States, in accordance with the statutory requirements that 50 percent of all safety audits must be conducted onsite and on-site inspections cover at least 50 percent of estimated truck traffic in any year. All records and documents must be made available for examination within 48 hours after a request is made. Saturdays, Sundays, and Federal holidays are excluded from the computation of the 48-hour period.</P> <P>(c) The safety audit will include:</P> <P>(1) Verification of available performance data and safety management programs;</P> <P>(2) Verification of a controlled substances and alcohol testing program consistent with part 40 of this title;</P> <P>(3) Verification of the carrier's system of compliance with hours-of-service rules in part 395 of this subchapter, including recordkeeping and retention;</P> <P>(4) Verification of proof of financial responsibility;</P> <P>(5) Review of available data concerning the carrier's safety history, and other information necessary to determine the carrier's preparedness to comply with the Federal Motor Carrier Safety Regulations, parts 382 through 399 of this subchapter, and the Federal Hazardous Material Regulations, parts 171 through 180 of this title;</P> <P>(6) Inspection of available commercial motor vehicles to be used under provisional operating authority, if any of these vehicles have not received a decal required by § 385.103(d) of this subchapter;</P> <P>(7) Evaluation of the carrier's safety inspection, maintenance, and repair facilities or management systems, including verification of records of periodic vehicle inspections;</P> <P>(8) Verification of drivers' qualifications, including confirmation of the validity of the Licencia de Federal de Conductor of each driver the carrier intends to assign to operate under its provisional operating authority; and</P> <P>(9) An interview of carrier officials to review safety management controls and evaluate any written safety oversight policies and practices.</P> <P>(d) To successfully complete the safety audit, a Mexico-domiciled motor carrier must demonstrate to the FMCSA that it has the required elements in paragraphs (c)(2), (3), (4), (7), and (8) above and other basic safety management controls in place which function adequately to ensure minimum acceptable compliance with the applicable safety requirements. The FMCSA developed a “safety audit evaluation criteria,” which uses data from the safety audit and roadside inspections to determine that each applicant for provisional operating authority has basic safety management controls in place.</P> <P>(e) The safety audit evaluation process developed by the FMCSA is used to:</P> <P>(1) Evaluate basic safety management controls and determine if each Mexico-domiciled carrier and each driver is able to operate <PRTPAGE P="50"/>safely in the United States beyond municipalities and commercial zones on the United States-Mexico international border; and</P> <P>(2) Identify motor carriers and drivers who are having safety problems and need improvement in their compliance with the FMCSRs and the HMRs, before FMCSA grants the carriers provisional operating authority to operate beyond United States municipalities and commercial zones on the United States-Mexico international border.</P> <HD SOURCE="HD1">II. Source of the Data for the Safety Audit Evaluation Criteria</HD> <P>(a) The FMCSA's evaluation criteria are built upon the operational tool known as the safety audit. The FMCSA developed this tool to assist auditors and investigators in assessing the adequacy of a Mexico-domiciled carrier's basic safety management controls.</P> <P>(b) The safety audit is a review of a Mexico-domiciled motor carrier's operation and is used to:</P> <P>(1) Determine if a carrier has the basic safety management controls required by 49 U.S.C. 31144;</P> <P>(2) Meet the requirements of Section 350 of the DOT Appropriations Act; and</P> <P>(3) In the event that a carrier is found not to be in compliance with applicable FMCSRs and HMRs, the safety audit can be used to educate the carrier on how to comply with U.S. safety rules.</P> <P>(c) Documents such as those contained in driver qualification files, records of duty status, vehicle maintenance records, and other records are reviewed for compliance with the FMCSRs and HMRs. Violations are cited on the safety audit. Performance-based information, when available, is utilized to evaluate the carrier's compliance with the vehicle regulations. Recordable accident information is also collected.</P> <HD SOURCE="HD1">III. Overall Determination of the Carrier's Basic Safety Management Controls</HD> <P>(a) The carrier will not be granted provisional operating authority if the FMCSA fails to:</P> <P>(1) Verify a controlled substances and alcohol testing program consistent with part 40 of this title;</P> <P>(2) Verify a system of compliance with hours-of-service rules of this subchapter, including recordkeeping and retention;</P> <P>(3) Verify proof of financial responsibility;</P> <P>(4) Verify records of periodic vehicle inspections; and</P> <P>(5) Verify drivers' qualifications of each driver the carrier intends to assign to operate under such authority, as required by parts 383 and 391 of this subchapter, including confirming the validity of each driver's Licencia de Federal de Conductor.</P> <P>(b) If the FMCSA confirms each item under II (a)(1) through (5) above, the carrier will be granted provisional operating authority, except if FMCSA finds the carrier has inadequate basic safety management controls in at least three separate factors described in part III below. If FMCSA makes such a determination, the carrier's application for provisional operating authority will be denied.</P> <HD SOURCE="HD1">IV. Evaluation of Regulatory Compliance</HD> <P>(a) During the safety audit, the FMCSA gathers information by reviewing a motor carrier's compliance with “acute” and “critical” regulations of the FMCSRs and HMRs.</P> <P>(b) Acute regulations are those where noncompliance is so severe as to require immediate corrective actions by a motor carrier regardless of the overall basic safety management controls of the motor carrier.</P> <P>(c) Critical regulations are those where noncompliance relates to management and/or operational controls. These are indicative of breakdowns in a carrier's management controls.</P> <P>(d) The list of the acute and critical regulations, which are used in determining if a carrier has basic safety management controls in place, is included in Appendix B, VII. List of Acute and Critical Regulations to part 385 of this subchapter.</P> <P>(e) Noncompliance with acute and critical regulations are indicators of inadequate safety management controls and usually higher than average accident rates.</P> <P>(f) Parts of the FMCSRs and the HMRs having similar characteristics are combined together into six regulatory areas called “factors.” The regulatory factors, evaluated on the adequacy of the carrier's safety management controls, are:</P> <P>(1) Factor 1—General: Parts 387 and 390;</P> <P>(2) Factor 2—Driver: Parts 382, 383 and 391;</P> <P>(3) Factor 3—Operational: Parts 392 and 395;</P> <P>(4) Factor 4—Vehicle: Part 393, 396 and inspection data for the last 12 months;</P> <P>(5) Factor 5—Hazardous Materials: Parts 171, 177, 180 and 397; and</P> <P>(6) Factor 6—Accident: Recordable Accident Rate per Million Miles.</P> <P>(g) For each instance of noncompliance with an acute regulation, 1.5 points will be assessed.</P> <P>(h) For each instance of noncompliance with a critical regulation, 1 point will be assessed.</P> <P>(i) <E T="03">Vehicle Factor.</E> (1) When at least three vehicle inspections are recorded in the Motor Carrier Management Information System (MCMIS) during the twelve months before the safety audit or performed at the time of the review, the Vehicle Factor (part 396) will be evaluated on the basis of the Out-of-Service (OOS) rates and noncompliance with acute and critical regulations. The results of <PRTPAGE P="51"/>the review of the OOS rate will affect the Vehicle Factor as follows:</P> <P>(i) If the motor carrier has had at least three roadside inspections in the twelve months before the safety audit, and the vehicle OOS rate is 34 percent or higher, one point will be assessed against the carrier. That point will be added to any other points assessed for discovered noncompliance with acute and critical regulations of part 396 to determine the carrier's level of safety management control for that factor.</P> <P>(ii) If the motor carrier's vehicle OOS rate is less than 34 percent, or if there are less than three inspections, the determination of the carrier's level of safety management controls will only be based on discovered noncompliance with the acute and critical regulations of part 396.</P> <P>(2) Over two million inspections occur on the roadside each year in the United States. This vehicle inspection information is retained in the MCMIS and is integral to evaluating motor carriers' ability to successfully maintain their vehicles, thus preventing them from being placed OOS during roadside inspections. Each safety audit will continue to have the requirements of part 396, Inspection, Repair, and Maintenance, reviewed as indicated by the above explanation.</P> <P>(j) <E T="03">Accident Factor.</E> (1) In addition to the five regulatory factors, a sixth factor is included in the process to address the accident history of the motor carrier. This factor is the recordable accident rate, which the carrier has experienced during the past 12 months. Recordable accident, as defined in 49 CFR 390.5, means an accident involving a commercial motor vehicle operating on a public road in interstate or intrastate commerce which results in a fatality; a bodily injury to a person who, as a result of the injury, immediately receives medical treatment away from the scene of the accident; or one or more motor vehicles incurring disabling damage as a result of the accident requiring the motor vehicle to be transported away from the scene by a tow truck or other motor vehicle.</P> <P>(2) Experience has shown that urban carriers, those motor carriers operating entirely within a radius of less than 100 air miles (normally urban areas), have a higher exposure to accident situations because of their environment and normally have higher accident rates.</P> <P>(3) The recordable accident rate will be used in determining the carrier's basic safety management controls in Factor 6, Accident. It will be used only when a carrier incurs two or more recordable accidents within the 12 months before the safety audit. An urban carrier (a carrier operating entirely within a radius of 100 air miles) with a recordable rate per million miles greater than 1.7 will be deemed to have inadequate basic safety management controls for the accident factor. All other carriers with a recordable accident rate per million miles greater than 1.5 will be deemed to have inadequate basic safety management controls for the accident factor. The rates are the result of roughly doubling the United States national average accident rate in Fiscal Years 1994, 1995, and 1996.</P> <P>(4) The FMCSA will continue to consider preventability when a new entrant contests the evaluation of the accident factor by presenting compelling evidence that the recordable rate is not a fair means of evaluating its accident factor. Preventability will be determined according to the following standard: “If a driver, who exercises normal judgment and foresight, could have foreseen the possibility of the accident that in fact occurred, and avoided it by taking steps within his/her control which would not have risked causing another kind of mishap, the accident was preventable.”</P> <P>(k) <E T="03">Factor Ratings</E> </P> <P>(1) The following table shows the five regulatory factors, parts of the FMCSRs and HMRs associated with each factor, and the accident factor. Each carrier's level of basic safety management controls with each factor is determined as follows:</P> <P>(i) Factor 1—General: Parts 390 and 387;</P> <P>(ii) Factor 2—Driver: Parts 382, 383, and 391;</P> <P>(iii) Factor 3—Operational: Parts 392 and 395;</P> <P>(iv) Factor 4—Vehicle: Parts 393, 396 and the Out of Service Rate;</P> <P>(v) Factor 5—Hazardous Materials: Part 171, 177, 180 and 397; and</P> <P>(vi) Factor 6—Accident: Recordable Accident Rate per Million Miles;</P> <P>(2) For paragraphs III (k)(1)(i) through (v) (Factors 1 through 5), if the combined violations of acute and or critical regulations for each factor is equal to three or more points, the carrier is determined not to have basic safety management controls for that individual factor.</P> <P>(3) For paragraphs III (k)(1)(vi), if the recordable accident rate is greater than 1.7 recordable accidents per million miles for an urban carrier (1.5 for all other carriers), the carrier is determined to have inadequate basic safety management controls.</P> <P>(l) Notwithstanding FMCSA verification of the items listed in part II (a)(1) through (5) above, if the safety audit determines the carrier has inadequate basic safety management controls in at least three separate factors described in part III, the carrier's application for provisional operating authority will be denied. For example, FMCSA evaluates a carrier finding:</P> <P>(1) One instance of noncompliance with a critical regulation in part 387 scoring one point for Factor 1;</P> <P>(2) Two instances of noncompliance with acute regulations in part 382 scoring three points for Factor 2;<PRTPAGE P="52"/> </P> <P>(3) Three instances of noncompliance with critical regulations in part 396 scoring three points for Factor 4; and</P> <P>(4) Three instances of noncompliance with acute regulations in parts 171 and 397 scoring four and one-half (4.5) points for Factor 5.</P> <P>Under this example, the carrier will not receive provisional operating authority because it scored three or more points for Factors 2, 4, and 5 and FMCSA determined the carrier had inadequate basic safety management controls in at least three separate factors.</P> </APPENDIX> </SUBPART> </PART> <PART> <EAR>Pt. 366</EAR> <HD SOURCE="HED">PART 366—DESIGNATION OF PROCESS AGENT</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>366.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>366.2</SECTNO> <SUBJECT>Form of designation.</SUBJECT> <SECTNO>366.3</SECTNO> <SUBJECT>Eligible persons.</SUBJECT> <SECTNO>366.4</SECTNO> <SUBJECT>Required States.</SUBJECT> <SECTNO>366.5</SECTNO> <SUBJECT>Blanket designations.</SUBJECT> <SECTNO>366.6</SECTNO> <SUBJECT>Cancellation or change.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13303, 13304, and 14704; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>55 FR 11197, Mar. 27, 1990, unless otherwise noted. Redesignated at 61 FR 54707, Oct. 21, 1996.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 366 appear at 66 FR 49870, Oct. 1, 2001.</P> </EDNOTE> <SECTION> <SECTNO>§ 366.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>These rules, relating to the filing of designations of persons upon whom court process may be served, govern motor carriers and brokers and, as of the moment of succession, their fiduciaries (as defined at 49 CFR 387.319(a)).</P> <CITA>[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996; 62 FR 49940, Sept. 24, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 366.2</SECTNO> <SUBJECT>Form of designation.</SUBJECT> <P>Designations shall be made on Form BOC-3, <E T="03">Designation of Agent for Service of Process.</E> Only one completed current form may be on file. It must include all States for which agent designations are required. One copy must be retained by the carrier or broker at its principal place of business.</P> </SECTION> <SECTION> <SECTNO>§ 366.3</SECTNO> <SUBJECT>Eligible persons.</SUBJECT> <P>All persons (as defined at 49 U.S.C. 13102(16)) designated must reside or maintain an office in the State for which they are designated. If a State official is designated, evidence of his willingness to accept service of process must be furnished.</P> <CITA>[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996; 62 FR 49940, Sept. 24, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 366.4</SECTNO> <SUBJECT>Required States.</SUBJECT> <P>(a) <E T="03">Motor carriers.</E> Every motor carrier (of property or passengers) shall make a designation for each State in which it is authorized to operate and for each State traversed during such operations. Every motor carrier (including private carriers) operating in the United States in the course of transportation between points in a foreign country shall file a designation for each State traversed.</P> <P>(b) <E T="03">Brokers.</E> Every broker shall make a designation for each State in which its offices are located or in which contracts will be written.</P> <CITA>[55 FR 11197, Mar. 27, 1990, as amended at 55 FR 47338, Nov. 13, 1990]</CITA> </SECTION> <SECTION> <SECTNO>§ 366.5</SECTNO> <SUBJECT>Blanket designations.</SUBJECT> <P>Where an association or corporation has filed with the FMCSA a list of process agents for each State, motor carriers may make the required designations by using the following statement: </P> <EXTRACT> <P>Those persons named in the list of process agents on file with the Federal Motor Carrier Safety Administration by _______________ </P> <FP SOURCE="FP-DASH"/> <FP>(Name of association or corporation) and any subsequently filed revisions thereof, for the States in which this carrier is or may be authorized to operate, including States traversed during such operations, except those States for which individual designations are named.</FP> </EXTRACT> </SECTION> <SECTION> <SECTNO>§ 366.6</SECTNO> <SUBJECT>Cancellation or change.</SUBJECT> <P>A designation may be canceled or changed only by a new designation except that, where a carrier or broker ceases to be subject to § 366.4 in whole or in part for 1 year, designation is no longer required and may be canceled without making another designation.</P> <CITA>[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996; 62 FR 49940, Sept. 24, 1997]</CITA> </SECTION> </PART> <PART> <PRTPAGE P="53"/> <EAR>Pt. 367</EAR> <HD SOURCE="HED">PART 367—STANDARDS FOR REGISTRATION WITH STATES</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>367.1</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>367.2</SECTNO> <SUBJECT>Participation by States.</SUBJECT> <SECTNO>367.3</SECTNO> <SUBJECT>Selection of registration State.</SUBJECT> <SECTNO>367.4</SECTNO> <SUBJECT>Requirements for registration.</SUBJECT> <SECTNO>367.5</SECTNO> <SUBJECT>Registration receipts.</SUBJECT> <SECTNO>367.6</SECTNO> <SUBJECT>Registration State accounting.</SUBJECT> <SECTNO>367.7</SECTNO> <SUBJECT>Violations unlawful; criminal penalties and civil sanctions.</SUBJECT> <APP>Appendix A to Part 367—Uniform Application for Single State Registration for Motor Carriers Registered with the Secretary of Transportation</APP> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13301 and 14504; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>58 FR 28933, May 18, 1993, unless otherwise noted. Redesignated at 61 FR 54707, Oct. 21, 1996.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 367 appear at 66 FR 49870, Oct. 1, 2001.</P> </EDNOTE> <SECTION> <SECTNO>§ 367.1</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">The Secretary.</E> The Secretary of Transportation.</P> <P>(b) <E T="03">Motor carrier</E> and <E T="03">carrier.</E> A person authorized to engage in the transportation of passengers or property, as a common or contract carrier, in interstate or foreign commerce, under the provisions of 49 U.S.C. 13902.</P> <P>(c) <E T="03">Motor vehicle.</E> A self-propelled or motor driven vehicle operated by a motor carrier in interstate or foreign commerce under authority issued by the Secretary.</P> <P>(d) <E T="03">Principal place of business.</E> A single location that serves as a motor carrier's headquarters and where it maintains or can make available its operational records.</P> <P>(e) <E T="03">State.</E> A State of the United States or the District of Columbia.</P> <CITA>[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR 15420, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 367.2</SECTNO> <SUBJECT>Participation by States.</SUBJECT> <P>(a) A State is eligible to participate as a registration State and to receive fee revenue only if, as of January 1, 1991, it charged or collected a fee for a vehicle identification stamp or a number pursuant to the provisions of the predecessor to this part.</P> <P>(b) An eligible State that intends either to commence or to cease participating in the registration program must publish notice of its intention by the 1st day of July of the year preceding the registration year in which it will commence or cease participating.</P> </SECTION> <SECTION> <SECTNO>§ 367.3</SECTNO> <SUBJECT>Selection of registration State.</SUBJECT> <P>(a) Each motor carrier required to register and pay filing fees must select a single participating State as its registration State. The carrier must select the State in which it maintains its principal place of business, if such State is a participating State. A carrier that maintains its principal place of business outside of a participating State must select the State in which it will operate the largest number of motor vehicles during the next registration year. In the event a carrier will operate the same largest number of vehicles in more than one State, it must select one of those States.</P> <P>(b) A carrier may not change its registration State unless it changes its principal place of business or its registration State ceases participating in the program, in which case the carrier must select a registration State for the next registration year under the standards of paragraph (a) of this section.</P> <P>(c) A carrier must give notice of its selection to the State commission of its selected registration State, and, the State commission of its prior registration State, within 30 days after it has made its selection. If a carrier changes its principal place of business during the annual registration period specified in § 367.4(b)(2), the carrier may continue to use its prior registration State, if any, for the next registration year.</P> <P>(d) A carrier must give notice of its selection to its insurer or insurers as soon as practicable after it has made its selection.</P> <CITA>[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR 15420, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 367.4</SECTNO> <SUBJECT>Requirements for registration.</SUBJECT> <P>(a) Except as provided in paragraph (c)(1) of this section with regard to a carrier operating under temporary authority, only a motor carrier holding a certificate or permit issued by the Secretary under 49 U.S.C. 13902 shall be required to register under these standards.<PRTPAGE P="54"/> </P> <P>(b) A motor carrier operating in interstate or foreign commerce in one or more participating States under a certificate or permit issued by the Secretary shall be required to register annually with a single registration State, and such registration shall be deemed to satisfy the registration requirements of all participating States.</P> <P>(1) The registration year will be the calendar year.</P> <P>(2) A carrier must file its annual registration application between the 1st day of August and the 30th day of November of the year preceding the registration year. A carrier that intends to commence operating during the current registration year may register at any time, but it must do so before it commences operating.</P> <P>(3) The registration application must be in the form appended to this part and must contain the information and be accompanied by the fees specified in paragraph (c) of this section. There will be no prorating of fees to account for partial year operations.</P> <P>(4) A carrier that has changed its registration State since its last filing must identify the registration State with which it previously filed.</P> <P>(c) A motor carrier must file, or cause to be filed, the following with its registration State:</P> <P>(1) Copies of its certificates and/or permits. A carrier must supplement its filing by submitting copies of any new operating authorities as they are issued. Once a carrier has submitted copies of its authorities, it may thereafter satisfy the filing requirement by certifying that the copies are on file. A carrier may, with the permission of its registration State, submit a summary of its operating authorities in lieu of copies. A carrier granted emergency temporary authority or temporary authority having a duration of 120 days or less is not required to file evidence of such authority, but it must otherwise comply with the requirements of this section;</P> <P>(2) A copy of its proof of public liability security submitted to and accepted by the Secretary under 49 CFR part 387, subpart C or a copy of an order of the Secretary approving a public liability self-insurance application or other public liability security or agreement under the provisions of that part. A carrier must supplement its filings as necessary to ensure that current information is on file. Once a carrier has submitted, or caused to be submitted, a copy of its proof or order of the Secretary, it may thereafter satisfy the filing requirement by certifying that it has done so and that its security, self-insurance, or agreement remains in effect;</P> <P>(3) A copy of its designation of an agent or agents for service of process submitted to and accepted by the Secretary under 49 CFR part 366. A carrier must supplement its filings as necessary to ensure that current information is on file. Once a carrier has submitted a copy of its designation, it may thereafter satisfy the filing requirement by certifying that its designation is on file; and</P> <P>(4) A fee for the filing of proof of insurance. In support of such fee, the carrier must submit the following information:</P> <P>(i) The number of motor vehicles it intends to operate in each participating State during the next registration year;</P> <P>(ii) The per vehicle fee each pertinent participating State charges, which fee must equal the fee, not to exceed $10, that such State collected or charged as of November 15, 1991;</P> <P>(iii) The total fee due each participating State; and</P> <P>(iv) The total of all fees specified in paragraph (c)(4)(iii) of this section.</P> <P>(d) Consistent with its obligations under paragraph (c)(2) of this section, a carrier must cause to be timely filed with its registration State copies of any notices of cancellation or of any replacement certificates of insurance, surety bonds, or other security filed with the Secretary under 49 CFR part 387, subpart C.</P> <P>(e) A carrier must make such supplemental filings at any time during the registration year as may be necessary to specify additional vehicles and/or States of operation and to pay additional fees.</P> <P>(f) A motor carrier must submit to its insurer or insurers a copy of the supporting information, including any supplemental information, filed with <PRTPAGE P="55"/>its registration State under paragraphs (c)(4) and (e) of this section.</P> <P>(g) The charging or collection of any fee that is not in accordance with the fee system established above is deemed a burden on interstate commerce. This includes fees for the registration or filing of evidence of insurance whether assessed directly upon the carrier or indirectly upon the insurance provider or other party who seeks reimbursement from the carrier.</P> <P>(h) To the extent any State registration requirement imposes obligations in excess of those specified in this part, the requirement is an unreasonable burden on transportation within the Secretary's jurisdiction under 49 U.S.C. 13501.</P> <CITA>[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR 15420, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 367.5</SECTNO> <SUBJECT>Registration receipts.</SUBJECT> <P>(a) On compliance by a motor carrier with the annual or supplemental registration requirements of § 367.4, the registration State must issue the carrier a receipt reflecting that the carrier has filed the required proof of insurance and paid fees in accordance with the requirements of that section. The registration State also must issue a number of official copies of the receipt equal to the number of motor vehicles for which fees have been paid.</P> <P>(1) The receipt and official copies must contain only information identifying the carrier and specifying the States for which fees were paid. Supplemental receipts and official copies need contain only information relating to their underlying supplemental registrations.</P> <P>(b) Receipts and official copies issued pursuant to a filing made during the annual registration period specified in § 367.4(b)(2) must be issued within 30 days of filing of a fully acceptable registration application. All other receipts and official copies must be issued by the 30th day following the date of filing of a fully acceptable supplemental registration application. All receipts and official copies shall expire at midnight on the 31st day of December of the registration year for which they were issued.</P> <P>(c) A carrier is permitted to operate its motor vehicles only in those participating States with respect to which it has paid appropriate fees, as indicated on the receipts and official copies. It may not operate more motor vehicles in a participating State than the number for which it has paid fees.</P> <P>(d) A motor carrier may not copy or alter a receipt or an official copy of a receipt.</P> <P>(e) A motor carrier must maintain in each of its motor vehicles an official copy of its receipt indicating that it has filed the required proof of insurance and paid appropriate fees for each State in which it operates.</P> <P>(f) A motor carrier may transfer its official copies of its receipts from vehicles taken out of service to their replacement vehicles.</P> <P>(g) The driver of a motor vehicle must present an official copy of a receipt for inspection by any authorized government personnel on reasonable demand.</P> <P>(h) No registration State shall require decals, stamps, cab cards, or any other means of registering or identifying specific vehicles operated by a motor carrier.</P> <CITA>[60 FR 30012, June 7, 1995. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR 15420, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 367.6</SECTNO> <SUBJECT>Registration State accounting.</SUBJECT> <P>(a) A participating State must, on or before the last day of each month, allocate and remit to each other participating State the appropriate portion of the fee revenue registrants submitted during the preceding month. Each remittance must be accompanied by a supporting statement identifying registrants and specifying the number of motor vehicles for which each registrant submitted fees. A participating State must submit a report of “no activity” to any other participating State for which it collected no fees during any month.</P> <P>(b) A participating State must maintain records of fee revenue received from and remitted to each other participating State. Such records must specify the fees received from and remitted to each participating State <PRTPAGE P="56"/>with respect to each motor carrier registrant. A participating State must retain such records for a minimum of 3 years.</P> <P>(c) A participating State must keep records pertaining to each of the motor carriers for which it acts as a registration State. The records must, at a minimum, include copies of annual and supplemental registration applications containing the information required by § 367.4(c). A registration State must retain all such records for a minimum of 3 years.</P> <CITA>[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR 15420, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 367.7</SECTNO> <SUBJECT>Violations unlawful; criminal penalties and civil sanctions.</SUBJECT> <P>Any violation of the provisions of these standards is unlawful. Nothing in these standards shall be construed to prevent a State from imposing criminal penalties or civil sanctions upon any person or organization violating any provision of them.</P> </SECTION> <APPENDIX> <EAR>Pt. 367, App. A</EAR> <HD SOURCE="HED">Appendix A to Part 367—Uniform Application for Single State Registration for Motor Carriers Registered with the Secretary of Transportation</HD> <FP SOURCE="FP-2">Motor Carrier Identification Numbers:</FP> <FP SOURCE="FP-DASH">FMCSA MC No.(s.)</FP> <FP SOURCE="FP-DASH">US DOT No.</FP> <FP SOURCE="FP-2">Applicant (Identical to name on FMCSA order):</FP> <FP SOURCE="FP-DASH">Name:</FP> <FP SOURCE="FP-DASH">D/B/A</FP> <FP SOURCE="FP-1">Principal Place of Business Address: <SU>1</SU> <FTREF/> </FP> <FTNT> <P> <SU>1</SU> A principal place of business is a single location that serves as a motor carrier's headquarters and where it maintains or can make available its operational records.</P> </FTNT> <FP SOURCE="FP-DASH">Street</FP> <FP SOURCE="FP-DASH">City</FP> <FP SOURCE="FP-DASH">State</FP> <FP SOURCE="FP-DASH">Zip</FP> <FP SOURCE="FP-2">Mailing Address if Different From Business Address Above:</FP> <FP SOURCE="FP-DASH">Street</FP> <FP SOURCE="FP-DASH">City</FP> <FP SOURCE="FP-DASH">State</FP> <FP SOURCE="FP-DASH">Zip</FP> <FP SOURCE="FP-2">Type of Registration:</FP> <FP SOURCE="FP-2">[] <E T="03">New Carrier Registration—</E> The motor carrier has not previously registered.</FP> <FP SOURCE="FP-2">[] <E T="03">Annual Registration—</E> The motor carrier is renewing its annual registration.</FP> <FP SOURCE="FP-2">[] <E T="03">Supplemental Registration—</E> The motor carrier is adding additional vehicles or States of travel after its annual registration.</FP> <FP SOURCE="FP-2">[] <E T="03">New Registration State Selection—</E> The motor carrier has changed its principal place of business or its prior registration State has left the registration program. The prior registration State was __________.</FP> <FP SOURCE="FP-2">[] <E T="03">Additional States not registered</E> in prior years. List</FP> <FP SOURCE="FP-DASH"/> <FP SOURCE="FP-DASH"/> <FP SOURCE="FP-2">Type of Motor Carrier: (Check one)</FP> <FP SOURCE="FP-2">[] Individual emsp;[] Partnership emsp;[] Corporation</FP> <P>If corporation, give State in which incorporated:__________ </P> <FP SOURCE="FP-2">List names of partners or officers:</FP> <FP SOURCE="FP-DASH">Name:</FP> <FP SOURCE="FP-DASH">Title:</FP> <FP SOURCE="FP-DASH">Name:</FP> <FP SOURCE="FP-DASH">Title:</FP> <FP SOURCE="FP-DASH">Name:</FP> <FP SOURCE="FP-DASH">Title:</FP> <FP SOURCE="FP-2">Type of FMCSA Registered Authority:</FP> <FP SOURCE="FP-2">Permanent Certificate or Permit [] Temporary Authority (TA) [] Emergency Temporary Authority (ETA) []</FP> <FP SOURCE="FP-2">FMCSA Certificate(s) or Permit(s):</FP> <FP SOURCE="FP-2">[] FMCSA Authority Order(s) attached for initial registration.</FP> <FP SOURCE="FP-2">[] FMCSA Authority Order(s) attached for additional grants received.</FP> <FP SOURCE="FP-2">[] No change from prior year registration.</FP> <FP SOURCE="FP-2"> <E T="03">Proof of Public Liability Security:</E> </FP> <FP SOURCE="FP-2">[] The applicant is filing, or causing to be filed, a copy of its proof of public liability security submitted to and accepted by the FMCSA under 49 CFR part 387, subpart C.</FP> <FP SOURCE="FP-2">[] The applicant has filed, or caused to be filed, a copy of its proof of public liability security submitted to and accepted by the FMCSA under 49 CFR part 387, subpart C, and the security remains in effect.</FP> <FP SOURCE="FP-2"> <E T="03">FMCSA Approved Self-Insurance or Other Securities:</E> </FP> <FP SOURCE="FP-2">[] FMCSA Insurance order attached for new carrier registration. (Check one when completing for annual registration.)</FP> <FP SOURCE="FP-2">[] The FMCSA Order approving the self-insurance plan or other security is still in full force and effect, and the carrier is in full compliance with all conditions imposed by the FMCSA Order.</FP> <FP SOURCE="FP-2">[] The motor carrier is no longer approved under a self-insurance plan or other security, and the motor carrier will file, or <PRTPAGE P="57"/>cause to be filed, a copy of proof of public liability security with this application in the registration State.</FP> <FP SOURCE="FP-2"> <E T="03">Hazardous Materials:</E> (Check one)</FP> <FP SOURCE="FP-2">[] The applicant <E T="03">will not</E> haul hazardous materials in any quantity.</FP> <FP SOURCE="FP-2">[] The applicant will haul hazardous materials that require the following limits in accordance with Title 49 CFR 387.303:</FP> <FP SOURCE="FP-2">(Check one)</FP> <FP SOURCE="FP-2">[] Public Liability and Property Damage Insurance of $1 million.</FP> <FP SOURCE="FP-2">[] Public Liability and Property Damage Insurance of $5 million.</FP> <FP SOURCE="FP-2"> <E T="03">Process Agents:</E> </FP> <FP SOURCE="FP-2">[] FMCSA Form No. BOC-3 or blanket designation attached for new registration.</FP> <FP SOURCE="FP-2">[] FMCSA Form No. BOC-3 or blanket designation attached reflecting changes of designation of process agents.</FP> <FP SOURCE="FP-2">[] No change from prior year registration.</FP> <FP SOURCE="FP-2"> <E T="03">Certification:</E> </FP> <P>I, the undersigned, under penalty for false statement, certify that the above information is true and correct and that I am authorized to execute and file this document on behalf of the applicant. (Penalty provisions subject to the laws of the registration State.) </P> <FP SOURCE="FP-DASH">Name (Printed)</FP> <FP SOURCE="FP-DASH">Signature</FP> <FP SOURCE="FP-DASH">Title</FP> <FP SOURCE="FP-DASH">Telephone Number</FP> <FP SOURCE="FP-DASH">Date</FP> <CITA>[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR 15420, Apr. 1, 1997]</CITA> </APPENDIX> </PART> <PART> <EAR>Pt. 368</EAR> <HD SOURCE="HED">PART 368—APPLICATION FOR A CERTIFICATE OF REGISTRATION TO OPERATE IN MUNICIPALITIES IN THE UNITED STATES ON THE UNITED STATES-MEXICO INTERNATIONAL BORDER OR WITHIN THE COMMERCIAL ZONES OF SUCH MUNICIPALITIES.</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>368.1</SECTNO> <SUBJECT>Certificate of registration.</SUBJECT> <SECTNO>368.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>368.3</SECTNO> <SUBJECT>Applying for a certificate of registration.</SUBJECT> <SECTNO>368.4</SECTNO> <SUBJECT>Requirement to notify FMCSA of change in applicant information.</SUBJECT> <SECTNO>368.5</SECTNO> <SUBJECT>Re-registration of certain carriers holding certificates of registration.</SUBJECT> <SECTNO>368.6</SECTNO> <SUBJECT>FMCSA action on an application.</SUBJECT> <SECTNO>368.7</SECTNO> <SUBJECT>Requirement to carry certificate of registration in the vehicle.</SUBJECT> <SECTNO>368.8</SECTNO> <SUBJECT>Appeals.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13301 and 13902; Pub. L. 106-159, 113 Stat. 1748; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>67 FR 12660, Mar. 19, 2002, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 368.1</SECTNO> <SUBJECT>Certificate of registration.</SUBJECT> <P>(a) A Mexico-domiciled motor carrier must apply to the FMCSA and receive a Certificate of Registration to provide interstate transportation in municipalities in the United States on the United States-Mexico international border or within the commercial zones of such municipalities as defined in 49 U.S.C. 13902(c)(4)(A).</P> <P>(b) A certificate of registration permits only interstate transportation of property in municipalities in the United States on the United States-Mexico international border or within the commercial zones of such municipalities. A holder of a Certificate of Registration who operates a vehicle beyond this area is subject to applicable penalties and out-of-service orders.</P> </SECTION> <SECTION> <SECTNO>§ 368.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P> <E T="03">Interstate transportation</E> means transportation described at 49 U.S.C. 13501, and transportation in the United States otherwise exempt from the Secretary's jurisdiction under 49 U.S.C. 13506(b)(1).</P> <P> <E T="03">Mexico-domiciled motor carrier</E> means a motor carrier of property whose principal place of business is located in Mexico.</P> </SECTION> <SECTION> <SECTNO>§ 368.3</SECTNO> <SUBJECT>Applying for a certificate of registration.</SUBJECT> <P>(a) If you wish to obtain a certificate of registration under this part, you must submit an application that includes the following:</P> <P>(1) Form OP-2—Application for Mexican Certificate of Registration for Foreign Motor Carriers and Foreign Motor Private Carriers Under 49 U.S.C. 13902;</P> <P>(2) Form MCS-150—Motor Carrier Identification Report; and</P> <P>(3) A notification of the means used to designate process agents, either by submission in the application package of Form BOC-3—Designation of Agents—Motor Carriers, Brokers and Freight Forwarders or a letter stating that the applicant will use a process agent service that will submit the Form BOC-3 electronically.<PRTPAGE P="58"/> </P> <P>(b) The FMCSA will only process your application for a Certificate of Registration if it meets the following conditions:</P> <P>(1) The application must be completed in English;</P> <P>(2) The information supplied must be accurate and complete in accordance with the instructions to the Form OP-2, Form MCS-150 and Form BOC-3;</P> <P>(3) The application must include all the required supporting documents and applicable certifications set forth in the instructions to the Form OP-2, Form MCS-150 and Form BOC-3;</P> <P>(4) The application must include the filing fee payable to the FMCSA in the amount set forth in 49 CFR 360.3(f)(1); and</P> <P>(5) The application must be signed by the applicant.</P> <P>(c) If you fail to furnish the complete application as described under paragraph (b) of this section your application may be rejected.</P> <P>(d) If you submit false information under this section, you will be subject to applicable Federal penalties.</P> <P>(e) You must submit the application to the address provided in the instructions to the Form OP-2.</P> <P>(f) You may obtain the application described in paragraph (a) of this section from any FMCSA Division Office or download it from the FMCSA web site at: <E T="03">http://www.fmcsa.dot.gov/factsfigs/formspubs.htm.</E> </P> </SECTION> <SECTION> <SECTNO>§ 368.4</SECTNO> <SUBJECT>Requirement to notify FMCSA of change in applicant information.</SUBJECT> <P>(a) You must notify the FMCSA of any changes or corrections to the information in Parts I, IA or II submitted on the Form OP-2 or the Form BOC-3—Designation of Agents—Motor Carriers, Brokers and Freight Forwarders during the application process or while you have a Certificate of Registration. You must notify the FMCSA in writing within 45 days of the change or correction.</P> <P>(b) If you fail to comply with paragraph (a) of this section, the FMCSA may suspend or revoke the Certificate of Registration until you meet those requirements.</P> </SECTION> <SECTION> <SECTNO>§ 368.5</SECTNO> <SUBJECT>Re-registration of certain carriers holding certificates of registration.</SUBJECT> <P>(a) Each holder of a certificate of registration that permits operations only in municipalities in the United States along the United States-Mexico international border or in commercial zones of such municipalities issued before April 18, 2002, who wishes to continue solely in those operations must submit an application according to procedures established under § 368.3 of this part, except the filing fee in paragraph (b)(4) of that section is waived. You must file your application by October 20, 2003.</P> <P>(b) The FMCSA may suspend or revoke the certificate of registration of any registrant that fails to comply with the procedures set forth in this section.</P> <P>(c) Certificates of registration issued before April 18, 2002, remain valid until the FMCSA acts on the OP-2 application filed according to paragraph (a) of this section.</P> </SECTION> <SECTION> <SECTNO>§ 368.6</SECTNO> <SUBJECT>FMCSA action on the application.</SUBJECT> <P>(a) The Federal Motor Carrier Safety Administration will review the application for correctness, completeness, and adequacy of information. Non-material errors will be corrected without notice to the applicant. Incomplete applications may be rejected.</P> <P>(b) If the applicant does not require or is not eligible for a Certificate of Registration, the FMCSA will deny the application and notify the applicant.</P> <P>(c) The FMCSA will validate the accuracy of information and certifications provided in the application against data maintained in databases of the governments of Mexico and the United States.</P> <P>(d) If the FMCSA determines that the application and certifications demonstrate that the application is consistent with the FMCSA's safety fitness policy, it will issue a provisional Certificate of Registration, including a distinctive USDOT Number that identifies the motor carrier as permitted to provide interstate transportation of property solely in municipalities in the United States on the U.S.-Mexico international border or within the <PRTPAGE P="59"/>commercial zones of such municipalities.</P> <P>(e) The FMCSA may issue a permanent Certificate of Registration to the holder of a provisional Certificate of Registration no earlier than 18 months after the date of issuance of the Certificate and only after completion to the satisfaction of the FMCSA of the safety monitoring system for Mexico-domiciled carriers set out in subpart B of part 385 of this subchapter.</P> <P>(f) Notice of the authority sought will not be published in either the <E T="04">Federal Register</E> or the FMCSA Register. Protests or comments will not be allowed. There will be no oral hearings.</P> </SECTION> <SECTION> <SECTNO>§ 368.7</SECTNO> <SUBJECT>Requirement to carry certificate of registration in the vehicle.</SUBJECT> <P>A holder of a Certificate of Registration must maintain a copy of the Certificate of Registration in any vehicle providing transportation service within the scope of the Certificate, and make it available upon request to any State or Federal authorized inspector or enforcement officer.</P> </SECTION> <SECTION> <SECTNO>§ 368.8</SECTNO> <SUBJECT>Appeals.</SUBJECT> <P>An applicant has the right to appeal denial of the application. The appeal must be in writing and specify in detail why the agency's decision to deny the application was wrong. The appeal must be filed with the Director, Office of Data Analysis and Information Systems within 20 days of the date of the letter denying the application. The decision of the Director will be the final agency order.</P> </SECTION> </PART> <PART> <EAR>Pt. 370</EAR> <HD SOURCE="HED">PART 370—PRINCIPLES AND PRACTICES FOR THE INVESTIGATION AND VOLUNTARY DISPOSITION OF LOSS AND DAMAGE CLAIMS AND PROCESSING SALVAGE</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>370.1</SECTNO> <SUBJECT>Applicability of regulations.</SUBJECT> <SECTNO>370.3</SECTNO> <SUBJECT>Filing of claims.</SUBJECT> <SECTNO>370.5</SECTNO> <SUBJECT>Acknowledgment of claims.</SUBJECT> <SECTNO>370.7</SECTNO> <SUBJECT>Investigation of claims.</SUBJECT> <SECTNO>370.9</SECTNO> <SUBJECT>Disposition of claims.</SUBJECT> <SECTNO>370.11</SECTNO> <SUBJECT>Processing of salvage.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13301 and 14706; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>62 FR 32042, June 12, 1997, unless otherwise noted.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 370 appear at 66 FR 49870, Oct. 1, 2001.</P> </EDNOTE> <SECTION> <SECTNO>§ 370.1</SECTNO> <SUBJECT>Applicability of regulations.</SUBJECT> <P>The regulations set forth in this part shall govern the processing of claims for loss, damage, injury, or delay to property transported or accepted for transportation, in interstate or foreign commerce, by each motor carrier, water carrier, and freight forwarder (hereinafter called carrier), subject to 49 U.S.C. subtitle IV, part B.</P> </SECTION> <SECTION> <SECTNO>§ 370.3</SECTNO> <SUBJECT>Filing of claims.</SUBJECT> <P>(a)<E T="03"> Compliance with regulations.</E> A claim for loss or damage to baggage or for loss, damage, injury, or delay to cargo, shall not be voluntarily paid by a carrier unless filed, as provided in paragraph (b) of this section, with the receiving or delivering carrier, or carrier issuing the bill of lading, receipt, ticket, or baggage check, or carrier on whose line the alleged loss, damage, injury, or delay occurred, within the specified time limits applicable thereto and as otherwise may be required by law, the terms of the bill of lading or other contract of carriage, and all tariff provisions applicable thereto.</P> <P>(b)<E T="03"> Minimum filing requirements.</E> A written or electronic communication (when agreed to by the carrier and shipper or receiver involved) from a claimant, filed with a proper carrier within the time limits specified in the bill of lading or contract of carriage or transportation and:</P> <P>(1) Containing facts sufficient to identify the baggage or shipment (or shipments) of property,</P> <P>(2) Asserting liability for alleged loss, damage, injury, or delay, and</P> <P>(3) Making claim for the payment of a specified or determinable amount of money, shall be considered as sufficient compliance with the provisions for filing claims embraced in the bill of lading or other contract of carriage; <E T="03">Provided, however,</E> That where claims are electronically handled, procedures are established to ensure reasonable carrier access to supporting documents.</P> <P>(c)<E T="03"> Documents not constituting claims.</E> Bad order reports, appraisal reports of damage, notations of shortage or damage, or both, on freight bills, delivery <PRTPAGE P="60"/>receipts, or other documents, or inspection reports issued by carriers or their inspection agencies, whether the extent of loss or damage is indicated in dollars and cents or otherwise, shall, standing alone, not be considered by carriers as sufficient to comply with the minimum claim filing requirements specified in paragraph (b) of this section.</P> <P>(d) <E T="03">Claims filed for uncertain amounts.</E> Whenever a claim is presented against a proper carrier for an uncertain amount, such as “$100 more or less,” the carrier against whom such claim is filed shall determine the condition of the baggage or shipment involved at the time of delivery by it, if it was delivered, and shall ascertain as nearly as possible the extent, if any, of the loss or damage for which it may be responsible. It shall not, however, voluntarily pay a claim under such circumstances unless and until a formal claim in writing for a specified or determinable amount of money shall have been filed in accordance with the provisions of paragraph (b) of this section.</P> <P>(e)<E T="03"> Other claims.</E> If investigation of a claim develops that one or more other carriers has been presented with a similar claim on the same shipment, the carrier investigating such claim shall communicate with each such other carrier and, prior to any agreement entered into between or among them as to the proper disposition of such claim or claims, shall notify all claimants of the receipt of conflicting or overlapping claims and shall require further substantiation, on the part of each claimant of his/her title to the property involved or his/her right with respect to such claim.</P> </SECTION> <SECTION> <SECTNO>§ 370.5</SECTNO> <SUBJECT>Acknowledgment of claims.</SUBJECT> <P>(a) Each carrier shall, upon receipt in writing or by electronic transmission of a proper claim in the manner and form described in the regulations in the past, acknowledge the receipt of such claim in writing or electronically to the claimant within 30 days after the date of its receipt by the carrier unless the carrier shall have paid or declined such claim in writing or electronically within 30 days of the receipt thereof. The carrier shall indicate in its acknowledgment to the claimant what, if any, additional documentary evidence or other pertinent information may be required by it further to process the claim as its preliminary examination of the claim, as filed, may have revealed.</P> <P>(b) The carrier shall at the time each claim is received create a separate file and assign thereto a successive claim file number and note that number on all documents filed in support of the claim and all records and correspondence with respect to the claim, including the acknowledgment of receipt. At the time such claim is received the carrier shall cause the date of receipt to be recorded on the face of the claim document, and the date of receipt shall also appear in the carrier's acknowledgment of receipt to the claimant. The carrier shall also cause the claim file number to be noted on the shipping order, if in its possession, and the delivery receipt, if any, covering such shipment, unless the carrier has established an orderly and consistent internal procedure for assuring:</P> <P>(1) That all information contained in shipping orders, delivery receipts, tally sheets, and all other pertinent records made with respect to the transportation of the shipment on which claim is made, is available for examination upon receipt of a claim;</P> <P>(2) That all such records and documents (or true and complete reproductions thereof) are in fact examined in the course of the investigation of the claim (and an appropriate record is made that such examination has in fact taken place); and</P> <P>(3) That such procedures prevent the duplicate or otherwise unlawful payment of claims.</P> </SECTION> <SECTION> <SECTNO>§ 370.7</SECTNO> <SUBJECT>Investigation of claims.</SUBJECT> <P>(a) <E T="03">Prompt investigation required.</E> Each claim filed against a carrier in the manner prescribed in this part shall be promptly and thoroughly investigated if investigation has not already been made prior to receipt of the claim.</P> <P>(b) <E T="03">Supporting documents.</E> When a necessary part of an investigation, each claim shall be supported by the original bill of lading, evidence of the freight charges, if any, and either the original invoice, a photographic copy of the original invoice, or an exact <PRTPAGE P="61"/>copy thereof or any extract made therefrom, certified by the claimant to be true and correct with respect to the property and value involved in the claim; or certification of prices or values, with trade or other discounts, allowance, or deductions, of any nature whatsoever and the terms thereof, or depreciation reflected thereon; <E T="03">Provided, however,</E> That where property involved in a claim has not been invoiced to the consignee shown on the bill of lading or where an invoice does not show price or value, or where the property involved has been sold, or where the property has been transferred at bookkeeping values only, the carrier shall, before voluntarily paying a claim, require the claimant to establish the destination value in the quantity, shipped, transported, or involved; <E T="03">Provided, further,</E> That when supporting documents are determined to be a necessary part of an investigation, the supporting documents are retained by the carriers for possible FMCSA inspection.</P> <P>(c) <E T="03">Verification of loss.</E> When an asserted claim for loss of an entire package or an entire shipment cannot be otherwise authenticated upon investigation, the carrier shall obtain from the consignee of the shipment involved a certified statement in writing that the property for which the claim is filed has not been received from any other source.</P> </SECTION> <SECTION> <SECTNO>§ 370.9</SECTNO> <SUBJECT>Disposition of claims.</SUBJECT> <P>(a) Each carrier subject to 49 U.S.C. subtitle IV, part B which receives a written or electronically transmitted claim for loss or damage to baggage or for loss, damage, injury, or delay to property transported shall pay, decline, or make a firm compromise settlement offer in writing or electronically to the claimant within 120 days after receipt of the claim by the carrier; <E T="03">Provided, however,</E> That, if the claim cannot be processed and disposed of within 120 days after the receipt thereof, the carrier shall at that time and at the expiration of each succeeding 60-day period while the claim remains pending, advise the claimant in writing or electronically of the status of the claim and the reason for the delay in making final disposition thereof and it shall retain a copy of such advice to the claimant in its claim file thereon.</P> <P>(b) When settling a claim for loss or damage, a common carrier by motor vehicle of household goods as defined in § 375.1(b)(1) of this chapter shall use the replacement costs of the lost or damaged item as a base to apply a depreciation factor to arrive at the current actual value of the lost or damaged item: <E T="03">Provided,</E> That where an item cannot be replaced or no suitable replacement is obtainable, the proper measure of damages shall be the original costs, augmented by a factor derived from a consumer price index, and adjusted downward by a factor depreciation over average useful life.</P> </SECTION> <SECTION> <SECTNO>§ 370.11</SECTNO> <SUBJECT>Processing of salvage.</SUBJECT> <P>(a) Whenever baggage or material, goods, or other property transported by a carrier subject to the provisions in this part is damaged or alleged to be damaged and is, as a consequence thereof, not delivered or is rejected or refused upon tender thereof to the owner, consignee, or person entitled to receive such property, the carrier, after giving due notice, whenever practicable to do so, to the owner and other parties that may have an interest therein, and unless advised to the contrary after giving such notice, shall undertake to sell or dispose of such property directly or by the employment of a competent salvage agent. The carrier shall only dispose of the property in a manner that will fairly and equally protect the best interests of all persons having an interest therein. The carrier shall make an itemized record sufficient to identify the property involved so as to be able to correlate it to the shipment or transportation involved, and claim, if any, filed thereon. The carrier also shall assign to each lot of such property a successive lot number and note that lot number on its record of shipment and claim, if any claim is filed thereon.</P> <P>(b) Whenever disposition of salvage material or goods shall be made directly to an agent or employee of a carrier or through a salvage agent or company in which the carrier or one or more of its directors, officers, or managers has any interest, financial or otherwise, that carrier's salvage <PRTPAGE P="62"/>records shall fully reflect the particulars of each such transaction or relationship, or both, as the case may be.</P> <P>(c) Upon receipt of a claim on a shipment on which salvage has been processed in the manner prescribed in this section, the carrier shall record in its claim file thereon the lot number assigned, the amount of money recovered, if any, from the disposition of such property, and the date of transmittal of such money to the person or persons lawfully entitled to receive the same.</P> </SECTION> </PART> <PART> <EAR>Pt. 371</EAR> <HD SOURCE="HED">PART 371—BROKERS OF PROPERTY</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>371.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>371.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>371.3</SECTNO> <SUBJECT>Records to be kept by brokers.</SUBJECT> <SECTNO>371.7</SECTNO> <SUBJECT>Misrepresentation.</SUBJECT> <SECTNO>371.9</SECTNO> <SUBJECT>Rebating and compensation.</SUBJECT> <SECTNO>371.10</SECTNO> <SUBJECT>Duties and obligations of brokers.</SUBJECT> <SECTNO>371.13</SECTNO> <SUBJECT>Accounting.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13301, 13501, and 14122; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>45 FR 68942, Oct. 17, 1980, unless otherwise noted. Redesignated at 61 FR 54707, Oct. 21, 1996.</P> </SOURCE> <SECTION> <SECTNO>§ 371.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>This part applies, to the extent provided therein, to all brokers of transportation by motor vehicle as defined in § 371.2.</P> <CITA>[32 FR 20034, Dec. 20, 1967, as amended at 62 FR 15421, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 371.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Broker</E> means a person who, for compensation, arranges, or offers to arrange, the transportation of property by an authorized motor carrier. Motor carriers, or persons who are employees or bona fide agents of carriers, are not brokers within the meaning of this section when they arrange or offer to arrange the transportation of shipments which they are authorized to transport and which they have accepted and legally bound themselves to transport.</P> <P>(b) <E T="03">Bona fide agents</E> are persons who are part of the normal organization of a motor carrier and perform duties under the carrier's directions pursuant to a preexisting agreement which provides for a continuing relationship, precluding the exercise of discretion on the part of the agent in allocating traffic between the carrier and others.</P> <P>(c) <E T="03">Brokerage</E> or <E T="03">brokerage service</E> is the arranging of transportation or the physical movement of a motor vehicle or of property. It can be performed on behalf of a motor carrier, consignor, or consignee.</P> <P>(d) <E T="03">Non-brokerage service</E> is all other service performed by a broker on behalf of a motor carrier, consignor, or consignee.</P> </SECTION> <SECTION> <SECTNO>§ 371.3</SECTNO> <SUBJECT>Records to be kept by brokers.</SUBJECT> <P>(a) A broker shall keep a record of each transaction. For purposes of this section, brokers may keep master lists of consignors and the address and registration number of the carrier, rather than repeating this information for each transaction. The record shall show:</P> <P>(1) The name and address of the consignor;</P> <P>(2) The name, address, and registration number of the originating motor carrier;</P> <P>(3) The bill of lading or freight bill number;</P> <P>(4) The amount of compensation received by the broker for the brokerage service performed and the name of the payer;</P> <P>(5) A description of any non-brokerage service performed in connection with each shipment or other activity, the amount of compensation received for the service, and the name of the payer; and</P> <P>(6) The amount of any freight charges collected by the broker and the date of payment to the carrier.</P> <P>(b) Brokers shall keep the records required by this section for a period of three years.</P> <P>(c) Each party to a brokered transaction has the right to review the record of the transaction required to be kept by these rules.</P> <CITA>[45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR 15421, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 371.7</SECTNO> <SUBJECT>Misrepresentation.</SUBJECT> <P>(a) A broker shall not perform or offer to perform any brokerage service (including advertising), in any name other than that in which its registration is issued.<PRTPAGE P="63"/> </P> <P>(b) A broker shall not, directly or indirectly, represent its operations to be that of a carrier. Any advertising shall show the broker status of the operation.</P> <CITA>[45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR 15421, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 371.9</SECTNO> <SUBJECT>Rebating and compensation.</SUBJECT> <P>(a) A broker shall not charge or receive compensation from a motor carrier for brokerage service where:</P> <P>(1) The broker owns or has a material beneficial interest in the shipment or</P> <P>(2) The broker is able to exercise control over the shipment because the broker owns the shipper, the shipper owns the broker, or there is common ownership of the two.</P> <P>(b) A broker shall not give or offer to give anything of value to any shipper, consignor or consignee (or their officers or employees) except inexpensive advertising items given for promotional purposes.</P> </SECTION> <SECTION> <SECTNO>§ 371.10</SECTNO> <SUBJECT>Duties and obligations of brokers.</SUBJECT> <P>Where the broker acts on behalf of a person bound by law or the FMCSA regulation as to the transmittal of bills or payments, the broker must also abide by the law or regulations which apply to that person.</P> <CITA>[45 FR 68943, Oct. 17, 1980, as amended at 62 FR 15421, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 371.13</SECTNO> <SUBJECT>Accounting.</SUBJECT> <P>Each broker who engages in any other business shall maintain accounts so that the revenues and expenses relating to the brokerage portion of its business are segregated from its other activities. Expenses that are common shall be allocated on an equitable basis; however, the broker must be prepared to explain the basis for the allocation.</P> <CITA>[45 FR 68943, Oct. 17, 1980]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 372</EAR> <HD SOURCE="HED">PART 372—EXEMPTIONS, COMMERCIAL ZONES, AND TERMINAL AREAS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Exemptions</HD> <SECHD>Sec.</SECHD> <SECTNO>372.101</SECTNO> <SUBJECT>Casual, occasional, or reciprocal transportation of passengers for compensation when such transportation is sold or arranged by anyone for compensation.</SUBJECT> <SECTNO>372.103</SECTNO> <SUBJECT>Motor vehicles employed solely in transporting school children and teachers to or from school.</SUBJECT> <SECTNO>372.107</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>372.109</SECTNO> <SUBJECT>Computation of tonnage allowable in nonfarm-non-member transportation.</SUBJECT> <SECTNO>372.111</SECTNO> <SUBJECT>Nonmember transportation limitation and record keeping.</SUBJECT> <SECTNO>372.113</SECTNO> <SUBJECT>[Reserved]</SUBJECT> <SECTNO>372.115</SECTNO> <SUBJECT>Commodities that are not exempt under 49 U.S.C. 13506(a)(6).</SUBJECT> <SECTNO>372.117</SECTNO> <SUBJECT>Motor transportation of passengers incidental to transportation by aircraft.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Commercial Zones</HD> <SECTNO>372.201</SECTNO> <SUBJECT>Albany, NY.</SUBJECT> <SECTNO>372.203</SECTNO> <SUBJECT>Beaumont, TX.</SUBJECT> <SECTNO>372.205</SECTNO> <SUBJECT>Charleston, SC.</SUBJECT> <SECTNO>372.207</SECTNO> <SUBJECT>Charleston, WV.</SUBJECT> <SECTNO>372.209</SECTNO> <SUBJECT>Lake Charles, LA.</SUBJECT> <SECTNO>372.211</SECTNO> <SUBJECT>Pittsburgh, PA.</SUBJECT> <SECTNO>372.213</SECTNO> <SUBJECT>Pueblo, CO.</SUBJECT> <SECTNO>372.215</SECTNO> <SUBJECT>Ravenswood, WV.</SUBJECT> <SECTNO>372.217</SECTNO> <SUBJECT>Seattle, WA.</SUBJECT> <SECTNO>372.219</SECTNO> <SUBJECT>Washington, DC.</SUBJECT> <SECTNO>372.221</SECTNO> <SUBJECT>Twin Cities.</SUBJECT> <SECTNO>372.223</SECTNO> <SUBJECT>Consolidated governments.</SUBJECT> <SECTNO>372.225</SECTNO> <SUBJECT>Lexington-Fayette Urban County, KY.</SUBJECT> <SECTNO>372.227</SECTNO> <SUBJECT>Syracuse, NY.</SUBJECT> <SECTNO>372.229</SECTNO> <SUBJECT>Spokane, WA.</SUBJECT> <SECTNO>372.231</SECTNO> <SUBJECT>Tacoma, WA.</SUBJECT> <SECTNO>372.233</SECTNO> <SUBJECT>Chicago, IL.</SUBJECT> <SECTNO>372.235</SECTNO> <SUBJECT>New York, NY.</SUBJECT> <SECTNO>372.237</SECTNO> <SUBJECT>Cameron, Hidalgo, Starr, and Willacy Counties, TX.</SUBJECT> <SECTNO>372.239</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>372.241</SECTNO> <SUBJECT>Commercial zones determined generally, with exceptions.</SUBJECT> <SECTNO>372.243</SECTNO> <SUBJECT>Controlling distances and population data.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Terminal Areas</HD> <SECTNO>372.300</SECTNO> <SUBJECT>Distances and population data.</SUBJECT> <SECTNO>372.301</SECTNO> <SUBJECT>Terminal areas of motor carriers and freight forwarders at municipalities served.</SUBJECT> <SECTNO>372.303</SECTNO> <SUBJECT>Terminal areas of motor carriers and freight forwarders at unincorporated communities served.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13504 and 13506; and 49 CFR 1.73.</P> </AUTH> <EDNOTE> <PRTPAGE P="64"/> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 372 appear at 66 FR 49870, Oct. 1, 2001.</P> </EDNOTE> <SUBPART> <HD SOURCE="HED">Subpart A—Exemptions</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>32 FR 20036, Dec. 20, 1967, unless otherwise noted. Redesignated at 61 FR 54708, Oct. 21, 1996.</P> </SOURCE> <SECTION> <SECTNO>§ 372.101</SECTNO> <SUBJECT>Casual, occasional, or reciprocal transportation of passengers for compensation when such transportation is sold or arranged by anyone for compensation.</SUBJECT> <P>The partial exemption from regulation under the provisions of 49 U.S.C. subtitle IV, part B of the casual, occasional, and reciprocal transportation of passengers by motor vehicle in interstate or foreign commerce for compensation as provided in 49 U.S.C. 13506(b) be, and it is hereby, removed to the extent necessary to make applicable all provisions of 49 U.S.C. subtitle IV, part B to such transportation when sold or offered for sale, or provided or procured or furnished or arranged for, by any person who sells, offers for sale, provides, furnishes, contracts, or arranges for such transportation for compensation or as a regular occupation or business.</P> <CITA>[32 FR 20036, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, as amended at 62 FR 15421, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.103</SECTNO> <SUBJECT>Motor vehicles employed solely in transporting school children and teachers to or from school.</SUBJECT> <P>The exemption set forth in 49 U.S.C. 13506(a)(1) shall not be construed as being inapplicable to motor vehicles being used at the time of operation in the transportation of schoolchildren and teachers to or from school, even though such motor vehicles are employed at other times in transportation beyond the scope of the exemption.</P> <CITA>[36 FR 9022, May 18, 1971, as amended at 62 FR 15421, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.107</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>As used in the regulations in this part, the following terms shall have the meaning shown:</P> <P>(a) <E T="03">Cooperative association.</E> The term “cooperative association” means an association which conforms to the following definition in the Agricultural Marketing Act, approved June 15, 1929, as amended (12 U.S.C. 1141j): </P> <EXTRACT> <P>As used in this Act, the term <E T="03">cooperative association</E> means any association in which farmers act together in processing, preparing for market, handling, and/or marketing the farm products of persons so engaged, and also means any association in which farmers act together in purchasing, testing, grading, processing, distributing, and/or furnishing farm supplies and/or farm business services. Provided, however, That such associations are operated for the mutual benefit of the members thereof as such producers or purchasers and conform to one or both of the following requirements:</P> <P>First. That no member of the association is allowed more than one vote because of the amount of stock or membership capital he may own therein; and</P> <P>Second. That the association does not pay dividends on stock or membership capital in excess of 8 per centum per annum.</P> <P>And in any case to the following:</P> <P>Third. That the association shall not deal in farm products, farm supplies and farm business services with or for nonmembers in an amount greater in value than the total amount of such business transacted by it with or for members. All business transacted by any cooperative association for or on behalf of the United States or any agency or instrumentality thereof shall be disregarded in determining the volume of member and nonmember business transacted by such association.</P> </EXTRACT> <FP>Associations which do not conform to such definition are not eligible to operate under the partial exemption of 49 U.S.C. 13506(a)(5).</FP> <P>(b) <E T="03">Federation of cooperative associations.</E> The term “federation of cooperative associations” means a federation composed of either two or more cooperative associations, or one or more farmers, which federation possesses no greater powers or purposes than a cooperative association as defined in paragraph (a) of this section. Federations of cooperative associations which do not conform to such definition are not eligible to operate under the partial exemption of 49 U.S.C. 13506(a)(5).</P> <P>(c) <E T="03">Member.</E> The term “member” means any farmer or cooperative association which has consented to be, has been accepted as, and is a member in good standing in accordance with the constitution, bylaws, or rules of the cooperative association or federation of cooperative associations.<PRTPAGE P="65"/> </P> <P>(d) <E T="03">Farmer.</E> The term “farmer” means any individual, partnership, corporation, or other business entity to the extent engaged in farming operations either as a producer of agricultural commodities or as a farm owner.</P> <P>(e) <E T="03">Interstate transportation.</E> The term “interstate transportation” means transportation by motor vehicle in interstate or foreign commerce subject to the FMCSA's jurisdiction as set forth in 49 U.S.C. 13501.</P> <P>(f) <E T="03">Member transportation.</E> The term “member transportation” means transportation performed by a cooperative association or federation of cooperative associations for itself or for its members, but does not include transportation performed in furtherance of the nonfarm business of such members.</P> <P>(g) <E T="03">Nonmember transportation.</E> The term “nonmember transportation” means transportation performed by a cooperative association or federation of cooperative associations other than member transportation as defined in paragraph (f) of this section.</P> <P>(h) <E T="03">Fiscal year.</E> The term “fiscal year” means the annual accounting period adopted by the cooperative association or federation of cooperative associations for Federal income tax reporting purposes.</P> <CITA>[43 FR 2397, Jan. 17, 1978, as amended at 45 FR 45524, July 3, 1980; 47 FR 13353, Mar. 30, 1982; 47 FR 15142, Apr. 8, 1982]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.109</SECTNO> <SUBJECT>Computation of tonnage allowable in nonfarm-non-member transportation.</SUBJECT> <P>Interstate transportation performed by a cooperative association or federation of cooperative associations for nonmembers who are not farmers, cooperative associations, or federations of associations or the United States Government for compensation, (except transportation otherwise exempt under subtitle IV, part B, chapter 135 of title 49 of the United States Code) shall be limited to that which is incidental to its primary transportation operation and necessary for its effective performance. It shall in no event exceed 25 percent of its total interstate transportation services in any fiscal year, measured in terms of tonnage. A cooperative association or federation of cooperative associations may transport its own property, its members' property, property of other farmers and the property of other cooperatives or federations in accordance with existing law, except where the provisions of § 372.111 may be applicable to the limit on member/nonmember transportation.</P> <P>(a) The phrase “incidental to its primary transportation operation and necessary for its effective performance” means that the interstate transportation of the cooperative association or federation of cooperation association for nonmembers as described above is performed with the same trucks or tractors employed in a prior or subsequent trip in the primary transportation operation of the cooperative association or federation, that it is not economically feasible to operate the trucks or tractors empty on return trips (outbound trips in cases where the primary transportation operation is inbound to the association or federation), and that the additional income obtained from such transportation is necessary to make the primary transportation operation financially practicable. Transportation for nonmembers as described above performed by a cooperative or federation through the use of trucks or tractors trip-leased for one-way movements with the cooperative association or federation acting as leasee, is not incidental and necessary;</P> <P>(b) The base tonnage to which the 25-percent limitation is applied is all tonnage of all kinds transported by the cooperative association or federation of cooperative associations in interstate or foreign commerce, whether for itself, its members or nonmembers, for or on behalf of the United States or any agency or instrumentality thereof, and that performed within the exemption provided by 49 U.S.C. 13506(a)(5).</P> <CITA>[43 FR 2397, Jan. 17, 1978, as amended at 43 FR 21894, May 22, 1978; 45 FR 45524, July 3, 1980; 62 FR 49940, Sept. 24, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.111</SECTNO> <SUBJECT>Nonmember transportation limitation and record keeping.</SUBJECT> <P>(a) <E T="03">Overall limitation of nonmember transportation.</E> No cooperative association or federation of cooperative associations may engage in nonmember interstate transportation for compensation in any fiscal year which, measured in terms of tonnage, exceeds <PRTPAGE P="66"/>its total interstate member transportation in such fiscal year.</P> <P>(b) <E T="03">Records of interstate transportation when nonmember transportation is performed.</E> Any cooperative association or federation of cooperative associations performing interstate transportation for nonmembers shall prepare and retain for a period of at least two years written records of all interstate transportation performed for members and nonmembers. These records shall contain:</P> <P>(1) The date of the shipment,</P> <P>(2) The names and addresses of the consignor and consignee,</P> <P>(3) The origin and destination of the shipment,</P> <P>(4) A description of the articles in the shipment,</P> <P>(5) The weight or volume of the shipment,</P> <P>(6) A description of the equipment used either by unit number or license number and, in the event this equipment is nonowned, the name and address of its owners and drivers,</P> <P>(7) The total charges collected,</P> <P>(8) A copy of all leases executed by the cooperative association or federation of cooperative associations to obtain equipment to perform transportation under 49 U.S.C. 13506(a)(5),</P> <P>(9) Whether the transportation performed is:</P> <P>(i) Member transportation,</P> <P>(ii) Nonmember transportation for nonmembers who are farmers, cooperative associations, or federations thereof,</P> <P>(iii) Other nonmember transportation, and if of class (iii), how the transportation was incidental and necessary as defined in § 372.109(a).</P> <CITA>[43 FR 2397, Jan. 17, 1978, as amended at 45 FR 45524, July 3, 1980; 62 FR 38036, July 16, 1997; 62 FR 49940, Sept. 24, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.113</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 372.115</SECTNO> <SUBJECT>Commodities that are not exempt under 49 U.S.C. 13506(a)(6).</SUBJECT> <P>49 U.S.C. 13506(a)(6) provides an exemption from regulation for motor vehicles used in carrying ordinary livestock, fish, and unmanufactured agricultural commodities. Certain specific commodities have been statutorily determined to be non-exempt. Administrative Ruling No. 133, which is reproduced below, is a list of those commodities that are non-exempt by statute.</P> <EXTRACT> <HD SOURCE="HD1">Administrative Ruling No. 133</HD> <HD SOURCE="HD1">List of Commodities That Are Not Exempt by Statute Under 49 U.S.C. 13506(a)(6)</HD> <FP SOURCE="FP-2"> <E T="03">Animal fats</E> </FP> <FP SOURCE="FP-2"> <E T="03">Butter</E> </FP> <FP SOURCE="FP-2"> <E T="03">Canned fruits and vegetables</E> </FP> <FP SOURCE="FP-2"> <E T="03">Carnauba wax as imported in slabs or chunks</E> </FP> <FP SOURCE="FP-2"> <E T="03">Cattle, slaughtered</E> </FP> <FP SOURCE="FP-2"> <E T="03">Charcoal</E> </FP> <FP SOURCE="FP-2"> <E T="03">Cheese</E> </FP> <FP SOURCE="FP-2"> <E T="03">Coal</E> </FP> <FP SOURCE="FP-2"> <E T="03">Cocoa beans</E> </FP> <FP SOURCE="FP-2"> <E T="03">Coffee, beans, roasted, or instant</E> </FP> <FP SOURCE="FP-2"> <E T="03">Copra meal</E> </FP> <FP SOURCE="FP-2"> <E T="03">Cotton yarn</E> </FP> <FP SOURCE="FP-2"> <E T="03">Cottonseed cake or meal</E> </FP> <FP SOURCE="FP-2"> <E T="03">Diatomaceous earth</E> </FP> <FP SOURCE="FP-2"> <E T="03">Dinners, frozen</E> </FP> <FP> <E T="03">Feeds:</E> </FP> <FP SOURCE="FP1-2">Alfalfa meal</FP> <FP SOURCE="FP1-2">Alfalfa pellets</FP> <FP SOURCE="FP1-2">Beet pulp</FP> <FP SOURCE="FP1-2">Bran shorts</FP> <FP SOURCE="FP1-2">Copra meal</FP> <FP SOURCE="FP1-2">Corn gluten</FP> <FP SOURCE="FP1-2">Distilled corn grain residues, with or without solubles added</FP> <FP SOURCE="FP1-2">Fish meal</FP> <FP SOURCE="FP1-2">Hominy feed</FP> <FP SOURCE="FP1-2">Middlings</FP> <FP SOURCE="FP1-2">Pelletized ground refuse screenings</FP> <FP SOURCE="FP1-2">Wheat bran</FP> <FP SOURCE="FP1-2">Wheat shorts</FP> <FP> <E T="03">Fertilizer, commercial</E> </FP> <FP> <E T="03">Fish:</E> </FP> <FP SOURCE="FP1-2">Canned or salted as a treatment for preserving</FP> <FP SOURCE="FP1-2">Cooked or partially cooked fish or shrimp, frozen or unfrozen</FP> <FP SOURCE="FP1-2">Hermetically sealed in containers as a treatment for preserving</FP> <FP SOURCE="FP1-2">Oil from fishes</FP> <FP SOURCE="FP1-2">Preserved, or treated for preserving, such as smoked, salted, pickled, spiced, corned or kippered</FP> <FP SOURCE="FP-2"> <E T="03">Flagstone</E> </FP> <FP SOURCE="FP-2"> <E T="03">Flaxseed meal</E> </FP> <FP SOURCE="FP-2"> <E T="03">Flour</E> </FP> <FP> <E T="03">Forest products:</E> </FP> <FP SOURCE="FP1-2">Resin products, such as turpentine</FP> <FP> <E T="03">Fruits and Berries:</E> </FP> <FP SOURCE="FP1-2">Bananas, fresh, dried, dehydrated, or frozen</FP> <FP SOURCE="FP1-2">Canned</FP> <FP SOURCE="FP1-2">Frozen</FP> <FP SOURCE="FP1-2">Hulls of oranges after juice extractions</FP> <FP SOURCE="FP1-2">Juice, fruit, plain or concentrated</FP> <FP SOURCE="FP1-2">Pies, frozen<PRTPAGE P="67"/> </FP> <FP SOURCE="FP1-2">Preserved, such as jam</FP> <FP SOURCE="FP1-2">Purees, strawberry and other, frozen</FP> <FP> <E T="03">Grains:</E> </FP> <FP SOURCE="FP1-2">Oils extracted from grain</FP> <FP SOURCE="FP1-2">Popcorn, popped</FP> <FP SOURCE="FP1-2">Rice, precooked</FP> <FP SOURCE="FP1-2">Wheat germ</FP> <FP SOURCE="FP-2"> <E T="03">Gravel</E> </FP> <FP SOURCE="FP-2"> <E T="03">Hair, hog or other animal, product of slaughter of animal</E> </FP> <FP SOURCE="FP-2"> <E T="03">Hay, sweetened with 3 percent molasses by weight</E> </FP> <FP SOURCE="FP-2"> <E T="03">Hemp fiber</E> </FP> <FP SOURCE="FP-2"> <E T="03">Hides, green and salted</E> </FP> <FP SOURCE="FP-2"> <E T="03">Insecticides</E> </FP> <FP SOURCE="FP-2"> <E T="03">Limestone, agricultural</E> </FP> <FP> <E T="03">Livestock:</E> </FP> <FP SOURCE="FP1-2">Monkeys</FP> <FP SOURCE="FP1-2">Race horses</FP> <FP SOURCE="FP1-2">Show horses</FP> <FP SOURCE="FP1-2">Zoo animals</FP> <FP SOURCE="FP-2"> <E T="03">Lumber, rough sawed or planed</E> </FP> <FP SOURCE="FP-2"> <E T="03">Maple syrup</E> </FP> <FP> <E T="03">Meal:</E> </FP> <FP SOURCE="FP1-2">Alfalfa</FP> <FP SOURCE="FP1-2">Copra</FP> <FP SOURCE="FP1-2">Cottonseed</FP> <FP SOURCE="FP1-2">Fish</FP> <FP SOURCE="FP1-2">Flaxseed</FP> <FP SOURCE="FP1-2">Linseed</FP> <FP SOURCE="FP1-2">Peanut</FP> <FP SOURCE="FP1-2">Soybean</FP> <FP SOURCE="FP-2"> <E T="03">Meat and meat products, fresh, frozen or canned</E> </FP> <FP> <E T="03">Milk and Cream:</E> </FP> <FP SOURCE="FP1-2">Chocolate</FP> <FP SOURCE="FP1-2">Condensed</FP> <FP SOURCE="FP1-2">Sterilized in hermetically sealed cans</FP> <FP SOURCE="FP-2"> <E T="03">Molasses</E> </FP> <FP> <E T="03">Nuts (including peanuts):</E> </FP> <FP SOURCE="FP1-2">Peanut meal</FP> <FP SOURCE="FP1-2">Roasted or boiled</FP> <FP SOURCE="FP-2"> <E T="03">Oil, mint</E> </FP> <FP SOURCE="FP-2"> <E T="03">Oil, extracted from vegetables, grain, seed, fish or other commodity</E> </FP> <FP SOURCE="FP-2"> <E T="03">Pelts</E> </FP> <FP SOURCE="FP-2"> <E T="03">Pies, frozen</E> </FP> <FP SOURCE="FP-2"> <E T="03">Pigeons, racing</E> </FP> <FP SOURCE="FP-2"> <E T="03">Pulp, beet</E> </FP> <FP SOURCE="FP-2"> <E T="03">Pulp, sugar cane</E> </FP> <FP SOURCE="FP-2"> <E T="03">Rock (except natural crushed, vesicular rock to be used for decorative purposes)</E> </FP> <FP SOURCE="FP-2"> <E T="03">Rubber, crude, in bales</E> </FP> <FP SOURCE="FP-2"> <E T="03">Rubber, latex, natural, liquid, from which water has been extracted and to which ammonia has been added</E> </FP> <FP SOURCE="FP-2"> <E T="03">Sand</E> </FP> <FP> <E T="03">Seeds:</E> </FP> <FP SOURCE="FP1-2">Oil extracted from seeds</FP> <FP SOURCE="FP-2"> <E T="03">Skins, animal</E> </FP> <FP SOURCE="FP-2"> <E T="03">Soil, potting</E> </FP> <FP SOURCE="FP-2"> <E T="03">Soil, top</E> </FP> <FP SOURCE="FP-2"> <E T="03">Soup, frozen</E> </FP> <FP SOURCE="FP-2"> <E T="03">Sugar</E> </FP> <FP SOURCE="FP-2"> <E T="03">Sugar cane pulp</E> </FP> <FP SOURCE="FP-2"> <E T="03">Sugar raw</E> </FP> <FP SOURCE="FP-2"> <E T="03">Syrup, cane</E> </FP> <FP SOURCE="FP-2"> <E T="03">Syrup, maple</E> </FP> <FP SOURCE="FP-2"> <E T="03">Tea</E> </FP> <FP> <E T="03">Tobacco:</E> </FP> <FP SOURCE="FP1-2">Cigars and cigarettes</FP> <FP SOURCE="FP1-2">Homogenized</FP> <FP SOURCE="FP1-2">Smoking</FP> <FP SOURCE="FP-2"> <E T="03">Top Soil</E> </FP> <FP> <E T="03">Trees:</E> </FP> <FP SOURCE="FP1-2">Sawed into lumber</FP> <FP> <E T="03">Vegetables:</E> </FP> <FP SOURCE="FP1-2">Candied sweet potatoes, frozen</FP> <FP SOURCE="FP1-2">Canned</FP> <FP SOURCE="FP1-2">Cooked</FP> <FP SOURCE="FP1-2">French fried potatoes</FP> <FP SOURCE="FP1-2">Oil, extracted from vegetables</FP> <FP SOURCE="FP1-2">Soup, frozen</FP> <FP SOURCE="FP1-2">Soybean meal</FP> <FP SOURCE="FP-2"> <E T="03">Wool imported from a foreign country</E> </FP> <FP SOURCE="FP-2"> <E T="03">Wool tops and noils</E> </FP> <FP SOURCE="FP-2"> <E T="03">Wool waste (carded, spun, woven, or knitted)</E> </FP> <FP SOURCE="FP-2"> <E T="03">Wool yarn</E> </FP> <P> <E T="03">Note 1:</E> Under 49 U.S.C. 13506(a)(6)(D), any listed fish or shellfish product that is not intended for human consumption is <E T="03">exempt</E>.</P> <P> <E T="03">Note 2:</E> Under 49 U.S.C. 13506(a)(6)(E), any listed livestock feed, poultry feed, agricultural seeds, or plants that are transported to a site of agricultural production or to a business enterprise engaged in the sale to agricultural producers of goods used in agricultural production is <E T="03">exempt</E> </P> </EXTRACT> <CITA>[53 FR 17707, May 18, 1988, as amended at 62 FR 15421, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.117</SECTNO> <SUBJECT>Motor transportation of passengers incidental to transportation by aircraft.</SUBJECT> <P>(a) <E T="03">Passengers having an immediately prior or subsequent movement by air.</E> The transportation of passengers by motor vehicle is transportation incidental to transportation by aircraft provided (1) that it is confined to the transportation of passengers who have had or will have an immediately prior or immediately subsequent movement by air and (2) that the zone within which motor transportation is incidental to transportation by aircraft, except as it may be individually determined as provided in section (c) herein, shall not exceed in size the area encompassed by a 25-mile radius of the boundary of the airport at which the passengers arrive or depart and by the boundaries of the <PRTPAGE P="68"/>commercial zones (as defined by the Secretary) of any municipalities any part of whose commercial zones falls within the 25-mile radius of the pertinent airport.</P> <P>(b) <E T="03">Substituted motor-for-air transportation due to emergency conditions.</E> Transportation of passengers by motor vehicle is transportation incidental to transportation by aircraft if it constitutes substituted motor-for-air service performed at the expense of the air carrier in emergency situations arising from the inability of the air carrier to perform air transportation due to adverse weather conditions, equipment failure, or other causes beyond the control of the air carrier.</P> <P>(c) <E T="03">Individual determination of exempt zones.</E> Upon its own motion or upon petition filed by any interested person, the Secretary may in an appropriate proceeding, determine whether the area within which the transportation by motor vehicle of passengers having an immediately prior or subsequent movement by air must be performed, in order to come within the provisions of paragraph (a) of this section, should be individually determined with respect to any particular airport or city served by an airport, and whether there should be established therefor appropriate boundaries differing in extent from this defined in paragraph (a)(2) of this section.</P> <P>(d) <E T="03">Exempt zones and operations—</E>(1) <E T="03">Dulles and Baltimore-Washington International Airports.</E> The transportation by motor vehicle, in interstate or foreign commerce, of passengers, having an immediately prior or subsequent movement by air, between Dulles International Airport, near Chantilly, Va., and Baltimore-Washington International Airport, near Baltimore, Md., is partially exempt from regulation under 49 U.S.C. 13506(a)(8)(A).</P> <P>(2) <E T="03">Savannah, Ga., Airport.</E> The transportation by motor vehicle, in interstate or foreign commerce, of passengers, having an immediately prior or subsequent movement by air, between Savannah, Ga., Airport and all points on Hilton Head Island, SC, is partially exempt from regulation under 49 U.S.C. 13506(a)(8)(A).</P> <P>(3) <E T="03">Chicago O'Hare International Airport (Chicago, Ill.).</E> The transportation by motor vehicle, in interstate or foreign commerce, of passengers, having an immediately prior or subsequent movement by air, between O'Hare International Airport, at Chicago, Ill., on the one hand, and, on the other, points in Indiana on and north of U.S. Highway 30 and on and west of Indiana Highway 49, is partially exempt from regulation under 49 U.S.C. 13506(a)(8)(A).</P> <CITA>[32 FR 20036, Dec. 20, 1967, as amended at 37 FR 5252, Mar. 11, 1972; 42 FR 10003, Feb. 18, 1977; 42 FR 15705; Mar. 23, 1977; 62 FR 15421, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Commercial Zones</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>41 FR 56653, Dec. 29, 1976, unless otherwise noted. Redesignated at 61 FR 54708, Oct. 21, 1996.</P> </SOURCE> <SECTION> <SECTNO>§ 372.201</SECTNO> <SUBJECT>Albany, NY.</SUBJECT> <P>The zone adjacent to, and commercially a part of Albany, N.Y., within which transportation by motor vehicle, in interstate or foreign commerce, not under common control, management, or arrangement for a continuous carriage or shipment to or from a point beyond such zone, is partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) The municipality of Albany, N.Y., itself.</P> <P>(b) All points within a line drawn eight miles beyond the municipal limits of Albany.</P> <P>(c) All points in that area more than eight miles beyond the municipal limits of Albany bounded by a line as follows: Beginning at that point on the western boundary of Cohoes, N.Y., where it crosses the line described in paragraph (b) of this section, thence along the western and northern boundary of Cohoes to the Mohawk River thence along such river to the northern boundary of the Town of Waterford thence along the northern and eastern boundaries of the Town of Waterford to the northern boundary of the City of Troy (all of which city is included under the next provision).</P> <P>(d) All of any municipality any part of which is within the limits of the combined areas defined in paragraphs (b) and (c) of this section, and<PRTPAGE P="69"/> </P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality of Albany or any other municipality included under the terms of paragraph (d) of this section.</P> <CITA>[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.203</SECTNO> <SUBJECT>Beaumont, TX.</SUBJECT> <P>The zone adjacent to, and commercially a part of Beaumont, Tex., within which transportation by motor vehicle in interstate or foreign commerce, not under common control, management, or arrangement for a continuous carriage or shipment to or from a point beyond such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) The municipality of Beaumont, Tex., itself;</P> <P>(b) All points within a line drawn 8 miles beyond the municipal limits of Beaumont;</P> <P>(c) All points in Jefferson County and Orange County, Tex.;</P> <P>(d) All of any municipality any part of which is within the limits of the combined areas defined in paragraphs (b) and (c) of this section, and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality of Beaumont or by any other municipality included under the terms of paragraph (d) of this section.</P> <CITA>[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.205</SECTNO> <SUBJECT>Charleston, S.C.</SUBJECT> <P>The zone adjacent to, and commercially a part of Charleston, S.C., within which transportation by motor vehicle in interstate or foreign commerce, not under common control, management, or arrangement for a continuous carriage or shipment to or from a point beyond such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) The municipality of Charleston, S.C., itself;</P> <P>(b) All points within a line drawn 6 miles beyond the municipal limits of Charleston;</P> <P>(c) Those points in Charleston County, S.C., which are not within the areas described in paragraph (b) of this section; and those points in Berkley County, S.C., which are not within the areas described in paragraph (b) of this section, and which are west of South Carolina Highway 41; and all points in Dorchester County, SC.</P> <P>(d) All of any municipality any part of which is within the limits of the combined areas defined in paragraphs (b) and (c) of this section, and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality of Charleston or by any other municipality included under the terms of paragraph (d) of this section.</P> <CITA>[41 FR 56653, Dec. 29, 1976, as amended at 46 FR 28658, May 28, 1981; 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.207</SECTNO> <SUBJECT>Charleston, WV.</SUBJECT> <P>The zone adjacent to, and commercially a part of Charleston, W. Va., within which transportation by motor vehicle in interstate or foreign commerce, not under common control, management, or arrangement for a continuous carriage or shipment to or from a point beyond such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) The municipality of Charleston, W. Va., itself;</P> <P>(b) All points within a line drawn 6 miles beyond the municipal limits of Charleston;</P> <P>(c) Those points in Kanawha County, W. Va., which are not within the area described in paragraph (b) of this section; and those points in Putnam County, W. Va., south of West Virginia Highway 34;</P> <P>(d) All of any municipality any part of which is within the limits of the combined areas defined in paragraphs (b) and (c) of this section, and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality of Charleston or by any other municipality included under the terms of paragraph (d) of this section.</P> <CITA>[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <PRTPAGE P="70"/> <SECTNO>§ 372.209</SECTNO> <SUBJECT>Lake Charles, LA.</SUBJECT> <P>The zone adjacent to, and commercially a part of Lake Charles, La., within which transportation by motor vehicle in interstate or foreign commerce, not under common control, management, or arrangement for a continuous carriage or shipment to or from a point beyond such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) The municipality of Lake Charles, La., itself;</P> <P>(b) All points within a line drawn 6 miles beyond the municipal limits of Lake Charles;</P> <P>(c) Those points in Calcasieu Parish, La., which are not within the area described in paragraph (b) of this section; and which are east of Louisiana Highway 27 (western section);</P> <P>(d) All of any municipality any part of which is within the limits of the combined areas defined in paragraphs (b) and (c) of this section, and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality of Lake Charles or by any other municipality included under the terms of paragraph (d) of this section.</P> <CITA>[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.211</SECTNO> <SUBJECT>Pittsburgh, PA.</SUBJECT> <P>The zone adjacent to, and commercially a part of Pittsburgh within which transportation by motor vehicle in interstate or foreign commerce, not under common control, management, or arrangement for a continuous carriage or shipment to or from a point beyond such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) The municipality of Pittsburgh, Pa., itself;</P> <P>(b) All points within a line drawn 15 miles beyond the municipal limits of Pittsburgh;</P> <P>(c) Those points in Allegheny County, Pa., which are not within the area described in paragraph (b) of this section;</P> <P>(d) All of any municipality any part of which is within the limits of the combined areas defined in paragraphs (b) and (c) of this section, and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality of Pittsburgh by any other municipality included under the terms of paragraph (d) of this section.</P> <CITA>[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.213</SECTNO> <SUBJECT>Pueblo, CO.</SUBJECT> <P>The zone adjacent to, and commercially a part of Pueblo, Colo., within which transportation by motor vehicle in interstate or foreign commerce, not under common control, management, or arrangement for a continuous carriage or shipment to or from a point beyond such zone, is partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) The municipality of Pueblo, Colo., itself;</P> <P>(b) All points within a line drawn 6 miles beyond the municipal limits of Pueblo;</P> <P>(c) Those points in Pueblo County, Colo., which are not within the area described in paragraph (b) of this section;</P> <P>(d) All of any municipality any part of which is within the limits of the combined areas defined in paragraphs (b) and (c) of this section, and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality included under the terms of paragraph (d) of this section.</P> <CITA>[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.215</SECTNO> <SUBJECT>Ravenswood, WV.</SUBJECT> <P>The zone adjacent to, and commercially a part of Ravenswood, W. Va., within which transportation by motor vehicle in interstate or foreign commerce, not under common control, management, or arrangement for a continuous carriage or shipment to or from a point beyond such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) The municipality of Ravenswood, W. Va., itself;<PRTPAGE P="71"/> </P> <P>(b) All points within a line drawn 4 miles beyond the municipal limits of Ravenswood;</P> <P>(c) Those points in Jackson County, W. Va., which are not within the area described in paragraph (b) of this section, and which are north of U.S. Highway 33;</P> <P>(d) All of any municipality any part of which is within the limits of the combined areas defined in paragraphs (b) and (c) of this section, and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality of Ravenswood or by any other municipality included under the terms of paragraph (d) of this section.</P> <CITA>[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.217</SECTNO> <SUBJECT>Seattle, WA.</SUBJECT> <P>The zone adjacent to, and commercially a part of Seattle, Wash., within which transportation by motor vehicle in interstate or foreign commerce, not under common control, management, or arrangement for a continuous carriage or shipment to or from a point beyond such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) The municipality of Seattle, Wash., itself;</P> <P>(b) All points within a line drawn 15 miles beyond the municipal limits of Seattle;</P> <P>(c) Those points in King County, Wash., which are not within the area described in paragraph (b) of this section, and which are west of a line beginning at the intersection of the line described in paragraph (b) of this section and Washington Highway 18, thence northerly along Washington Highway 18 to junction of Interstate Highway 90, thence westerly along Interstate Highway 90 to junction Washington Highway 203, thence northerly along Washington Highway 203 to the King County line; and those points in Snohomish County, Wash., which are not within the area described in paragraph (b) of this section and which are west of Washington Highway 9; and those points in Kitsap County, Wash., which are not within the area described in paragraph (b) of this section lying within the area bounded by a line beginning at the intersection of the line described in paragraph (b) of this section and Washington Highway 3 to the boundary of Olympic View Industrial Park/Bremerton-Kitsap County Airport, thence westerly, southerly, easterly, and northerly along the boundary of Olympic View Industrial Park/ Bremerton-Kitsap County Airport to its juncture with Washington Highway 3 to its intersection with the line described in paragraph (b) of this section.</P> <P>(d) All of any municipality any part of which is within the limits of the combined areas defined in paragraphs (b) and (c) of this section, and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality of Seattle or by any other municipality included under the terms of paragraph (d) of this section.</P> <CITA>[41 FR 56654, Dec. 29, 1976, as amended at 46 FR 25314, May 6, 1981; 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.219</SECTNO> <SUBJECT>Washington, DC</SUBJECT> <P>The zone adjacent to, and commercially a part of Washington, D.C., within which transportation by motor vehicle in interstate or foreign commerce, not under common control, management, or arrangement for a continuous carriage or shipment to or from a point beyond such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) The municipality of Washington, D.C., itself;</P> <P>(b) All points within a line drawn 15 miles beyond the municipal limits of Washington, DC</P> <P>(c) All points in Fairfax and Loudoun Counties, VA, and all points in Prince William County, VA, including the City of Manassas, VA, and the City of Manassas Park, VA.</P> <P>(d) All of any municipality any part of which is within the limits of the combined areas defined in paragraphs (b) and (c) of this section, and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality of Washington, D.C., or by any other <PRTPAGE P="72"/>municipality included under the terms of paragraph (d) of this section.</P> <CITA>[41 FR 56654, Dec. 29, 1976, as amended at 46 FR 56424, Nov. 17, 1981; 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.221</SECTNO> <SUBJECT>Twin Cities.</SUBJECT> <P>For the purpose of determining commercial zones, utilizing the general population-mileage formula as set forth in § 372.241, each of the following combinations of cities shall be considered as a single municipality:</P> <P>(a) Having a population equal to the sum of their combined populations, and</P> <P>(b) Having boundaries comprised of their combined corporate limits, with the common portion thereof disregarded:</P> <P>(1) Bluefield, Va.-W. Va.</P> <P>(2) Bristol, Va.-Tenn.</P> <P>(3) Davenport, Iowa, and Rock Island and Moline, Ill.</P> <P>(4) Delmar, Del-Md.</P> <P>(5) Harrison, Ohio-West Harrison, Ind.</P> <P>(6) Junction City, Ark.-La.</P> <P>(7) Kansas City, Mo.-Kansas City, Kans.</P> <P>(8) Minneapolis-St. Paul, Minn.</P> <P>(9) St. Louis, Mo.-East St. Louis, Ill.</P> <P>(10) Texarkana, Ark.-Tex.</P> <P>(11) Texhoma, Tex.-Okla.</P> <P>(12) Union City, Ind.-Ohio.</P> <CITA>[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.223</SECTNO> <SUBJECT>Consolidated governments.</SUBJECT> <P>The zone adjacent to, and commercially a part of a consolidated government within which transportation by motor vehicle, in interstate or foreign commerce, not under common control, management, or arrangement for a continuous carriage or shipment to or from a point beyond the zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) All points within the boundaries of the consolidated government.</P> <P>(b) All points beyond the boundaries of the consolidated government which were at any time within the commercial zone of the formerly independent core municipality.</P> <P>(c) When the present population of the formerly independent core municipality is identifiable, all points beyond the boundaries of the consolidated government which are within the territory determined by the most recent population-mileage formula measured from the limits of the formerly independent core municipality.</P> <P>(d) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the consolidated government or by any other municipality included under the terms of paragraphs (a), (b), or (c) of this section.</P> <CITA>[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.225</SECTNO> <SUBJECT>Lexington-Fayette Urban County, KY.</SUBJECT> <P>The zone adjacent to and commercially a part of Lexington-Fayette Urban County, Ky., within which transportation by motor vehicle, in interstate or foreign commerce, not under a common control, management, or arrangement for a continuous carriage or shipment to or from a point beyond the zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) Lexington-Fayette Urban County, Ky., itself.</P> <P>(b) All other municipalities and unincorporated areas within 5 miles of the intersection of U.S. Highway 27 (Nicholasville Road) with the corporate boundary line between Jessamine County, Ky., and Lexington-Fayette Urban County, Ky.</P> <CITA>[39 FR 18769, May 30, 1974. Redesignated at 41 FR 56655, Dec. 29, 1976. Further redesignated at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.227</SECTNO> <SUBJECT>Syracuse, NY.</SUBJECT> <P>The zone adjacent to, and commercially a part of Syracuse, N.Y., within which transportation by motor vehicle, in interstate or foreign commerce, not under common control, management, or arrangement for shipment to or from points beyond such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) The municipality of Syracuse, N.Y., itself;<PRTPAGE P="73"/> </P> <P>(b) All points within a line drawn 10 miles beyond the municipal limits of Syracuse;</P> <P>(c) Those points in the towns of Van Buren and Lysander, Onondaga County, N.Y., which are not within the area described in paragraph (b) of this section, but which are within an area bounded by a line beginning at the intersection of new New York Highway 48 with the line described in (b) of this sectio, thence northwesterly along new New York Highway 48 to junction New York Highway 370, thence westerly along New York Highway 370 to junction Emerick Road, thence northerly along Emerick Road to junction Dunham Road, thence northerly along Dunham road to junction New York Highway 192, thence easterly along New York Highway 192 to junction new New York Highway 48, thence northerly along new New York Highway 48 to junction New York Highway 213, thence easterly along New York Highway 213 to junction New York Highway 213A, thence easterly along New York Highway 213A to junction New York Highway 37, thence southerly along New York Highway 37 to its intersection with the line in (b) above;</P> <P>(d) All of any municipality any part of which is within the limits of the combined area defined in (b) and (c) of this section, and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality of Syracuse or any other municipality included under the terms of (d) of this section.</P> <CITA>[42 FR 44816, Sept. 7, 1977. Redesignated at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.229</SECTNO> <SUBJECT>Spokane, WA.</SUBJECT> <P>The zone adjacent to, and commercially a part of Spokane, WA, within which transportation by motor vehicle, in interstate or foreign commerce, not under control, management, or arrangement for shipment to or from points beyond such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is comprised of all points as follows:</P> <P>(a) The municipality of Spokane, WA, itself,</P> <P>(b) All points within a line drawn 8 miles beyond the municipal limits of Spokane;</P> <P>(c) All points within that area more than 8 miles beyond the municipal limits of Spokane bounded by a line as follows: From the intersection of the line described in (b) of this section and U.S. Highway 2, thence westerly along U.S. Highway 2 to junction Brooks Road, thence southerly along Brooks Road to junction Hallett Road, thence easterly along Hallett Road to its intersection with the line described in (b) of this section;</P> <P>(d) All of any municipality any part of which is within the limits of the combined areas in (b) and (c) of this section; and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality of Spokane or any other municipality included under the terms of (d) of this section.</P> <CITA>[45 FR 62085, Sept. 18, 1980. Redesignated and amended at 55 FR 42198, Oct. 18, 1990; 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.231</SECTNO> <SUBJECT>Tacoma, WA.</SUBJECT> <P>The zone adjacent to, and commercially a part of Tacoma, WA, within which transportation by motor vehicle, in interstate or foreign commerce, not under common control, management, or arrangement for shipment to or from points beyond such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1), includes and is comprised of all points as follows:</P> <P>(a) The municipality of Tacoma, WA, itself;</P> <P>(b) All points within a line drawn 8 miles beyond the municipal limits of Tacoma;</P> <P>(c) Those points in Pierce County, WA, which are not within the area described in paragraph (b) of this section, but which are on Washington Highway 162 beginning at its intersection with the line described in paragraph (b) of this section, extending to and including Orting, WA, and all points within the Orting commercial zone.</P> <P>(d) All of any municipality any part of which is within the limits of the combined area defined in (b) and (c) of this section, and<PRTPAGE P="74"/> </P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality of Tacoma or any other municipality included under the terms of (d) of this section.</P> <CITA>[45 FR 66460, Oct. 7, 1980. Redesignated at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.233</SECTNO> <SUBJECT>Chicago, IL.</SUBJECT> <P>The zone adjacent to, and commercially a part of Chicago, IL, within which transportation by motor vehicle, in interstate or foreign commerce, not under common control, management, or arrangement for a shipment to or from such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1), includes and is comprised of all points as follows:</P> <P>(a) The municipality of Chicago, IL, itself;</P> <P>(b) All points within a line drawn 20 miles beyond the municipal limits of Chicago;</P> <P>(c) All points in Lake County, IL.</P> <P>(d) All of any municipality any part of which is within the limits of the combined area defined in paragraphs (b) and (c) of this section, and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except for a water boundary, by the municipality included under the terms of paragraph (d) of this section.</P> <CITA>[46 FR 11286, Feb. 6, 1981. Redesignated at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.235</SECTNO> <SUBJECT>New York, NY.</SUBJECT> <P>The zone adjacent to, and commercially a part of, New York, NY, within which transportation by motor vehicle, in interstate or foreign commerce, not under common control, management, or arrangement for shipment to or from points beyond such zone is partially exempt from regulation under 49 U.S.C. 13506(b)(1), includes and is comprised of all points as follows:</P> <P>(a) The municipality of New York, NY, itself;</P> <P>(b) All points within a line drawn 20 miles beyond the municipal limits of New York, NY;</P> <P>(c) All points in Morris County, NJ;</P> <P>(d) All of any municipality any part of which is within the limits of the combined areas defined in paragraphs (b) and (c); and</P> <P>(e) All of any municipality wholly surrounded, or so surrounded except by a water boundary, by the municipality of New York or by any other municipality included under the terms of paragraph (d) of this section.</P> <CITA>[50 FR 34478, Aug. 26, 1985. Redesignated at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.237</SECTNO> <SUBJECT>Cameron, Hidalgo, Starr, and Willacy Counties, TX.</SUBJECT> <P>(a) Transportation within a zone comprised of Cameron, Hidalgo, Starr, and Willacy Counties, TX, by motor carriers of property, in interstate or foreign commerce, not under common control, management, or arrangement for shipment to or from points beyond such zone, is partially exempt from regulation under 49 U.S.C. 13506(b)(1).</P> <P>(b) To the extent that commercial zones of municipalities within the four counties (as determined under § 372.241) extend beyond the boundaries of this four-county zone, the areas of such commercial zones shall be considered to be part of the zone and partially exempt from regulation under 49 U.S.C. 13506(b)(1).</P> <CITA>[51 FR 1815, Jan. 15, 1986. Redesignated at 55 FR 42198, Oct. 18, 1990, as amended at 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.239</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>For the purposes of this part, the following terms are defined:</P> <P>(a) <E T="03">Municipality</E> means any city, town, village, or borough which has been created by special legislative act or which has been, otherwise, individually incorporated or chartered pursuant to general State laws, or which is recognized as such, under the Constitution or by the laws of the State in which located, and which has a local government. It does not include a town of the township or New England type.</P> <P>(b) <E T="03">Contiguous municipalities</E> means municipalities, as defined in paragraph (a) of this section, which have at some point a common municipal or corporate boundary.</P> <P>(c) <E T="03">Unincorporated area</E> means any area not within the corporate or municipal boundaries of any municipality <PRTPAGE P="75"/>as defined in paragraph (a) of this section.</P> <CITA>[32 FR 20048, Dec. 20, 1967]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.241</SECTNO> <SUBJECT>Commercial zones determined generally, with exceptions.</SUBJECT> <P>The commercial zone of each municipality in the United States, with the exceptions indicated in the note at the end of this section, within which the transportation of passengers or property, in interstate or foreign commerce, when not under a common control, management, or arrangement for a continuous carriage or shipment to or from a point without such zone, is exempt from all provisions of 49 U.S.C. subtitle IV, part B shall be deemed to consist of:</P> <P>(a) The municipality itself, hereinafter called the base municipality;</P> <P>(b) All municipalities which are contiguous to the base municipality;</P> <P>(c) All other municipalities and all unincorporated areas within the United States which are adjacent to the base municipality as follows:</P> <P>(1) When the base municipality has a population less than 2,500 all unincorporated areas within 3 miles of its corporate limits and all of any other municipality any part of which is within 3 miles of the corporate limits of the base municipality,</P> <P>(2) When the base municipality has a population of 2,500 but less than 25,000 all unincorporated areas within 4 miles of its corporate limits and all of any other municipality any part of which is within 4 miles of the corporate limits of the base municipality.</P> <P>(3) When the base municipality has a population of 25,000 but less than 100,000 all unincorporated areas within 6 miles of its corporate limits and all of any other municipality any part of which is within 6 miles of the corporate limits of the base municipality, and</P> <P>(4) When the base municipality has a population of 100,000 but less than 200,000 all unincorporated areas within 8 miles of its corporate limits and all of any other municipality any part of which is within 8 miles of the corporate limits of the base municipality.</P> <P>(5) When the base municipality has a population of 200,000 but less than 500,000 all unincorporated areas within 10 miles of its corporate limits and all of any other municipality any part of which is within 10 miles of the corporate limits of the base municipality.</P> <P>(6) When the base municipality has a population of 500,000 but less than 1 million, all unincorporated areas within 15 miles of its corporate limits and all of any other municipality any part of which is within 15 miles of the corporate limits of the base municipality.</P> <P>(7) When the base municipality has a population of 1 million or more, all unincorporated areas within 20 miles of its corporate limits and all of any other municipality any part of which is within 20 miles of the corporate limits of the base municipality, and</P> <P>(d) All municipalities wholly surrounded, or so surrounded except for a water boundary, by the base municipality, by any municipality contiguous thereto, or by any municipality adjacent thereto which is included in the commercial zone of such base municipality under the provisions of paragraph (c) of this section. </P> <NOTE> <HD SOURCE="HED">Note:</HD> <P>Except: Municipalities the commercial zones of which have been or are hereafter individually or specially determined.</P> </NOTE> <CITA>[32 FR 20048, Dec. 20, 1967, as amended at 34 FR 9870, June 26, 1969; 34 FR 15482, Oct. 4, 1969; 41 FR 56655, Dec. 29, 1976; 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.243</SECTNO> <SUBJECT>Controlling distances and population data.</SUBJECT> <P>In the application of § 372.241:</P> <P>(a) Air-line distances or mileages about corporate limits of municipalities shall be used.</P> <P>(b) The population of any municipality shall be deemed to be the highest figure shown for that municipality in any decennial census since (and including) the 1940 decennial census.</P> <P>(c) Contraction of municipal boundaries will not alter the size of commercial zones.</P> <CITA>[32 FR 20040, Dec. 20, 1967, as amended at 37 FR 15701, Aug. 4, 1972; 50 FR 10233, Mar. 14, 1985; 62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Terminal Areas</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>32 FR 20049, Dec. 20, 1967, unless otherwise noted. Redesignated at 61 FR 54708, Oct. 21, 1996.</P> </SOURCE> <SECTION> <PRTPAGE P="76"/> <SECTNO>§ 372.300</SECTNO> <SUBJECT>Distances and population data.</SUBJECT> <P>In the application of this subpart, distances and population data shall be determined in the same manner as provided in 49 CFR 372.243. See also definitions in 49 CFR 372.239.</P> <CITA>[62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.301</SECTNO> <SUBJECT>Terminal areas of motor carriers and freight forwarders at municipalities served.</SUBJECT> <P>The terminal area within the meaning of 49 U.S.C. 13503 of any motor carrier of property or freight forwarder subject to 49 U.S.C. subtitle IV, part B at any municipality authorized to be served by such motor carrier of property or motor carrier of passengers in the transportation of express or freight forwarder, within which transportation by motor carrier in the performance of transfer, collection, or delivery services may be performed by, or for, such motor carrier of property or freight forwarder without compliance with the provisions of 49 U.S.C. subtitle IV, part B consists of and includes all points or places which are:</P> <P>(a) Within the commercial zone, as defined by the Secretary, of that municipality, and</P> <P>(b) Not beyond the limits of the operating authority of such motor carrier of property or freight forwarder.</P> <CITA>[62 FR 15422, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 372.303</SECTNO> <SUBJECT>Terminal areas of motor carriers and freight forwarders at unincorporated communities served.</SUBJECT> <P>The terminal areas within the meaning of 49 U.S.C. 13503 of any motor carrier of property or freight forwarder subject to 49 U.S.C. subtitle IV, part B, at any unincorporated community having a post office of the same name which is authorized to be served by such motor carrier of property or motor carrier of passengers in the transportation of express or freight forwarder, within which transportation by motor vehicle in the performance of transfer, collection, or delivery services may be performed by, or for, such motor carrier of property or freight forwarder without compliance with the provisions of 49 U.S.C. subtitle IV, part B, consists of:</P> <P>(a) All points in the United States which are located within the limits of the operating authority of the motor carrier of property or freight forwarder involved, and within 3 miles of the post office at such authorized unincorporated point if it has a population less than 2,500, within 4 miles if it has a population of 2,500 but less than 25,000, or within 6 miles if it has a population of 25,000 or more;</P> <P>(b) All of any municipality any part of which is included under paragraph (a) of this section; and</P> <P>(c) Any municipality wholly surrounded by any municipality included under paragaph (b) of this section, or so wholly surrounded except for a water boundary.</P> <CITA>[32 FR 20049, Dec. 20, 1967, as amended at 41 FR 56655, Dec. 29, 1976; 51 FR 44297, Dec. 9, 1986; 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 373</EAR> <HD SOURCE="HED">PART 373—RECEIPTS AND BILLS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Motor Carrier Receipts and Bills</HD> <SECHD>Sec.</SECHD> <SECTNO>373.101</SECTNO> <SUBJECT>Motor Carrier bills of lading.</SUBJECT> <SECTNO>373.103</SECTNO> <SUBJECT>Expense bills.</SUBJECT> <SECTNO>373.105</SECTNO> <SUBJECT>Low value packages.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Freight Forwarders; Bills of Lading</HD> <SECTNO>373.201</SECTNO> <SUBJECT>Bills of lading for freight forwarders.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13301 and 14706; and 49 CFR 1.73.</P> </AUTH> <SUBPART> <HD SOURCE="HED">Subpart A—Motor Carrier Receipts and Bills</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>55 FR 11198, Mar. 27, 1990, unless otherwise noted. Redesignated at 61 FR 54708, Oct. 21, 1996.</P> </SOURCE> <SECTION> <SECTNO>§ 373.101</SECTNO> <SUBJECT>Motor Carrier bills of lading.</SUBJECT> <P>Every motor common carrier shall issue a receipt or bill of lading for property tendered for transportation in interstate or foreign commerce containing the following information:</P> <P>(a) Names of consignor and consignee.</P> <P>(b) Origin and destination points.</P> <P>(c) Number of packages.</P> <P>(d) Description of freight.</P> <P>(e) Weight, volume, or measurement of freight (if applicable to the rating of the freight).<PRTPAGE P="77"/> </P> <FP>The carrier shall keep a record of this information as prescribed in 49 CFR part 379.</FP> <CITA>[55 FR 11198, Mar. 27, 1990, as amended at 56 FR 30874, July 8, 1991; 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 373.103</SECTNO> <SUBJECT>Expense bills.</SUBJECT> <P>(a) <E T="03">Property.</E> Every motor common carrier shall issue a freight or expense bill for each shipment transported containing the following information:</P> <P>(1) Names of consignor and consignee (except on a reconsigned shipment, not the name of the original consignor).</P> <P>(2) Date of shipment.</P> <P>(3) Origin and destination points (except on a reconsigned shipment, not the original shipping point unless the final consignee pays the charges from that point).</P> <P>(4) Number of packages.</P> <P>(5) Description of freight.</P> <P>(6) Weight, volume, or measurement of freight (if applicable to the rating of the freight).</P> <P>(7) Exact rate(s) assessed.</P> <P>(8) Total charges due, including the nature and amount of any charges for special service and the points at which such service was rendered.</P> <P>(9) Route of movement and name of each carrier participating in the transportation.</P> <P>(10) Transfer point(s) through which shipment moved.</P> <P>(11) Address where remittance must be made or address of bill issuer's principal place of business.</P> <FP>The shipper or receiver owing the charges shall be given the original freight or expense bill and the carrier shall keep a copy as prescribed at 49 CFR part 379. If the bill is electronically transmitted (when agreed to by the carrier and payor), a receipted copy shall be given to the payor upon payment.</FP> <P>(b) <E T="03">Charter service.</E> Every motor passenger common carrier providing charter service shall issue an expense bill containing the following information:</P> <P>(1) Serial number, consisting of one of a series of consecutive numbers assigned in advance and imprinted on the bill.</P> <P>(2) Name of carrier.</P> <P>(3) Names of payor and organization, if any, for which transportation is performed.</P> <P>(4) Date(s) transportation was performed.</P> <P>(5) Origin, destination, and general routing of trip.</P> <P>(6) Identification and seating capacity of each vehicle used.</P> <P>(7) Number of persons transported.</P> <P>(8) Mileage upon which charges are based, including any deadhead mileage, separately noted.</P> <P>(9) Applicable rates per mile, hour, day, or other unit.</P> <P>(10) Itemized charges for transportation, including special services and fees.</P> <P>(11) Total charges assessed and collected.</P> <FP>The carrier shall keep a copy of all expense bills issued for the period prescribed at 49 CFR part 379. If any expense bill is spoiled, voided, or unused for any reason, a copy or written record of its disposition shall be retained for a like period.</FP> <CITA>[55 FR 11198, Mar. 27, 1990, as amended at 59 FR 2303, Jan. 14, 1994; 61 FR 19860, May 3, 1996; 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 373.105</SECTNO> <SUBJECT>Low value packages.</SUBJECT> <P>The carrier and shipper may elect to waive the above provisions and use a more streamlined recordkeeping or documentation system for distribution of “low value” packages. This includes the option of shipping such packages under the provisions of 49 U.S.C. 14706(c). The shipper is responsible ultimately for determining which packages should be designated as low value. A useful guideline for this determination is an invoice value less than or equal to the costs of preparing a loss or damage claim.</P> <CITA>[55 FR 11198, Mar. 27, 1990. Redesignated at 61 FR 54708, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Freight Forwarders; Bills of Lading</HD> <SECTION> <SECTNO>§ 373.201</SECTNO> <SUBJECT>Bills of lading for freight forwarders.</SUBJECT> <P>Every household goods freight forwarder (HHGFF) shall issue the shipper <PRTPAGE P="78"/>through bills of lading, covering transportation from origin to ultimate destination, on each shipment for which it arranges transportation in interstate commerce. Where a motor common carrier receives freight at the origin and issues a receipt therefor on its form with a notation showing the HHGFF's name, the HHGFF, upon receiving the shipment at the “on line” or consolidating station, shall issue a through bill of lading on its form as of the date the carrier receives the shipment.</P> <CITA>[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54708, Oct. 21, 1996.]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 374</EAR> <HD SOURCE="HED">PART 374—PASSENGER CARRIER REGULATIONS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Discrimination in Operations of Interstate Motor Common Carriers of Passengers</HD> <SECHD>Sec.</SECHD> <SECTNO>374.101</SECTNO> <SUBJECT>Discrimination prohibited.</SUBJECT> <SECTNO>374.103</SECTNO> <SUBJECT>Notice to be printed on tickets.</SUBJECT> <SECTNO>374.105</SECTNO> <SUBJECT>Discrimination in terminal facilities.</SUBJECT> <SECTNO>374.107</SECTNO> <SUBJECT>Notice to be posted at terminal facilities.</SUBJECT> <SECTNO>374.109</SECTNO> <SUBJECT>Carriers not relieved of existing obligations.</SUBJECT> <SECTNO>374.111</SECTNO> <SUBJECT>Reports of interference with regulations.</SUBJECT> <SECTNO>374.113</SECTNO> <SUBJECT>Definitions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Limitation of Smoking on Interstate Passenger Carrier Vehicles</HD> <SECTNO>374.201</SECTNO> <SUBJECT>Prohibition against smoking on interstate passenger-carrying motor vehicles.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Adequacy of Intercity Motor Common Carrier Passenger Service</HD> <SECTNO>374.301</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>374.303</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>374.305</SECTNO> <SUBJECT>Ticketing and information.</SUBJECT> <SECTNO>374.307</SECTNO> <SUBJECT>Baggage service.</SUBJECT> <SECTNO>374.309</SECTNO> <SUBJECT>Terminal facilities.</SUBJECT> <SECTNO>374.311</SECTNO> <SUBJECT>Service responsibility.</SUBJECT> <SECTNO>374.313</SECTNO> <SUBJECT>Equipment.</SUBJECT> <SECTNO>374.315</SECTNO> <SUBJECT>Transportation of passengers with disabilities.</SUBJECT> <SECTNO>374.317</SECTNO> <SUBJECT>Identification—bus and driver.</SUBJECT> <SECTNO>374.319</SECTNO> <SUBJECT>Relief from provisions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Notice of and Procedures for Baggage Excess Value Declaration</HD> <SECTNO>374.401</SECTNO> <SUBJECT>Minimum permissible limitations for baggage liability.</SUBJECT> <SECTNO>374.403</SECTNO> <SUBJECT>Notice of passenger's ability to declare excess value on baggage.</SUBJECT> <SECTNO>374.405</SECTNO> <SUBJECT>Baggage excess value declaration procedures.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Incidental Charter Rights</HD> <SECTNO>374.501</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>374.503</SECTNO> <SUBJECT>Authority.</SUBJECT> <SECTNO>374.505</SECTNO> <SUBJECT>Exceptions.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13301 and 14101; and 49 CFR 1.73.</P> </AUTH> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 374 appear at 66 FR 49871, Oct. 1, 2001.</P> </EDNOTE> <SUBPART> <HD SOURCE="HED">Subpart A—Discrimination in Operations of Interstate Motor Common Carriers of Passengers</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>36 FR 1338, Jan. 28, 1971, unless otherwise noted. Redesignated at 61 FR 54709, Oct. 21, 1996.</P> </SOURCE> <SECTION> <SECTNO>§ 374.101</SECTNO> <SUBJECT>Discrimination prohibited.</SUBJECT> <P>No motor common carrier of passengers subject to 49 U.S.C. subtitle IV, part B shall operate a motor vehicle in interstate or foreign commerce on which the seating of passengers is based upon race, color, creed, or national origin.</P> <CITA>[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 374.103</SECTNO> <SUBJECT>Notice to be printed on tickets.</SUBJECT> <P>Every motor common carrier of passengers subject to 49 U.S.C. subtitle IV, part B shall cause to be printed on every ticket sold by it for transportation on any vehicle operated in interstate or foreign commerce a plainly legible notice as follows: “Seating aboard vehicles operated in interstate or foreign commerce is without regard to race, color, creed, or national origin.” </P> <NOTE> <HD SOURCE="HED">Note:</HD> <P>The following interpretation of the provisions of § 374.103 (formerly § 1055.2) appears at 27 FR 230, Jan. 9, 1962:</P> <P>The words, “Seating aboard vehicles operated in interstate or foreign commerce is without regard to race, color, creed, or national origin”, should appear on the face of every ticket coming within the purview of the section. If the ticket is in parts or consists of additional elements, such as coupons, identification stubs, or checks, it shall be <PRTPAGE P="79"/>sufficient for the purposes of § 374.103 that the notice appear only once on the ticket and be placed on the face of that portion of the ticket which is held by the passenger.</P> </NOTE> <CITA>[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 374.105</SECTNO> <SUBJECT>Discrimination in terminal facilities.</SUBJECT> <P>No motor common carrier of passengers subject to 49 U.S.C. subtitle IV, part B shall in the operation of vehicles in interstate or foreign commerce provide, maintain arrangements for, utilize, make available, adhere to any understanding for the availability of, or follow any practice which includes the availability of, any terminal facilities which are so operated, arranged, or maintained as to involve any separation of any portion thereof, or in the use thereof on the basis of race, color, creed, or national origin.</P> <CITA>[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 374.107</SECTNO> <SUBJECT>Notice to be posted at terminal facilities.</SUBJECT> <P>No motor common carrier of passengers subject to 49 U.S.C. subtitle IV, part B shall in the operation of vehicles in interstate or foreign commerce utilize any terminal facility in which there is not conspicuously displayed and maintained so as to be readily visible to the public a plainly legible sign or placard containing the full text of these regulations. Such sign or placard shall be captioned: “Public Notice: Regulations Applicable to Vehicles and Terminal Facilities of Interstate Motor Common Carriers of Passengers, by order of the Secretary, U.S. Department of Transportation.”</P> <CITA>[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 374.109</SECTNO> <SUBJECT>Carriers not relieved of existing obligations.</SUBJECT> <P>Nothing in this regulation shall be construed to relieve any interstate motor common carrier of passengers subject to 49 U.S.C. subtitle IV, part B of any of its obligations under 49 U.S.C. subtitle IV, part B or its certificate(s) of public convenience and necessity.</P> <CITA>[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 374.111</SECTNO> <SUBJECT>Reports of interference with regulations.</SUBJECT> <P>Every motor common carrier of passengers subject to 49 U.S.C. subtitle IV, part B operating vehicles in interstate or foreign commerce shall report to the Secretary, within fifteen (15) days of its occurrence, any interference by any person, municipality, county, parish, State, or body politic with its observance of the requirements of these regulations in this part. Such report shall include a statement of the action that such carrier may have taken to eliminate any such interference.</P> <CITA>[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 374.113</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>For the purpose of these regulations the following terms and phrases are defined:</P> <P>(a) <E T="03">Terminal facilities.</E> As used in these regulations the term “terminal facilities” means all facilities, including waiting room, rest room, eating, drinking, and ticket sales facilities which a motor common carrier makes available to passengers of a motor vehicle operated in interstate or foreign commerce as a regular part of their transportation.</P> <P>(b) <E T="03">Separation.</E> As used in § 374.105, the term “separation” includes, among other things, the display of any sign indicating that any portion of the terminal facilities are separated, allocated, restricted, provided, available, used, or otherwise distinguished on the basis of race, color, creed, or national origin.</P> <CITA>[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="80"/> <HD SOURCE="HED">Subpart B—Limitation of Smoking on Interstate Passenger Carrier Vehicles</HD> <SECTION> <SECTNO>§ 374.201</SECTNO> <SUBJECT>Prohibition against smoking on interstate passenger-carrying motor vehicles.</SUBJECT> <P>(a) All motor common carriers of passengers subject to 49 U.S.C. subtitle IV, part B, shall prohibit smoking (including the carrying of lit cigars, cigarettes, and pipes) on vehicles transporting passengers in scheduled or special service in interstate commerce.</P> <P>(b) Each carrier shall take such action as is necessary to ensure that smoking by passengers, drivers, and other employees is not permitted in violation of this section. This shall include making appropriate announcements to passengers, the posting of the international no-smoking symbol, and the posting of signs in all vehicles transporting passengers in letters in sharp color contrast to the background, and of such size, shape, and color as to be readily legible. Such signs and symbols shall be kept and maintained in such a manner as to remain legible and shall indicate that smoking is prohibited by Federal regulation.</P> <P>(c) The provisions of paragraph (a) of this section shall not apply to charter operations as defined in § 374.503 of this part.</P> <CITA>[56 FR 1745, Jan. 17, 1991. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Adequacy of Intercity Motor Common Carrier Passenger Service</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>55 FR 11199, Mar. 27, 1990, unless otherwise noted. Redesignated at 61 FR 54709, Oct. 21, 1996.</P> </SOURCE> <SECTION> <SECTNO>§ 374.301</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>These rules govern only motor passenger common carriers conducting regular-route operations.</P> </SECTION> <SECTION> <SECTNO>§ 374.303</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Carrier</E> means a motor passenger common carrier.</P> <P>(b) <E T="03">Bus</E> means a passenger-carrying vehicle, regardless of design or seating capacity, used in a carrier's authorized operations.</P> <P>(c) <E T="03">Facility</E> means any structure provided by or for a carrier at or near which buses pick up or discharge passengers.</P> <P>(d) <E T="03">Terminal</E> means a facility operated or used by a carrier chiefly to furnish passengers transportation services and accommodations.</P> <P>(e) <E T="03">Station</E> means a facility, other than a terminal, operated by or for a carrier to accommodate passengers.</P> <P>(f) <E T="03">Service</E> means passenger transportation by bus between authorized points or over authorized routes.</P> <P>(g) <E T="03">Commuter service,</E> means passenger transportation wholly between points not more than 100 airline miles apart and not involving through-bus, connecting, or interline services to or from points beyond 100 airline miles. The usual characteristics of commuter service include reduced fare, multiple-ride, and commutation tickets, and peak morning and evening operations.</P> <P>(h) <E T="03">Baggage</E> means property a passenger takes with him for his personal use or convenience.</P> <P>(i) <E T="03">Restroom</E> means a room in a bus or terminal equipped with a toilet, washbowl, soap or a reasonable alternative, mirror, wastebasket, and toilet paper.</P> <CITA>[55 FR 11199, Mar. 27, 1990, as amended at 68 FR 56198, Sept. 30, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 374.305</SECTNO> <SUBJECT>Ticketing and information.</SUBJECT> <P>(a) <E T="03">Information service.</E> (1) During business hours at each terminal or station, information shall be provided as to schedules, tickets, fares, baggage, and other carrier services.</P> <P>(2) Carrier agents and personnel who sell or offer to sell tickets, or who provide information concerning tickets and carrier services, shall be competent and adequately informed.</P> <P>(b) <E T="03">Telephone information service.</E> Every facility where tickets are sold shall provide telephonic information to the traveling public, including current bus schedules and fare information, when open for ticket sales.</P> <P>(c) <E T="03">Schedules.</E> Printed, regular-route schedules shall be provided to the traveling public at all facilities where tickets for such services are sold. Each schedule shall show the points along the carrier's route(s) where facilities <PRTPAGE P="81"/>are located or where the bus trips originate or terminate, and each schedule shall indicate the arrival or departure time for each such point.</P> <P>(d) <E T="03">Ticket refunds.</E> Each carrier shall refund unused tickets upon request, consistent with its governing tariff, at each place where tickets are sold, within 30 days after the request.</P> <P>(e) <E T="03">Announcements.</E> No scheduled bus (except in commuter service) shall depart from a terminal or station until a public announcement of the departure and boarding point has been given. The announcement shall be given at least 5 minutes before the initial departure and before departures from points where the bus is scheduled to stop for more than 5 minutes.</P> </SECTION> <SECTION> <SECTNO>§ 374.307</SECTNO> <SUBJECT>Baggage service.</SUBJECT> <P>(a) <E T="03">Checking procedures.</E> (1) Carriers shall issue receipts, which may be in the form of preprinted tickets, for all checked services baggage.</P> <P>(2)(i) If baggage checking service is not provided at the side of the bus, all baggage checked at a baggage checking counter at least 30 minutes but not more than 1 hour before departure shall be transported on the same schedule as the ticketed passenger.</P> <P>(ii) If baggage checking service is provided at the side of the bus, passengers checking baggage at the baggage checking counter less than 30 minutes before the scheduled departure shall be notified that their baggage may not travel on the same schedule. Such baggage must then be placed on the next available bus to its destination. All baggage checked at the side of the bus during boarding, or at alternative locations provided for such purpose, shall be transported on the same schedule as the ticketed passenger.</P> <P>(b) <E T="03">Baggage security.</E> All checked baggage shall be placed in a secure or attended area prohibited to the public. Baggage being readied for loading shall not be left unattended.</P> <P>(c) <E T="03">Baggage liability.</E> (1) No carrier may totally exempt its liability for articles offered as checked baggage, unless those articles have been exempted by the Secretary. (Other liability is subject to subpart D of this part). A notice listing exempted articles shall be prominently posted at every location where baggage is accepted for checking.</P> <P>(2) Carriers may refuse to accept as checked baggage and, if unknowingly accepted, may disclaim liability for loss or damage to the following articles:</P> <P>(i) Articles whose transportation as checked baggage is prohibited by law or regulation;</P> <P>(ii) Fragile or perishable articles, articles whose dimensions exceed the size limitations in the carrier's tariff, receptacles with articles attached or protruding, guns, and materials that have a disagreeable odor;</P> <P>(iii) Money; and</P> <P>(iv) Those other articles that the Secretary exempts upon petition by the carrier.</P> <P>(3) Carriers need not offer excess value coverage on articles of extraordinary value (including, but not limited to, negotiable instruments, papers, manuscripts, irreplaceable publications, documents, jewelry, and watches).</P> <P>(d) <E T="03">Express shipments.</E> Passengers and their baggage always take precedence over express shipments.</P> <P>(e) <E T="03">Baggage at destination.</E> All checked baggage shall be made available to the passenger within a reasonable time, not to exceed 30 minutes, after arrival at the passenger's destination. If not, the carrier shall deliver the baggage to the passenger's local address at the carrier's expense.</P> <P>(f) <E T="03">Lost or delayed baggage.</E> (1) Checked baggage that cannot be located within 1 hour after the arrival of the bus upon which it was supposed to be transported shall be designated as lost. The carrier shall notify the passenger at that time and furnish him with an appropriate tracing form.</P> <P>(2) Every carrier shall make available at each ticket window and baggage counter a single form suitable both for tracing and for filing claims for lost or misplaced baggage. The form shall be prepared in duplicate and signed by the passenger and carrier representative. The carrier or its agent shall receive the signed original, with any necessary documentation and additional information, and the claim check, for which a receipt shall be <PRTPAGE P="82"/>given. The passenger shall retain the duplicate copy.</P> <P>(3) The carrier shall make immediate and diligent efforts to recover lost baggage.</P> <P>(4) A passenger may fill out a tracing form for lost unchecked baggage. The carrier shall forward recovered unchecked baggage to the terminal or station nearest the address shown on the tracing form and shall notify the passenger that the baggage will be held on a will-call basis.</P> <P>(g) <E T="03">Settlement of claims.</E> Notwithstanding 49 CFR 370.9, if lost checked baggage cannot be located within 15 days, the carrier shall immediately process the matter as a claim. The date on which the carrier or its agent received the tracing form shall be considered the first day of a 60-day period in which a claim must be resolved by a firm offer of settlement or by a written explanation of denial of the claim.</P> <CITA>[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 374.309</SECTNO> <SUBJECT>Terminal facilities.</SUBJECT> <P>(a) <E T="03">Passenger security.</E> All terminals and stations must provide adequate security for passengers and their attendants and be regularly patrolled.</P> <P>(b) <E T="03">Outside facilities.</E> At terminals and stations that are closed when buses are scheduled to arrive or depart, there shall be available, to the extent possible, a public telephone, outside lighting, posted schedule information, overhead shelter, information on local accommodations, and telephone numbers for local taxi service and police.</P> <P>(c) <E T="03">Maintenance.</E> Terminals shall be clean.</P> </SECTION> <SECTION> <SECTNO>§ 374.311</SECTNO> <SUBJECT>Service responsibility.</SUBJECT> <P>(a) <E T="03">Schedules.</E> Carriers shall establish schedules that can be reasonably met, including connections at junction points, to serve adequately all authorized points.</P> <P>(b) <E T="03">Continuity of service.</E> No carrier shall change an existing regular-route schedule without first filing a written notice with the FMCSA's Division Office(s). The carrier shall display conspicuously a copy of such notice in each facility and on each bus affected. Such notice shall be displayed for a reasonable time before it becomes effective and shall contain the carrier's name, a description of the proposed schedule change, the effective date thereof, the reasons for the change, the availability of alternate service, and the name and address of the carrier representative passengers may contact.</P> <P>(c) <E T="03">Trip interruptions.</E> A carrier shall mitigate, to the extent possible, any passenger inconvenience it causes by disrupting travel plans.</P> <P>(d) <E T="03">Seating and reservations.</E> A carrier shall provide sufficient buses to meet passengers' normal travel demands, including ordinary weekend and usual seasonal or holiday demand. Passengers (except commuters) shall be guaranteed, to the extent possible, passage and seating.</P> <P>(e) <E T="03">Inspection of rest stops.</E> Each carrier shall inspect periodically all rest stops it uses to ensure that they are clean.</P> <CITA>[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 374.313</SECTNO> <SUBJECT>Equipment.</SUBJECT> <P>(a) <E T="03">Temperature control.</E> A carrier shall maintain a reasonable temperature on each bus (except in commuter service).</P> <P>(b) <E T="03">Restrooms.</E> Each bus (except in commuter service) seating more than 14 passengers (not including the driver) shall have a clean, regularly maintained restroom, free of offensive odor. A bus may be operated without a restroom if it makes reasonable rest stops.</P> <P>(c) <E T="03">Bus servicing.</E> Each bus shall be kept clean, with all required items in good working order.</P> </SECTION> <SECTION> <SECTNO>§ 374.315</SECTNO> <SUBJECT>Transportation of passengers with disabilities.</SUBJECT> <P>Service provided by a carrier to passengers with disabilities is governed by the provisions of 42 U.S.C. 12101 <E T="03">et seq.,</E> and regulations promulgated thereunder by the Secretary of Transportation (49 CFR parts 27, 37, and 38) and the Attorney General (28 CFR part 36), incorporating the guidelines established by the Architectural and Transportation Barriers Compliance Board (36 CFR part 1191).</P> <CITA>[57 FR 35764, Aug. 11, 1992]</CITA> </SECTION> <SECTION> <PRTPAGE P="83"/> <SECTNO>§ 374.317</SECTNO> <SUBJECT>Identification—bus and driver.</SUBJECT> <P>Each bus and driver providing service shall be identified in a manner visible to passengers. The driver may be identified by name or company number.</P> </SECTION> <SECTION> <SECTNO>§ 374.319</SECTNO> <SUBJECT>Relief from provisions.</SUBJECT> <P>(a) <E T="03">Petitions.</E> Where compliance with any rule would impose an undue burden on a carrier, it may petition the Federal Motor Carrier Safety Administration either to treat it as though it were conducting a commuter service or to waive the rule. The request for relief must be justified by appropriate verified statements.</P> <P>(b) <E T="03">Notice to the public.</E> The carrier shall display conspicuously, for at least 30 days, in each facility and on each bus affected, a notice of the filing of any petition. The notice shall contain the carrier's name and address, a concise description of and reasons for the relief sought, and a statement that any interested person may file written comments with the Federal Motor Carrier Safety Administration (with one copy mailed to the carrier) on or before a specific date that is at least 30 days later than the date the notice is posted.</P> <CITA>[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Notice of and Procedures for Baggage Excess Value Declaration</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>40 FR 1249, Jan. 7, 1975, unless otherwise noted. Redesignated at 61 FR 54709, Oct. 21, 1996.</P> </SOURCE> <SECTION> <SECTNO>§ 374.401</SECTNO> <SUBJECT>Minimum permissible limitations for baggage liability.</SUBJECT> <P>(a) Motor common carriers of passengers and baggage subject to 49 U.S.C. 13501 may not publish tariff provisions limiting their liability for loss or damage to baggage checked by a passenger transported in regular route or special operations unless:</P> <P>(1) The amount for which liability is limited is $250 or greater per adult fare, and</P> <P>(2) The provisions permit the passenger, for an additional charge, to declare a value in excess of the limited amount, and allow the passenger to recover the increased amount (but not higher than the actual value) in event of loss or damage. The carriers may publish a maximum value for which they will be liable, but that maximum value may not be less than $1,000. Appropriate identification must be attached securely by the passenger to each item of baggage checked, indicating in a clear and legible manner the name and address to which the baggage should be forwarded if lost and subsequently recovered. Identification tags shall be made immediately available by the carriers to passengers upon request.</P> <P>(3) Carriers need not offer excess value coverage on articles listed in § 374.307(c)(3).</P> <SECAUTH>(49 U.S.C. 10321, 5 U.S.C. 553)</SECAUTH> <CITA>[46 FR 22899, Apr. 22, 1981, as amended at 47 FR 21840, May 20, 1982; 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 374.403</SECTNO> <SUBJECT>Notice of passenger's ability to declare excess value on baggage.</SUBJECT> <P>(a) All motor common carriers of passengers and baggage subject to 49 U.S.C. subtitle IV, part B, which provide in their tariffs for the declaration of baggage in excess of a free baggage allowance limitation, shall provide clear and adequate notice to the public of the opportunity to declare such excess value on baggage.</P> <P>(b) The notice referred to in paragraph (a) of this section shall be in large and clear print, and shall state as follows:</P> <EXTRACT> <HD SOURCE="HD1">Notice—Baggage Liability</HD> <P>This motor carrier is not liable for loss or damage to properly identified baggage in an amount exceeding $__. If a passenger desires additional coverage for the value of his baggage he may, upon checking his baggage, declare that his baggage has a value in excess of the above limitation and pay a charge as follows:</P> <HD SOURCE="HD1">Identify Your Baggage</HD> <P>Under FMCSA regulations, all baggage must be properly identified. Luggage tags should indicate clearly the name and address to which lost baggage should be forwarded. Free luggage tags are available at all ticket windows and baggage counters.</P> </EXTRACT> <PRTPAGE P="84"/> <FP>The statement of charges for excess value declaration shall be clear, and any other pertinent provisions may be added at the bottom in clear and -readable print.</FP> <P>(c) The notice referred to in paragraphs (a) and (b) of this section shall be (1) placed in a position near the ticket seller, sufficiently conspicuous to apprise the public of its provisions, (2) placed on a form to be attached to each ticket issued (and the ticket seller shall, where possible, provide oral notice to each ticket purchaser to read the form attached to the ticket), (3) placed in a position at or near any location where baggage may be checked, sufficiently conspicuous to apprise each passenger checking baggage of its provisions, and (4) placed in a position at each boarding point or waiting area used by the carrier at facilities maintained by the carrier or its agents, sufficiently conspicuous to apprise each boarding passenger of the provisions of the said notice.</P> <CITA>[40 FR 1249, Jan. 7, 1975, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 374.405</SECTNO> <SUBJECT>Baggage excess value declaration procedures.</SUBJECT> <P>All motor common carriers of passengers and baggage subject to 49 U.S.C. subtitle IV, part B, which provide in their tariffs for the declaration of baggage value in excess of a free baggage allowance limitation, shall provide for the declaration of excess value on baggage at any time or place where provision is made for baggage checking, including (a) at a baggage checking counter until 15 minutes before scheduled boarding time, and (b) at the side of the bus or at a baggage checking counter in reasonable proximity to the boarding area during boarding at a terminal or any authorized service point.</P> <CITA>[40 FR 1249, Jan. 7, 1975, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Incidental Charter Rights</HD> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>5 U.S.C. 553 and 559 and 49 U.S.C. 10321, 10922, and 10932.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>54 FR 46619, Nov. 6, 1989, unless otherwise noted. Redesignated at 61 FR 54709, Oct. 21, 1996.</P> </SOURCE> <SECTION> <SECTNO>§ 374.501</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>The regulations in this part apply to incidental charter rights authorized under 49 U.S.C. 13506 [49 U.S.C. 10932(c)]. These regulations do not apply to interpreting authority contained in a certificate to transport passengers in special and/or charter operations.</P> <CITA>[54 FR 46619, Nov. 6, 1989. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 374.503</SECTNO> <SUBJECT>Authority.</SUBJECT> <P>Motor carriers transporting passengers, in interstate or foreign commerce, over regular routes authorized in a certificate issued as a result of an application filed before January 2, 1967, may transport special or chartered parties, in interstate or foreign commerce, between any points and places in the United States (including Alaska and Hawaii). The term “special or chartered party” means a group of passengers who, with a common purpose and under a single contract, and at a fixed charge for the vehicle in accordance with the carrier's tariff, have acquired the exclusive use of a passenger-carrying motor vehicle to travel together as a group to a specified destination or for a particular itinerary.</P> </SECTION> <SECTION> <SECTNO>§ 374.505</SECTNO> <SUBJECT>Exceptions.</SUBJECT> <P>(a) Incidental charter rights do not authorize the transportation of passengers to whom the carrier has sold individual tickets or with whom the carrier has made separate and individual transportation arrangements.</P> <P>(b) Service provided under incidental charter rights may not be operated between the same points or over the same route so frequently as to constitute a regular-route service.</P> <P>(c) Passenger transportation within the Washington Metropolitan Area Transit District (as defined in the Washington Metropolitan Area Transportation Regulation Compact, Pub. L. No. 86-794, 74 Stat. 1031 (1960), as amended by Pub. L. No. 87-767, 76 Stat. (1962) is not authorized by these regulations, but is subject to the jurisdiction <PRTPAGE P="85"/>and regulations of the Washington Metropolitan Area Transportation Commission.</P> <P>(d) A private or public recipient of governmental assistance (within the meaning of 49 U.S.C. 13902(b)(8)) may provide service under incidental charter rights only for special or chartered parties originating in the area in which the private or public recipient provides regularly scheduled mass transportation services under the specific qualifying certificate that confers its incidental charter rights.</P> <CITA>[54 FR 46619, Nov. 6, 1989. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 375</EAR> <HD SOURCE="HED">PART 375—TRANSPORTATION OF HOUSEHOLD GOODS IN INTERSTATE COMMERCE; CONSUMER PROTECTION REGULATIONS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Requirements</HD> <SECHD>Sec.</SECHD> <SECTNO>375.101</SECTNO> <SUBJECT>Who must follow these regulations?</SUBJECT> <SECTNO>375.103</SECTNO> <SUBJECT>What are the definitions of terms used in this part?</SUBJECT> <SECTNO>375.105</SECTNO> <SUBJECT>What are the information collection requirements of this part?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Before Offering Services to My Customers</HD> <SUBJGRP> <HD SOURCE="HED">Liability Considerations</HD> <SECTNO>375.201</SECTNO> <SUBJECT>What is my normal liability for loss and damage when I accept goods from an individual shipper?</SUBJECT> <SECTNO>375.203</SECTNO> <SUBJECT>What actions of an individual shipper may limit or reduce my normal liability?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">General Responsibilities</HD> <SECTNO>375.205</SECTNO> <SUBJECT>May I have agents?</SUBJECT> <SECTNO>375.207</SECTNO> <SUBJECT>What items must be in my advertisements?</SUBJECT> <SECTNO>375.209</SECTNO> <SUBJECT>How must I handle complaints and inquiries?</SUBJECT> <SECTNO>375.211</SECTNO> <SUBJECT>Must I have an arbitration program?</SUBJECT> <SECTNO>375.213</SECTNO> <SUBJECT>What information must I provide to a prospective individual shipper?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Collecting Transportation Charges</HD> <SECTNO>375.215</SECTNO> <SUBJECT>How must I collect charges?</SUBJECT> <SECTNO>375.217</SECTNO> <SUBJECT>May I collect charges upon delivery?</SUBJECT> <SECTNO>375.219</SECTNO> <SUBJECT>May I extend credit to shippers?</SUBJECT> <SECTNO>375.221</SECTNO> <SUBJECT>May I use a charge or credit card plan for payments?</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Service Options Provided</HD> <SECTNO>375.301</SECTNO> <SUBJECT>What service options may I provide?</SUBJECT> <SECTNO>375.303</SECTNO> <SUBJECT>If I sell liability insurance coverage, what must I do?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Estimating Charges</HD> <SECTNO>375.401</SECTNO> <SUBJECT>Must I estimate charges?</SUBJECT> <SECTNO>375.403</SECTNO> <SUBJECT>How must I provide a binding estimate?</SUBJECT> <SECTNO>375.405</SECTNO> <SUBJECT>How must I provide a non-binding estimate?</SUBJECT> <SECTNO>375.407</SECTNO> <SUBJECT>Under what circumstances must I relinquish possession of a collect-on-delivery shipment transported under a non-binding estimate?</SUBJECT> <SECTNO>375.409</SECTNO> <SUBJECT>May household goods brokers provide estimates?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Pick Up of Shipments of Household Goods</HD> <SUBJGRP> <HD SOURCE="HED">Before Loading</HD> <SECTNO>375.501</SECTNO> <SUBJECT>Must I write up an order for service?</SUBJECT> <SECTNO>375.503</SECTNO> <SUBJECT>Must I write up an inventory?</SUBJECT> <SECTNO>375.505</SECTNO> <SUBJECT>Must I write up a bill of lading?</SUBJECT> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Weighing the Shipment</HD> <SECTNO>375.507</SECTNO> <SUBJECT>Must I determine the weight of a shipment?</SUBJECT> <SECTNO>375.509</SECTNO> <SUBJECT>How must I determine the weight of a shipment?</SUBJECT> <SECTNO>375.511</SECTNO> <SUBJECT>May I use an alternative method for shipments weighing 3,000 pounds or less?</SUBJECT> <SECTNO>375.513</SECTNO> <SUBJECT>Must I give the individual shipper an opportunity to observe the weighing?</SUBJECT> <SECTNO>375.515</SECTNO> <SUBJECT>May an individual shipper waive his/her right to observe each weighing?</SUBJECT> <SECTNO>375.517</SECTNO> <SUBJECT>May an individual shipper demand re-weighing?</SUBJECT> <SECTNO>375.519</SECTNO> <SUBJECT>Must I obtain weight tickets?</SUBJECT> <SECTNO>375.521</SECTNO> <SUBJECT>What must I do if an individual shipper wants to know the actual weight or charges for a shipment before I tender delivery?</SUBJECT> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Transportation of Shipments</HD> <SECTNO>375.601</SECTNO> <SUBJECT>Must I transport the shipment in a timely manner?</SUBJECT> <SECTNO>375.603</SECTNO> <SUBJECT>When must I tender a shipment for delivery?</SUBJECT> <SECTNO>375.605</SECTNO> <SUBJECT>How must I notify an individual shipper of any service delays?</SUBJECT> <SECTNO>375.607</SECTNO> <SUBJECT>What must I do if I am able to tender a shipment for final delivery more than 24 hours before a specified date?</SUBJECT> <SECTNO>375.609</SECTNO> <SUBJECT>What must I do for shippers who store household goods in transit?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Delivery of Shipments</HD> <SECTNO>375.701</SECTNO> <SUBJECT>May I provide for a release of liability on my delivery receipt?</SUBJECT> <SECTNO>375.703</SECTNO> <SUBJECT>What is the maximum collect-on-delivery amount I may demand at the time of delivery?<PRTPAGE P="86"/> </SUBJECT> <SECTNO>375.705</SECTNO> <SUBJECT>If a shipment is transported on more than one vehicle, what charges may I collect at delivery?</SUBJECT> <SECTNO>375.707</SECTNO> <SUBJECT>If a shipment is partially lost or destroyed, what charges may I collect at delivery?</SUBJECT> <SECTNO>375.709</SECTNO> <SUBJECT>If a shipment is totally lost or destroyed, what charges may I collect at delivery?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Collection of Charges</HD> <SECTNO>375.801</SECTNO> <SUBJECT>What types of charges apply to subpart H?</SUBJECT> <SECTNO>375.803</SECTNO> <SUBJECT>How must I present my freight or expense bill?</SUBJECT> <SECTNO>375.805</SECTNO> <SUBJECT>If I am forced to relinquish a collect-on-delivery shipment before the payment of ALL charges, how do I collect the balance?</SUBJECT> <SECTNO>375.807</SECTNO> <SUBJECT>What actions may I take to collect the charges upon my freight bill?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Penalties</HD> <SECTNO>375.901</SECTNO> <SUBJECT>What penalties do we impose for violations of this part?</SUBJECT> <APP>Appendix A to Part 375—Your Rights and Responsibilities When You Move</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>5 U.S.C. 553; 49 U.S.C. 13301, 13704, 13707, 14104, 14706; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>68 FR 35091, June 11, 2003 unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General Requirements</HD> <SECTION> <SECTNO>§ 375.101</SECTNO> <SUBJECT>Who must follow these regulations?</SUBJECT> <P>You, a for-hire motor carrier engaged in the interstate transportation of household goods, must follow these regulations when offering your services to individual shippers. You are subject to this part only when you transport household goods for individual shippers by motor vehicle in interstate commerce as defined in § 390.5 of this subchapter.</P> <CITA>[69 FR 10575, Mar. 5, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 375.103</SECTNO> <SUBJECT>What are the definitions of terms used in this part?</SUBJECT> <P>Terms used in this part are defined as follows. You may find other terms used in these regulations defined in 49 U.S.C. 13102. The definitions contained in this statute control. If terms are used in this part and the terms are neither defined here nor in 49 U.S.C. 13102, the terms will have the ordinary practical meaning of such terms.</P> <P> <E T="03">Advertisement</E> means any communication to the public in connection with an offer or sale of any interstate household goods transportation service. This includes written or electronic database listings of your name, address, and telephone number in an on-line database. This excludes listings of your name, address, and telephone number in a telephone directory or similar publication. However, Yellow Pages advertising is included in the definition.</P> <P> <E T="03">Cashier's check</E> means a check that has all four of the following characteristics:</P> <P>(1) Drawn on a bank as defined in 12 CFR 229.2.</P> <P>(2) Signed by an officer or employee of the bank on behalf of the bank as drawer.</P> <P>(3) A direct obligation of the bank.</P> <P>(4) Provided to a customer of the bank or acquired from the bank for remittance purposes.</P> <P> <E T="03">Certified scale</E> means any scale inspected and certified by an authorized scale inspection and licensing authority, and designed for weighing motor vehicles, including trailers or semi-trailers not attached to a tractor, or designed as a platform or warehouse type scale.</P> <P> <E T="03">Commercial shipper</E> means any person who is named as the consignor or consignee in a bill of lading contract who is not the owner of the goods being transported but who assumes the responsibility for payment of the transportation and other tariff charges for the account of the beneficial owner of the goods. The beneficial owner of the goods is normally an employee of the consignor and/or consignee. A freight forwarder tendering a shipment to a carrier in furtherance of freight forwarder operations is also a commercial shipper. The Federal government is a government bill of lading shipper, not a commercial shipper.</P> <P> <E T="03">Force majeure</E> means a defense protecting the parties in the event that a part of the contract cannot be performed due to causes which are outside the control of the parties and could not be avoided by exercise of due care.</P> <P> <E T="03">Government bill of lading shipper</E> means any person whose property is transported under the terms and conditions of a government bill of lading <PRTPAGE P="87"/>issued by any department or agency of the Federal government to the carrier responsible for the transportation of the shipment.</P> <P> <E T="03">Household goods,</E> as used in connection with transportation, means the personal effects or property used, or to be used, in a dwelling, when part of the equipment or supplies of the dwelling. Transportation of the household goods must be arranged and paid for by the individual shipper or by another individual on behalf of the shipper. Household goods includes property moving from a factory or store if purchased with the intent to use in a dwelling and transported at the request of the householder, who also pays the transportation charges.</P> <P> <E T="03">Individual shipper</E> means any person who is the consignor or consignee of a household goods shipment identified as such in the bill of lading contract. The individual shipper owns the goods being transported and pays the transportation charges.</P> <P> <E T="03">May</E> means an option. You may do something, but it is not a requirement.</P> <P> <E T="03">Must</E> means a legal obligation. You must do something.</P> <P> <E T="03">Order for service</E> means a document authorizing you to transport an individual shipper's household goods.</P> <P> <E T="03">Reasonable dispatch</E> means the performance of transportation on the dates, or during the period, agreed upon by you and the individual shipper and shown on the Order For Service/Bill of Lading. For example, if you deliberately withhold any shipment from delivery after an individual shipper offers to pay the binding estimate or 110 percent of a non-binding estimate, you have not transported the goods with reasonable dispatch. The term “reasonable dispatch” excludes transportation provided under your tariff provisions requiring guaranteed service dates. You will have the defenses of force majeure, <E T="03">i.e.,</E> superior or irresistible force, as construed by the courts.</P> <P> <E T="03">Should</E> means a recommendation. We recommend you do something, but it is not a requirement.</P> <P> <E T="03">Surface Transportation Board</E> means an agency within the Department of Transportation. The Surface Transportation Board regulates household goods carrier tariffs among other responsibilities.</P> <P> <E T="03">Tariff</E> means an issuance (in whole or in part) containing rates, rules, regulations, classifications or other provisions related to a motor carrier's transportation services. The Surface Transportation Board requires a tariff contain specific items under § 1312.3(a) of this title. These specific items include an accurate description of the services offered to the public and the specific applicable rates (or the basis for calculating the specific applicable rates) and service terms. A tariff must be arranged in a way that allows for the determination of the exact rate(s) and service terms applicable to any given shipment.</P> <P> <E T="03">We, us,</E> and <E T="03">our</E> means the Federal Motor Carrier Safety Administration (FMCSA).</P> <P> <E T="03">You</E> and <E T="03">your</E> means a motor carrier engaged in the interstate transportation of household goods and its household goods agents.</P> </SECTION> <SECTION> <SECTNO>§ 375.105</SECTNO> <SUBJECT>What are the information collection requirements of this part?</SUBJECT> <P>(a) The information collection requirements of this part have been reviewed by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 <E T="03">et seq.</E>) and have been assigned OMB control number 2126-0025.</P> <P>(b) The information collection requirements are found in the following sections: Section 375.205, Section 375.207, Section 375.209, Section 375.211, Section 375.213, Section 375.215, Section 375.217, Section 375.303, Section 375.401, Section 375.403, Section 375.405, Section 375.409, Section 375.501, Section 375.503, Section 375.505, Section 375.507, Section 375.515, Section 375.519, Section 375.521, Section 375.605, Section 375.607, Section 375.609, Section 375.803, Section 375.805, and Section 375.807.</P> <CITA>[69 FR 10575, Mar. 5, 2004]</CITA> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="88"/> <HD SOURCE="HED">Subpart B—Before Offering Services to My Customers</HD> <SUBJGRP> <HD SOURCE="HED">Liability Considerations</HD> <SECTION> <SECTNO>§ 375.201</SECTNO> <SUBJECT>What is my normal liability for loss and damage when I accept goods from an individual shipper?</SUBJECT> <P>(a) In general, you are legally liable for loss or damage if it happens during performance of any transportation of household goods and all related services identified on your lawful bill of lading.</P> <P>(b) You are liable for loss of, or damage to, any household goods to the extent provided in the current Surface Transportation Board's released rates order. Contact the Surface Transportation Board for a current copy of the Released Rates of Motor Carrier Shipments of Household Goods. The rate may be increased annually by the carrier based on the Department of Commerce's Cost of Living Adjustment.</P> <P>(c) As required by § 375.303(g), you may have additional liability if you sell liability insurance and you fail to issue a copy of the insurance policy or other appropriate evidence of insurance.</P> <P>(d) You must, in a clear and concise manner, disclose to the individual shipper the limits of your liability.</P> </SECTION> <SECTION> <SECTNO>§ 375.203</SECTNO> <SUBJECT>What actions of an individual shipper may limit or reduce my normal liability?</SUBJECT> <P>(a) If an individual shipper includes perishable, dangerous, or hazardous articles in the shipment without your knowledge, you need not assume liability for those articles or for the loss or damage caused by their inclusion in the shipment. If the shipper requests that you accept such articles for transportation, you may elect to limit your liability for any loss or damage by appropriately published tariff provisions.</P> <P>(b) If an individual shipper agrees to ship household goods released at a value greater than 60 cents per pound ($1.32 per kilogram) per article, your liability for loss and damage may be limited to $100 per pound ($220 per kilogram) per article if the individual shipper fails to notify you in writing of articles valued at more than $100 per pound ($220 per kilogram).</P> <P>(c) If an individual shipper notifies you in writing that an article valued at greater than $100 per pound ($220 per kilogram) will be included in the shipment, the shipper will be entitled to full recovery up to the declared value of the article or articles, not to exceed the declared value of the entire shipment.</P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">General Responsibilities</HD> <SECTION> <SECTNO>§ 375.205</SECTNO> <SUBJECT>May I have agents?</SUBJECT> <P>(a) You may have agents provided you comply with paragraphs (b) and (c) of this section. A household goods agent is defined as either one of the following two types of agents:</P> <P>(1) A <E T="03">prime agent</E> provides a transportation service for you or on your behalf, including the selling of, or arranging for, a transportation service. You permit or require the agent to provide services under the terms of an agreement or arrangement with you. A prime agent does not provide services on an emergency or temporary basis. A prime agent does not include a household goods broker or freight forwarder.</P> <P>(2) An <E T="03">emergency or temporary agent</E> provides origin or destination services on your behalf, excluding the selling of, or arranging for, a transportation service. You permit or require the agent to provide such services under the terms of an agreement or arrangement with you. The agent performs such services only on an emergency or temporary basis.</P> <P>(b) If you have agents, you must have written agreements between you and your prime agents. You and your retained prime agent must sign the agreements.</P> <P>(c) Copies of all your prime agent agreements must be in your files for a period of at least 24 months following the date of termination of each agreement.</P> </SECTION> <SECTION> <SECTNO>§ 375.207</SECTNO> <SUBJECT>What items must be in my advertisements?</SUBJECT> <P>(a) You and your agents must publish and use only truthful, straightforward, and honest advertisements.</P> <P>(b) You must include, and you must require each of your agents to include, in all advertisements for all services <PRTPAGE P="89"/>(including any accessorial services incidental to or part of interstate household goods transportation), the following two elements:</P> <P>(1) Your name or trade name, as it appears on our document assigning you a U.S. DOT number, or the name or trade name of the motor carrier under whose operating authority the advertised service will originate.</P> <P>(2) Your U.S. DOT number, assigned by us authorizing you to operate as a for-hire motor carrier transporting household goods.</P> <P>(c) Your FMCSA-assigned U.S. DOT number must be displayed only in the following form in every advertisement: U.S. DOT No. (<E T="03">assigned number</E>).</P> </SECTION> <SECTION> <SECTNO>§ 375.209</SECTNO> <SUBJECT>How must I handle complaints and inquiries?</SUBJECT> <P>(a) You must establish and maintain a procedure for responding to complaints and inquiries from your individual shippers.</P> <P>(b) Your procedure must include all four of the following items:</P> <P>(1) A communications system allowing individual shippers to communicate with your principal place of business by telephone.</P> <P>(2) A telephone number.</P> <P>(3) A clear and concise statement about who must pay for complaint and inquiry telephone calls.</P> <P>(4) A written or electronic record system for recording all inquiries and complaints received from an individual shipper by any means of communication.</P> <P>(c) You must produce a clear and concise written description of your procedure for distribution to individual shippers.</P> </SECTION> <SECTION> <SECTNO>§ 375.211</SECTNO> <SUBJECT>Must I have an arbitration program?</SUBJECT> <P>(a) You must have an arbitration program to resolve property loss and damage disputes for individual shippers. You must establish and maintain an arbitration program with the following 11 minimum elements:</P> <P>(1) You must design your arbitration program to prevent you from having any special advantage in any case where the claimant resides or does business at a place distant from your principal or other place of business.</P> <P>(2) Before execution of the order for service, you must provide notice to the individual shipper of the availability of neutral arbitration, including all three of the following items:</P> <P>(i) A summary of the arbitration procedure.</P> <P>(ii) Any applicable costs.</P> <P>(iii) A disclosure of the legal effects of election to use arbitration.</P> <P>(3) Upon the individual shipper's request, you must provide information and forms you consider necessary for initiating an action to resolve a dispute under arbitration.</P> <P>(4) You must require each person you authorize to arbitrate to be independent of the parties to the dispute and capable of resolving such disputes, and you must ensure the arbitrator is authorized and able to obtain from you or the individual shipper any material or relevant information to carry out a fair and expeditious decisionmaking process.</P> <P>(5) You must not charge the individual shipper more than one-half of the total cost for instituting the arbitration proceeding against you. In the arbitrator's decision, the arbitrator may determine which party must pay the cost or a portion of the cost of the arbitration proceeding, including the cost of instituting the proceeding.</P> <P>(6) You must refrain from requiring the individual shipper to agree to use arbitration before a dispute arises.</P> <P>(7) Arbitration must be binding for claims of $5,000 or less, if the individual shipper requests arbitration.</P> <P>(8) Arbitration must be binding for claims of more than $5,000, if the individual shipper requests arbitration and the carrier agrees to it.</P> <P>(9) If all parties agree, the arbitrator may provide for an oral presentation of a dispute by a party or representative of a party.</P> <P>(10) The arbitrator must render a decision within 60 days of receipt of written notification of the dispute, and a decision by an arbitrator may include any remedies appropriate under the circumstances.</P> <P>(11) The arbitrator may extend the 60-day period for a reasonable period if you or the individual shipper fail to <PRTPAGE P="90"/>provide, in a timely manner, any information the arbitrator reasonably requires to resolve the dispute.</P> <P>(b) You must produce and distribute a concise, easy-to-read, accurate summary of your arbitration program, including the items in this section.</P> <CITA>[68 FR 35091, June 11, 2003, as amended at 69 FR 10575, Mar. 5, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 375.213</SECTNO> <SUBJECT>What information must I provide to a prospective individual shipper?</SUBJECT> <P>(a) Before you execute an order for service for a shipment of household goods, you must furnish to your prospective individual shipper, all five of the following documents:</P> <P>(1) The contents of appendix A of this part, “Your Rights and Responsibilities When You Move.”</P> <P>(2) A concise, easy-to-read, accurate estimate of your charges.</P> <P>(3) A notice of the availability of the applicable sections of your tariff for the estimate of charges, including an explanation that individual shippers may examine these tariff sections or have copies sent to them upon request.</P> <P>(4) A concise, easy-to-read, accurate summary of the your arbitration program.</P> <P>(5) A concise, easy to read, accurate summary of your customer complaint and inquiry handling procedures. Included in this description must be both of the following two items:</P> <P>(i) The main telephone number the individual shipper may use to communicate with you.</P> <P>(ii) A clear and concise statement concerning who must pay for telephone calls.</P> <P>(b) To comply with paragraph (a)(1) of this section, you must produce and distribute a document with the text and general order of appendix A to this part as it appears. The following three items also apply:</P> <P>(1) If we, the Federal Motor Carrier Safety Administration, choose to modify the text or general order of appendix A, we will provide the public appropriate notice in the <E T="04">Federal Register</E> and an opportunity for comment as required by part 389 of this chapter before making you change anything.</P> <P>(2) If you publish the document, you may choose the dimensions of the publication as long as the type font size is at least 10 point or greater and the size of the booklet is at least as large as 36 square inches (232 square centimeters).</P> <P>(3) If you publish the document, you may choose the color and design of the front and back covers of the publication. The following words must appear prominently on the front cover in at least 12 point or greater bold or full-faced type: <E T="04">“Your Rights And Responsibilities When You Move. Furnished By Your Mover, As Required By Federal Law.”</E> You may substitute your name or trade name in place of “Your Mover” if you wish (for example, <E T="03">Furnished by XYZ Van Lines, As Required By Federal Law</E>).</P> <P>(c) Paragraphs (b)(2) and (b)(3) of this section do not apply to exact copies of appendix A published in the <E T="04">Federal Register</E> or the <E T="03">Code of Federal Regulations.</E> </P> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Collecting Transportation Charges</HD> <SECTION> <SECTNO>§ 375.215</SECTNO> <SUBJECT>How must I collect charges?</SUBJECT> <P>You must issue an honest, truthful freight or expense bill in accordance with subpart A of part 373 of this chapter. All rates and charges for the transportation and related services must be in accordance with your appropriately published tariff provisions in effect, including the method of payment.</P> </SECTION> <SECTION> <SECTNO>§ 375.217</SECTNO> <SUBJECT>How must I collect charges upon delivery?</SUBJECT> <P>(a) You must specify the form of payment when you prepare the estimate. You and your agents must honor the form of payment at delivery, except when a shipper agrees to a change in writing.</P> <P>(b) You must specify the same form of payment provided in paragraph (a) of this section when you prepare the order for service and the bill of lading.</P> <P>(c) Charge or credit card payments:</P> <P>(1) If you agree to accept payment by charge or credit card, you must arrange with the individual shipper for the delivery only at a time when you can obtain authorization for the shipper's credit card transaction.</P> <P>(2) Paragraph (c)(1) of this section does not apply to you when you have equipped your motor vehicle(s) to process card transactions.<PRTPAGE P="91"/> </P> <P>(d) You may maintain a tariff setting forth nondiscriminatory rules governing collect-on-delivery service and the collection of collect-on-delivery funds.</P> <P>(e) If an individual shipper pays you at least 110 percent of the approximate costs of a non-binding estimate on a collect-on-delivery shipment, you must relinquish possession of the shipment at the time of delivery.</P> <CITA>[68 FR 35091, June 11, 2003, as amended at 69 FR 10575, Mar. 5, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 375.219</SECTNO> <SUBJECT>May I extend credit to shippers?</SUBJECT> <P>You may extend credit to shippers, but, if you do, it must be in accordance with § 375.807.</P> </SECTION> <SECTION> <SECTNO>§ 375.221</SECTNO> <SUBJECT>May I use a charge or credit card plan for payments?</SUBJECT> <P>(a) You may provide in your tariff for the acceptance of charge or credit cards for the payment of freight charges. Accepting charge or credit card payments is different than extending credit to shippers in §§ 375.219 and 375.807. Once you provide an estimate you are bound by the provisions in your tariff regarding payment as of the estimate date, until completion of any transaction that results from that estimate, unless otherwise agreed with a shipper under § 375.217(a).</P> <P>(b) You may accept charge or credit cards whenever shipments are transported under agreements and tariffs requiring payment by cash, certified check, money order, or a cashier's check.</P> <P>(c) If you allow an individual shipper to pay for a freight or expense bill by charge or credit card, you are deeming such payment to be the same as payment by cash, certified check, money order, or a cashier's check.</P> <P>(d) The charge or credit card plans you participate in must be identified in your tariff rules as items permitting the acceptance of the charge or credit cards.</P> <P>(e) If an individual shipper causes a charge or credit card issuer to reverse a charge transaction, you may consider the individual shipper's action tantamount to forcing you to provide an involuntary extension of your credit. In such instances, the rules in § 375.807 apply.</P> </SECTION> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Service Options Provided</HD> <SECTION> <SECTNO>§ 375.301</SECTNO> <SUBJECT>What service options may I provide?</SUBJECT> <P>(a) You may design your household goods service to provide individual shippers with a wide range of specialized service and pricing features. Many carriers provide at least the following five service options:</P> <P>(1) Space reservation.</P> <P>(2) Expedited service.</P> <P>(3) Exclusive use of a vehicle.</P> <P>(4) Guaranteed service on or between agreed dates.</P> <P>(5) Liability insurance.</P> <P>(b) If you sell liability insurance, you must follow the requirements in § 375.303.</P> </SECTION> <SECTION> <SECTNO>§ 375.303</SECTNO> <SUBJECT>If I sell liability insurance coverage, what must I do?</SUBJECT> <P>(a) You, your employee, or an agent may sell, offer to sell, or procure liability insurance coverage for loss or damage to shipments of any individual shipper only when the individual shipper releases the shipment for transportation at a value not exceeding 60 cents per pound ($1.32 per kilogram) per article.</P> <P>(b) You may offer, sell, or procure any type of insurance policy on behalf of the individual shipper covering loss or damage in excess of the specified carrier liability.</P> <P>(c) If you sell, offer to sell, or procure liability insurance coverage for loss or damage to shipments:</P> <P>(1) You must issue to the individual shipper a policy or other appropriate evidence of the insurance that the individual shipper purchased.</P> <P>(2) You must provide a copy of the policy or other appropriate evidence to the individual shipper at the time you sell or procure the insurance.</P> <P>(3) You must issue policies written in plain English.</P> <P>(4) You must clearly specify the nature and extent of coverage under the policy.<PRTPAGE P="92"/> </P> <P>(5) Your failure to issue a policy, or other appropriate evidence of insurance purchased, to an individual shipper will subject you to full liability for any claims to recover loss or damage attributed to you.</P> <P>(6) You must provide in your tariff for the provision of selling, offering to sell, or procuring liability insurance coverage. The tariff must also provide for the base transportation charge, including your assumption of full liability for the value of the shipment. This would be in the event you fail to issue a policy or other appropriate evidence of insurance to the individual shipper at the time of purchase.</P> <CITA>[69 FR 10575, Mar. 5, 2004]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Estimating Charges</HD> <SECTION> <SECTNO>§ 375.401</SECTNO> <SUBJECT>Must I estimate charges?</SUBJECT> <P>(a) Before you execute an order for service for a shipment of household goods for an individual shipper, you must estimate the total charges in writing. The written estimate must be one of the following two types:</P> <P>(1) A <E T="03">binding estimate,</E> an agreement made in advance with your individual shipper. It guarantees the total cost of the move based upon the quantities and services shown on your estimate.</P> <P>(2) A <E T="03">non-binding estimate,</E> what you believe the total cost will be for the move, based upon the estimated weight or volume of the shipment and the accessorial services requested. A non-binding estimate is not binding on you. You will base the final charges upon the actual weight of the individual shipper's shipment and the tariff provisions in effect.</P> <P>(b) You must specify the form of payment you and your agent will honor at delivery. Payment forms may include, but are not limited to, cash, a certified check, a money order, a cashier s check, a specific charge card such as American Express<E T="51">TM</E>, a specific credit card such as Visa<E T="51">TM</E>, or your credit as allowed by § 375.807.</P> <P>(c) For non-binding estimates, you must provide your reasonably accurate estimate of the approximate costs the individual shipper should expect to pay for the transportation and services of such shipments. If you provide an inaccurately low estimate, you may be limiting the amount you will collect at the time of delivery as provided in § 375.407.</P> <P>(d) If you provide a shipper with an estimate based on volume that will later be converted to a weight-based rate, you must provide the shipper an explanation in writing of the formula used to calculate the conversion to weight. You must specify the final charges will be based on actual weight and services subject to the 110 percent rule at delivery.</P> <P>(e) You must determine charges for any accessorial services such as elevators, long carries, etc., before preparing the order for service and the bill of lading for binding or non-binding estimates. If you fail to ask the shipper about such charges and fail to determine such charges before preparing the order for service and the bill of lading, you must deliver the goods and bill the shipper after 30 days for the additional charges.</P> <P>(f) You and the individual shipper must sign the estimate of charges. You must provide a dated copy of the estimate of charges to the individual shipper at the time you sign the estimate.</P> <P>(g) Before loading a household goods shipment, and upon mutual agreement of both you and the individual shipper, you may amend an estimate of charges. You may not amend the estimate after loading the shipment.</P> </SECTION> <SECTION> <SECTNO>§ 375.403</SECTNO> <SUBJECT>How must I provide a binding estimate?</SUBJECT> <P>(a) You may provide a guaranteed binding estimate of the total shipment charges to the individual shipper, so long as it is provided for in your tariff. The individual shipper must pay the amount for the services included in your estimate. You must comply with the following nine requirements:</P> <P>(1) You must provide a binding estimate in writing to the individual shipper or other person responsible for payment of the freight charges.</P> <P>(2) You must retain a copy of each binding estimate as an attachment to be made an integral part of the bill of lading contract.<PRTPAGE P="93"/> </P> <P>(3) You must clearly indicate upon each binding estimate's face the estimate is binding upon you and the individual shipper. Each binding estimate must also clearly indicate on its face the charges shown are the charges being assessed for only those services specifically identified in the estimate.</P> <P>(4) You must clearly describe binding estimate shipments and all services you are providing.</P> <P>(5) If it appears an individual shipper has tendered additional household goods or requires additional services not identified in the binding estimate, you are not required to honor the estimate. If an agreement cannot be reached as to the price or service requirements for the additional goods or services, you are not required to service the shipment. However, if you do service the shipment, before loading the shipment, you must do one of the following three things:</P> <P>(i) Reaffirm your binding estimate.</P> <P>(ii) Negotiate a revised written binding estimate listing the additional household goods or services.</P> <P>(iii) Agree with the individual shipper, in writing, that both of you will consider the original binding estimate as a non-binding estimate subject to § 375.405.</P> <P>(6) Once you load a shipment, failure to execute a new binding estimate or a non-binding estimate signifies you have reaffirmed the original binding estimate. You may not collect more than the amount of the original binding estimate.</P> <P>(7) If you believe additional services are necessary to properly service a shipment after the household goods are in transit, you must inform the individual shipper what the additional services are before performing those services. You must allow the shipper at least one hour to determine whether he or she wants the additional services performed. If the individual shipper agrees to pay for the additional services, you must execute a written attachment to be made an integral part of the bill of lading contract and have the individual shipper sign the written attachment. This may be done through fax transmissions; e-mail; overnight courier; or certified mail, return receipt requested. You must bill the individual shipper for the additional services after 30 days from delivery. If the individual shipper does not agree to pay the additional services, the carrier should perform only those additional services as are required to complete the delivery, and bill the individual shipper for the additional services after 30 days from delivery.</P> <P>(8) If the individual shipper requests additional services after the household goods are in transit, you must inform the individual shipper of the additional charges that will be billed. You must require full payment at destination of the original binding estimate only. You must bill for the payment of the balance of any remaining charges for additional services no sooner than 30 days after the date of delivery. For example, if your binding estimate to an individual shipper estimated total charges at delivery as $1,000, but your actual charges at destination are $1,500, you must deliver the shipment upon payment of $1,000. You must then issue freight or expense bills no sooner than 30 days after the date of delivery for the remaining $500.</P> <P>(9) Failure to relinquish possession of a shipment upon an individual shipper's offer to pay the binding estimate amount constitutes a failure to transport a shipment with “reasonable dispatch” and subjects you to cargo delay claims pursuant to part 370 of this chapter.</P> <P>(b) If you do not provide a binding estimate to an individual shipper, you must provide a non-binding estimate to the individual shipper in accordance with § 375.405.</P> <P>(c) You must retain a copy of the binding estimate for each move you perform for at least one year from the date you made the estimate and keep it as an attachment to be made an integral part of the bill of lading contract.</P> <CITA>[68 FR 35091, June 11, 2003, as amended at 69 FR 10575, Mar. 5, 2004; 69 FR 17317, May 5, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 375.405</SECTNO> <SUBJECT>How must I provide a non-binding estimate?</SUBJECT> <P>(a) If you do not provide a binding estimate to an individual shipper in accordance with § 375.403, you must provide a non-binding written estimate to the individual shipper.<PRTPAGE P="94"/> </P> <P>(b) If you provide a non-binding estimate to an individual shipper, you must provide your reasonably accurate estimate of the approximate costs the individual shipper should expect to pay for the transportation and services of the shipment. You must comply with the following ten requirements:</P> <P>(1) You must provide reasonably accurate non-binding estimates based upon the estimated weight or volume of the shipment and services required. If you provide a shipper with an estimate based on volume that will later be converted to a weight-based rate, you must provide the shipper an explanation in writing of the formula used to calculate the conversion to weight.</P> <P>(2) You must explain to the individual shipper final charges calculated for shipments moved on non-binding estimates will be those appearing in your tariffs applicable to the transportation. You must explain to the individual shipper these final charges may exceed the approximate costs appearing in your estimate.</P> <P>(3) You must furnish non-binding estimates without charge and in writing to the individual shipper or other person responsible for payment of the freight charges.</P> <P>(4) You must retain a copy of each non-binding estimate as an attachment to be made an integral part of the bill of lading contract.</P> <P>(5) You must clearly indicate on the face of a non-binding estimate, the estimate is not binding upon you and the charges shown are the approximate charges to be assessed for the services identified in the estimate. The estimate must clearly state that the shipper may not be required to pay more than 110 percent of the non-binding estimate at the time of delivery.</P> <P>(6) You must clearly describe on the face of a non-binding estimate the entire shipment and all services you are providing.</P> <P>(7) If it appears an individual shipper has tendered additional household goods or requires additional services not identified in the non-binding estimate, you are not required to honor the estimate. If an agreement cannot be reached as to the price or service requirements for the additional goods or services, you are not required to service the shipment. However, if you do service the shipment, before loading the shipment, you must do one of the following two things:</P> <P>(i) Reaffirm your non-binding estimate.</P> <P>(ii) Negotiate a revised written non-binding estimate listing the additional household goods or services.</P> <P>(8) Once you load a shipment, failure to execute a new non-binding estimate signifies you have reaffirmed the original non-binding estimate. You may not collect more than 110 percent of the amount of the original non-binding estimate at destination.</P> <P>(9) If you believe additional services are necessary to properly service a shipment after the household goods are in transit, you must inform the individual shipper what the additional services are before performing those services. You must allow the shipper at least one hour to determine whether he or she wants the additional services performed. If the individual shipper agrees to pay for the additional services, you must execute a written attachment to be made an integral part of the bill of lading contract and have the individual shipper sign the written attachment. This may be done through fax transmissions; e-mail; overnight courier; or certified mail, return receipt requested. You must bill the individual shipper for the additional services after 30 days from delivery. If the individual shipper does not agree to pay the additional services, the carrier should perform only those additional services as are required to complete the delivery, and bill the individual shipper for the additional services after 30 days from delivery.</P> <P>(10) If the individual shipper requests additional services after the household goods are in-transit, you must inform the individual shipper additional charges will be billed. You may require full payment at destination of no more than 110 percent of the original non-binding estimate. You must bill for the payment of the balance of any remaining charges after 30 days after delivery. For example, if your non-binding estimate to an individual shipper estimated total charges at delivery as $1,000, but your actual charges at destination are $1,500, you must deliver <PRTPAGE P="95"/>the shipment upon payment of $1,100 (110 percent of the estimated charges) and forego demanding immediate payment of the balance. You then must issue a freight or expense bill for the remaining $400 after the 30-day period expires.</P> <P>(c) If you furnish a non-binding estimate, you must enter the estimated charges upon the order for service and upon the bill of lading.</P> <P>(d) You must retain a copy of the non-binding estimate for each move you perform for at least one year from the date you made the estimate and keep it as an attachment to be made an integral part of the bill of lading contract.</P> <CITA>[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 375.407</SECTNO> <SUBJECT>Under what circumstances must I relinquish possession of a collect-on-delivery shipment transported under a non-binding estimate?</SUBJECT> <P>(a) If an individual shipper pays you at least 110 percent of the approximate costs of a non-binding estimate on a collect-on-delivery shipment, you must relinquish possession of the shipment at the time of delivery. You must accept the form of payment agreed to at the time of estimate, unless the shipper agrees in writing to a change in the form of payment.</P> <P>(b) Failure to relinquish possession of a shipment upon an individual shipper's offer to pay 110 percent of the estimated charges constitutes a failure to transport the shipment with “reasonable dispatch” and subjects you to cargo delay claims pursuant to part 370 of this chapter.</P> <P>(c) You must defer billing for the payment of the balance of any remaining charges for a period of 30 days following the date of delivery. After this 30-day period, you may demand payment of the balance of any remaining charges, as explained in § 375.405.</P> </SECTION> <SECTION> <SECTNO>§ 375.409</SECTNO> <SUBJECT>May household goods brokers provide estimates?</SUBJECT> <P>A household goods broker must not provide an individual shipper with an estimate of charges for the transportation of household goods unless there is a written agreement between the broker and you, the carrier, adopting the broker's estimate as your own estimate. If you make such an agreement with a broker, you must ensure compliance with all requirements of this part pertaining to estimates, including the requirement that you must relinquish possession of the shipment if the shipper pays you 110 percent of a non-binding estimate at the time of delivery.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Pick Up of Shipments of Household Goods</HD> <SUBJGRP> <HD SOURCE="HED">Before Loading</HD> <SECTION> <SECTNO>§ 375.501</SECTNO> <SUBJECT>Must I write up an order for service?</SUBJECT> <P>(a) Before you receive a shipment of household goods you will move for an individual shipper, you must prepare an order for service. The order for service must contain the information described in the following 15 items:</P> <P>(1) Your name and address and the FMCSA U.S. DOT number assigned to the mover who is responsible for performing the service.</P> <P>(2) The individual shipper's name, address, and, if available, telephone number(s).</P> <P>(3) The name, address, and telephone number of the delivering mover's office or agent located at or nearest to the destination of the shipment.</P> <P>(4) A telephone number where the individual shipper/consignee may contact you or your designated agent.</P> <P>(5) One of the following three entries must be on the order for service:</P> <P>(i) The agreed pickup date and agreed delivery date of the move.</P> <P>(ii) The agreed period(s) of the entire move.</P> <P>(iii) If you are transporting the shipment on a guaranteed service basis, the guaranteed dates or periods for pickup, transportation, and delivery. You must enter any penalty or per diem requirements upon the agreement under this item.</P> <P>(6) The names and addresses of any other motor carriers, when known, who will participate in interline transportation of the shipment.</P> <P>(7) The form of payment you and your agents will honor at delivery. The payment information must be the same that was entered on the estimate.<PRTPAGE P="96"/> </P> <P>(8) The terms and conditions for payment of the total charges, including notice of any minimum charges.</P> <P>(9) The maximum amount you will demand at the time of delivery to obtain possession of the shipment, when you transport on a collect-on-delivery basis.</P> <P>(10) The Surface Transportation Board's required released rates valuation statement, and the charges, if any, for optional valuation coverage. The released rates may be increased annually by the carrier based on the Department of Commerce's Cost of Living Adjustment.</P> <P>(11) A complete description of any special or accessorial services ordered and minimum weight or volume charges applicable to the shipment, subject to the following two conditions:</P> <P>(i) If you provide service for individual shippers on rates based upon the transportation of a minimum weight or volume, you must indicate on the order for service the minimum weight- or volume-based rates, and the minimum charges applicable to the shipment.</P> <P>(ii) If you do not indicate the minimum rates and charges, your tariff must provide you will compute the final charges relating to such a shipment based upon the actual weight or volume of the shipment.</P> <P>(12) Any identification or registration number you assign to the shipment.</P> <P>(13) <E T="03">For non-binding estimates,</E> your reasonably accurate estimate of the amount of the charges, the method of payment of total charges, and the maximum amount (no more than 110 percent of the non-binding estimate) you will demand at the time of delivery to relinquish possession of the shipment.</P> <P>(14) <E T="03">For binding estimates,</E> the amount of charges you will demand based upon the binding estimate and the terms of payment under this estimate.</P> <P>(15) Whether the individual shipper requests notification of the charges before delivery. The individual shipper must provide you with the fax number(s) or address(es) where you will transmit the notifications by fax transmission; e-mail; overnight courier; or certified mail, return receipt requested.</P> <P>(b) You, your agent, or your driver must inform the individual shipper if you reasonably expect a special or accessorial service is necessary to safely transport a shipment. You must refuse to accept the shipment when you reasonably expect a special or accessorial service is necessary to safely transport a shipment and the individual shipper refuses to purchase the special or accessorial service. You must make a written note if the shipper refuses any special or accessorial services that you reasonably expect to be necessary.</P> <P>(c) You and the individual shipper must sign the order for service. You must provide a dated copy of the order for service to the individual shipper at the time you sign the order.</P> <P>(d)(1) You may provide the individual shipper with blank or incomplete estimates, orders for service, bills of lading, or any other blank or incomplete documents pertaining to the move.</P> <P>(2) You may require the individual shipper to sign an incomplete document at origin provided it contains all relevant shipping information except the actual shipment weight and any other information necessary to determine the final charges for all services performed.</P> <P>(e) You must provide the individual shipper the opportunity to rescind the order for service without any penalty for a three-day period after the shipper signs the order for service, if the shipper scheduled the shipment to be loaded more than three days after signing the order.</P> <P>(f) Before loading the shipment, and upon mutual agreement of both you and the individual shipper, you may amend an order for service.</P> <P>(g) You must retain a copy of the order for service for each move you perform for at least one year from the date you made the order for service and keep it as an attachment to be made an integral part of the bill of lading contract.</P> <P>(h) You have the option of placing the valuation statement on either the order for service or the bill of lading, provided the order for service or bill of lading states the appropriate valuation selected by the shipper.</P> <CITA>[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]</CITA> </SECTION> <SECTION> <PRTPAGE P="97"/> <SECTNO>§ 375.503</SECTNO> <SUBJECT>Must I write up an inventory?</SUBJECT> <P>(a) You must prepare a written, itemized inventory for each shipment of household goods you transport for an individual shipper. The inventory must identify every carton and every uncartoned item that is included in the shipment. When you prepare the inventory, an identification number that corresponds to the inventory must be placed on each article that is included in the shipment.</P> <P>(b) You must prepare the inventory before or at the time of loading in the vehicle for transportation in a manner that provides the individual shipper with the opportunity to observe and verify the accuracy of the inventory if he or she so requests.</P> <P>(c) You must furnish a complete copy of the inventory to the individual shipper before or at the time of loading the shipment. A copy of the inventory, signed by both you and the individual shipper, must be provided to the shipper, together with a copy of the bill of lading, before or at the time you load the shipment.</P> <P>(d) Upon delivery, you must provide the individual shipper with the opportunity to observe and verify that the same articles are being delivered and the condition of those articles. You must also provide the individual shipper the opportunity to note in writing any missing articles and the condition of any damaged or destroyed articles. In addition, you must also provide the shipper with a copy of all such notations.</P> <P>(e) You must retain inventories for each move you perform for at least one year from the date you made the inventory and keep it as an attachment to be made an integral part of the bill of lading contract.</P> <CITA>[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 375.505</SECTNO> <SUBJECT>Must I write up a bill of lading?</SUBJECT> <P>(a) You must issue a bill of lading. The bill of lading must contain the terms and conditions of the contract. A bill of lading may be combined with an order for service to include all the items required by § 375.501 of this subpart. You must furnish a partially complete copy of the bill of lading to the individual shipper before the vehicle leaves the residence at origin. The partially complete bill of lading must contain all relevant shipment information, except the actual shipment weight and any other information necessary to determine the final charges for all services performed.</P> <P>(b) On a bill of lading, you must include the following 14 items:</P> <P>(1) Your name and address, or the name and address of the motor carrier issuing the bill of lading.</P> <P>(2) The names and addresses of any other motor carriers, when known, who will participate in transportation of the shipment.</P> <P>(3) The name, address, and telephone number of your office (or the office of your agent) where the individual shipper can contact you in relation to the transportation of the shipment.</P> <P>(4) The form of payment you and your agents will honor at delivery. The payment information must be the same that was entered on the estimate and order for service.</P> <P>(5) When you transport on a collect-on-delivery basis, the name, address, and if furnished, the telephone number, facsimile number, or e-mail address of a person to notify about the charges. The notification may also be made by overnight courier or certified mail, return receipt requested.</P> <P>(6) <E T="03">For non-guaranteed service,</E> the agreed date or period of time for pickup of the shipment and the agreed date or period of time for the delivery of the shipment. The agreed dates or periods for pickup and delivery entered upon the bill of lading must conform to the agreed dates or periods of time for pickup and delivery entered upon the order for service or a proper amendment to the order for service.</P> <P>(7) <E T="03">For guaranteed service,</E> subject to tariff provisions, the dates for pickup and delivery, and any penalty or per diem entitlements due the individual shipper under the agreement.</P> <P>(8) The actual date of pickup.</P> <P>(9) The company or carrier identification number of the vehicle(s) upon which you load the individual shipper's shipment.<PRTPAGE P="98"/> </P> <P>(10) The terms and conditions for payment of the total charges, including notice of any minimum charges.</P> <P>(11) The maximum amount you will demand at the time of delivery to obtain possession of the shipment, when you transport under a collect-on-delivery basis.</P> <P>(12) The Surface Transportation Board's required released rates valuation statement, and the charges, if any, for optional valuation coverage. The released rates may be increased annually by the carrier based on the Department of Commerce's Cost of Living Adjustment.</P> <P>(13) Evidence of any insurance coverage sold to or procured for the individual shipper from an independent insurer, including the amount of the premium for such insurance.</P> <P>(14) Each attachment to the bill of lading. Each attachment is an integral part of the bill of lading contract. If not provided elsewhere to the shipper, the following three items must be added as an attachment to the bill of lading.</P> <P>(i) The binding or non-binding estimate.</P> <P>(ii) The order for service.</P> <P>(iii) The inventory.</P> <P>(c) A copy of the bill of lading must accompany a shipment at all times while in your (or your agent's) possession. Before the vehicle leaves the residence of origin, the bill of lading must be in the possession of the driver responsible for the shipment.</P> <P>(d) You must retain bills of lading for each move you perform for at least one year from the date you created the bill of lading.</P> <P>(e) You have the option of placing the valuation statement on either the order for service or the bill of lading, provided the order for service or bill of lading states the appropriate valuation selected by the shipper.</P> <CITA>[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]</CITA> </SECTION> </SUBJGRP> <SUBJGRP> <HD SOURCE="HED">Weighing the Shipment</HD> <SECTION> <SECTNO>§ 375.507</SECTNO> <SUBJECT>Must I determine the weight of a shipment?</SUBJECT> <P>(a) When you transport household goods on a non-binding estimate dependent upon the shipment weight, you must determine the weight of each shipment transported before the assessment of any charges.</P> <P>(b) You must weigh the shipment upon a certified scale.</P> <P>(c) You must provide a written explanation of volume to weight conversions, when you provide an estimate by volume and convert the volume to weight.</P> </SECTION> <SECTION> <SECTNO>§ 375.509</SECTNO> <SUBJECT>How must I determine the weight of a shipment?</SUBJECT> <P>(a) You must weigh the shipment by using one of the following two methods:</P> <P>(1) <E T="03">First method—origin weigh.</E> You determine the difference between the tare weight of the vehicle before loading at the origin of the shipment and the gross weight of the same vehicle after loading the shipment.</P> <P>(2) <E T="03">Second method—back weigh.</E> You determine the difference between the gross weight of the vehicle with the shipment loaded and the tare weight of the same vehicle after you unload the shipment.</P> <P>(b) The following three conditions must exist for both the tare and gross weighings:</P> <P>(1) The vehicle must have installed or loaded all pads, dollies, hand trucks, ramps, and other equipment required in the transportation of the shipment.</P> <P>(2) The driver and other persons must be off the vehicle at the time of either weighing.</P> <P>(3) The fuel tanks on the vehicle must be full at the time of each weighing, or, in the alternative, when you use the <E T="03">first method—origin weigh,</E> in paragraph (a)(1) of this section, where the tare weighing is the first weighing performed, you must refrain from adding fuel between the two weighings.</P> <P>(c) You may detach the trailer of a tractor-trailer vehicle combination from the tractor and have the trailer weighed separately at each weighing provided the length of the scale platform is adequate to accommodate and support the entire trailer at one time.</P> <P>(d) You must use the net weight of shipments transported in containers. You must calculate the difference between the tare weight of the container (including all pads, blocking and bracing used in the transportation of the <PRTPAGE P="99"/>shipment) and the gross weight of the container with the shipment loaded in the container.</P> </SECTION> <SECTION> <SECTNO>§ 375.511</SECTNO> <SUBJECT>May I use an alternative method for shipments weighing 3,000 pounds or less?</SUBJECT> <P>For shipments weighing 3,000 pounds or less (1,362 kilograms or less), you may weigh the shipment upon a platform or warehouse certified scale before loading for transportation or after unloading.</P> </SECTION> <SECTION> <SECTNO>§ 375.513</SECTNO> <SUBJECT>Must I give the individual shipper an opportunity to observe the weighing?</SUBJECT> <P>You must give the individual shipper or any other person responsible for the payment of the freight charges the right to observe all weighings of the shipment. You must advise the individual shipper, or any other person entitled to observe the weighings, where and when each weighing will occur. You must give the person who will observe the weighings a reasonable opportunity to be present to observe the weighings.</P> </SECTION> <SECTION> <SECTNO>§ 375.515</SECTNO> <SUBJECT>May an individual shipper waive his/her right to observe each weighing?</SUBJECT> <P>(a) If an individual shipper elects not to observe a weighing, the shipper is presumed to have waived that right.</P> <P>(b) If an individual shipper elects not to observe a reweighing, the shipper must waive that right in writing. The individual shipper may send the waiver notification via fax transmission; e-mail; overnight courier; or certified mail, return receipt requested.</P> <P>(c) Waiver of the right to observe a weighing or re-weighing does not affect any other rights of the individual shipper under this part or otherwise.</P> <CITA>[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 375.517</SECTNO> <SUBJECT>May an individual shipper demand re-weighing?</SUBJECT> <P>After you inform the individual shipper of the billing weight and total charges and before actually beginning to unload a shipment weighed at origin (<E T="03">first method</E> under § 375.509(a)(1)), the individual shipper may demand a re-weigh. You must base your freight bill charges upon the re-weigh weight.</P> </SECTION> <SECTION> <SECTNO>§ 375.519</SECTNO> <SUBJECT>Must I obtain weight tickets?</SUBJECT> <P>(a) You must obtain weight tickets whenever we require you to weigh the shipment in accordance with this subpart. You must obtain a separate weight ticket for each weighing. The weigh master must sign each weight ticket. Each weight ticket must contain the following six items:</P> <P>(1) The complete name and location of the scale.</P> <P>(2) The date of each weighing.</P> <P>(3) The identification of the weight entries as being the tare, gross, or net weights.</P> <P>(4) The company or carrier identification of the vehicle.</P> <P>(5) The last name of the individual shipper as it appears on the bill of lading.</P> <P>(6) The carrier's shipment registration or bill of lading number.</P> <P>(b) When both weighings are performed on the same scale, one weight ticket may be used to record both weighings.</P> <P>(c) As part of the file on the shipment, you must retain the original weight ticket or tickets relating to the determination of the weight of a shipment.</P> <P>(d) All freight bills you present to an individual shipper must include true copies of all weight tickets obtained in the determination of the shipment weight in order to collect any shipment charges dependent upon the weight transported.</P> </SECTION> <SECTION> <SECTNO>§ 375.521</SECTNO> <SUBJECT>What must I do if an individual shipper wants to know the actual weight or charges for a shipment before I tender delivery?</SUBJECT> <P>(a) If an individual shipper of a shipment being transported on a collect-on-delivery basis specifically requests notification of the actual weight or volume and charges on the shipment, you must comply with this request. This requirement is conditioned upon the individual shipper's supplying you with an address or telephone number where the individual shipper will receive the communication. You must make your notification by telephone; in person; fax transmissions; e-mail; overnight <PRTPAGE P="100"/>courier; or certified mail, return receipt requested.</P> <P>(b) The individual shipper must receive your notification at least one full 24-hour day before any tender of the shipment for delivery, excluding Saturdays, Sundays and Federal holidays.</P> <P>(c) You may disregard the 24-hour notification requirement on shipments in any one of the following three circumstances:</P> <P>(1) The shipment will be back weighed (<E T="03">i.e.,</E> weighed at destination).</P> <P>(2) Pickup and delivery encompass two consecutive weekdays, if the individual shipper agrees.</P> <P>(3) The shipment is moving under a non-binding estimate and the maximum payment required at time of delivery is 110 percent of the estimated charges, but only if the individual shipper agrees to waive the 24-hour notification requirement.</P> <CITA>[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]</CITA> </SECTION> </SUBJGRP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Transportation of Shipments</HD> <SECTION> <SECTNO>§ 375.601</SECTNO> <SUBJECT>Must I transport the shipment in a timely manner?</SUBJECT> <P>Yes. Transportation in a timely manner is also known as “reasonable dispatch service.” You must provide reasonable dispatch service to all individual shippers, except for transportation on the basis of guaranteed pickup and delivery dates.</P> </SECTION> <SECTION> <SECTNO>§ 375.603</SECTNO> <SUBJECT>When must I tender a shipment for delivery?</SUBJECT> <P>You must tender a shipment for delivery for an individual shipper on the agreed delivery date or within the period specified on the bill of lading. Upon the request or concurrence of the individual shipper, you may waive this requirement.</P> </SECTION> <SECTION> <SECTNO>§ 375.605</SECTNO> <SUBJECT>How must I notify an individual shipper of any service delays?</SUBJECT> <P>(a) When you are unable to perform either the pickup or delivery of a shipment on the dates or during the periods specified in the order for service and as soon as the delay becomes apparent to you, you must notify the individual shipper of the delay, at your expense, in one of the following six ways:</P> <P>(1) By telephone.</P> <P>(2) In person.</P> <P>(3) Fax transmissions.</P> <P>(4) E-mail.</P> <P>(5) Overnight courier.</P> <P>(6) Certified mail, return receipt requested.</P> <P>(b) You must advise the individual shipper of the dates or periods you expect to be able to pick up and/or deliver the shipment. You must consider the needs of the individual shipper in your advisement. You also must do the following four things:</P> <P>(1) You must prepare a written record of the date, time, and manner of notification.</P> <P>(2) You must prepare a written record of your amended date or period for pick-up or delivery.</P> <P>(3) You must retain these records as a part of your file on the shipment. The retention period is one year from the date of notification.</P> <P>(4) You must furnish a copy of the notice to the individual shipper by first class mail or in person if the individual shipper requests a copy of the notice.</P> <CITA>[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 375.607</SECTNO> <SUBJECT>What must I do if I am able to tender a shipment for final delivery more than 24 hours before a specified date?</SUBJECT> <P>(a) You may ask the individual shipper to accept an early delivery date. If the individual shipper does not concur with your request or the individual shipper does not request an early delivery date, you may, at your discretion, place a shipment in storage under your own account and at your own expense in a warehouse located near the destination of the shipment. If you place the shipment in storage, you must comply with paragraph (b) of this section. You may comply with paragraph (c) of this section, at your discretion.</P> <P>(b) You must immediately notify the individual shipper of the name and address of the warehouse where you place the shipment. You must make and keep a record of your notification as a part of your shipment records. You have responsibility for the shipment under the terms and conditions of the <PRTPAGE P="101"/>bill of lading. You are responsible for the charges for redelivery, handling, and storage until you make final delivery.</P> <P>(c) You may limit your responsibility under paragraph (b) of this section up to the agreed delivery date or the first day of the period of time of delivery as specified in the bill of lading.</P> </SECTION> <SECTION> <SECTNO>§ 375.609</SECTNO> <SUBJECT>What must I do for shippers who store household goods in transit?</SUBJECT> <P>(a) If you are holding goods for storage-in-transit (SIT) and the period of time is about to expire, you must comply with this section.</P> <P>(b) You must notify the individual shipper, in writing of the following four items:</P> <P>(1) The date of conversion to permanent storage.</P> <P>(2) The existence of a nine-month period after the date of conversion to permanent storage when the individual shipper may file claims against you for loss or damage occurring to the goods in transit or during the storage-in-transit period.</P> <P>(3) The fact your liability is ending.</P> <P>(4) The fact the individual shipper's property will be subject to the rules, regulations, and charges of the warehouseman.</P> <P>(c) You must make this notification at least 10 days before the expiration date of either one of the following two periods:</P> <P>(1) The specified period of time when the goods are to be held in storage.</P> <P>(2) The maximum period of time provided in your tariff for storage-in-transit.</P> <P>(d) You must notify the individual shipper by facsimile transmission; e-mail; overnight courier; or certified mail, return receipt requested.</P> <P>(e) If you are holding household goods in storage-in-transit for a period of time less than 10 days, you must give notification to the individual shipper of the information specified in paragraph (b) of this section one day before the expiration date of the specified time when the goods are to be held in such storage.</P> <P>(f) You must maintain a record of notifications as part of the records of the shipment.</P> <P>(g) Your failure or refusal to notify the individual shipper will automatically effect a continuance of your carrier liability according to the applicable tariff provisions with respect to storage-in-transit, until the end of the day following the date when you actually gave notice.</P> <CITA>[68 FR 35091, June 11, 2003, as amended at 69 FR 10577, Mar. 5, 2004]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Delivery of Shipments</HD> <SECTION> <SECTNO>§ 375.701</SECTNO> <SUBJECT>May I provide for a release of liability on my delivery receipt?</SUBJECT> <P>(a) Your delivery receipt or shipping document must not contain any language purporting to release or discharge you or your agents from liability.</P> <P>(b) The delivery receipt may include a statement the property was received in apparent good condition except as noted on the shipping documents.</P> </SECTION> <SECTION> <SECTNO>§ 375.703</SECTNO> <SUBJECT>What is the maximum collect-on-delivery amount I may demand at the time of delivery?</SUBJECT> <P>(a) On a binding estimate, the maximum amount is the exact estimate of the charges.</P> <P>(b) On a non-binding estimate, the maximum amount is 110 percent of the non-binding estimate of the charges.</P> </SECTION> <SECTION> <SECTNO>§ 375.705</SECTNO> <SUBJECT>If a shipment is transported on more than one vehicle, what charges may I collect at delivery?</SUBJECT> <P>(a) At your discretion, you may do one of the following three things:</P> <P>(1) You may defer the collection of all charges until you deliver the entire shipment.</P> <P>(2) If you have determined the charges for the entire shipment, you may collect charges for the portion of the shipment tendered for delivery. You must determine the percentage of the charges for the entire shipment represented by the portion of the shipment tendered for delivery.</P> <P>(3) If you cannot reasonably calculate the charges for the entire shipment, you must determine the charges for the portion of the shipment being delivered. You must collect this amount. The total charges you assess for the transportation of the separate portions of the shipment must not be more than <PRTPAGE P="102"/>the charges due for the entire shipment.</P> <P>(b) In the event of the loss or destruction of any part of a shipment transported on more than one vehicle, you must collect the charges as provided in § 375.707.</P> </SECTION> <SECTION> <SECTNO>§ 375.707</SECTNO> <SUBJECT>If a shipment is partially lost or destroyed, what charges may I collect at delivery?</SUBJECT> <P>(a) If a shipment is partially lost or destroyed, you may first collect your freight charges for the entire shipment, if you choose. If you do this, you must refund the portion of your published freight charges corresponding to the portion of the lost or destroyed shipment (including any charges for accessorial or terminal services), at the time you dispose of claims for loss, damage, or injury to the articles in the shipment under part 370 of this chapter.</P> <P>(b) To calculate the amount of charges applicable to the shipment as delivered, you must multiply the percentage corresponding to the delivered shipment by the total charges applicable to the shipment tendered by the individual shipper. The following four conditions also apply:</P> <P>(1) If the charges computed exceed the charges otherwise applicable to the shipment as delivered, the lesser of those charges must apply. This will apply only to the transportation of household goods and not to charges for other services the individual shipper ordered.</P> <P>(2) You must collect any specific valuation charge due.</P> <P>(3) You may disregard paragraph (a) of this section if loss or destruction was due to an act or omission of the individual shipper.</P> <P>(4) You must determine, at your own expense, the proportion of the shipment, based on actual or constructive weight, not lost or destroyed in transit.</P> <P>(c) The individual shipper's rights are in addition to, and not in lieu of, any other rights the individual shipper may have with respect to a shipment of household goods you or your agent(s) partially lost or destroyed in transit. This applies whether or not the individual shipper exercises its rights provided in paragraph (a) of this section.</P> </SECTION> <SECTION> <SECTNO>§ 375.709</SECTNO> <SUBJECT>If a shipment is totally lost or destroyed, what charges may I collect at delivery?</SUBJECT> <P>(a) You are forbidden from collecting, or requiring an individual shipper to pay, any freight charges (including any charges for accessorial or terminal services) when a household goods shipment is <E T="03">totally lost or destroyed</E> in transit. The following two conditions also apply:</P> <P>(1) You must collect any specific valuation charge due.</P> <P>(2) You may disregard paragraph (a) of this section if loss or destruction was due to an act or omission of the individual shipper.</P> <P>(b) The individual shipper's rights are in addition to, and not in lieu of, any other rights the individual shipper may have with respect to a shipment of household goods you or your agent(s) totally lost or destroyed in transit. This applies whether or not the individual shipper exercises its rights provided in paragraph (a) of this section.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Collection of Charges</HD> <SECTION> <SECTNO>§ 375.801</SECTNO> <SUBJECT>What types of charges apply to subpart H?</SUBJECT> <P>This subpart applies to all shipments of household goods that:</P> <P>(a) Entail a balance due freight or expense bill, or</P> <P>(b) Are transported on an extension of credit basis.</P> <CITA>[69 FR 10577, Mar. 5, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 375.803</SECTNO> <SUBJECT>How must I present my freight or expense bill?</SUBJECT> <P>You must present your freight or expense bill in accordance with § 375.807 of this subpart.</P> <CITA>[69 FR 10577, Mar. 5, 2004]</CITA> </SECTION> <SECTION> <SECTNO>§ 375.805</SECTNO> <SUBJECT>If I am forced to relinquish a collect-on-delivery shipment before the payment of ALL charges, how do I collect the balance?</SUBJECT> <P>On “collect-on-delivery” shipments, you must present your freight bill for all transportation charges within 15 days as required by § 375.807.</P> </SECTION> <SECTION> <PRTPAGE P="103"/> <SECTNO>§ 375.807</SECTNO> <SUBJECT>What actions may I take to collect the charges upon my freight bill?</SUBJECT> <P>(a) You must present a freight bill within 15 days (excluding Saturdays, Sundays, and Federal holidays) of the date of delivery of a shipment at its destination.</P> <P>(b) The credit period must be seven days (including Saturdays, Sundays, and Federal holidays).</P> <P>(c) You must provide in your tariffs the following four things:</P> <P>(1) You must automatically extend the credit period to a total of 30 calendar days for any shipper who has not paid your freight bill within the 7-day period.</P> <P>(2) You will assess a service charge to each individual shipper equal to one percent of the amount of the freight bill, subject to a $20 minimum charge, for the extension of the credit period. You will assess the service charge for each 30-day extension the charges go unpaid.</P> <P>(3) You must deny credit to any shipper who fails to pay a duly-presented freight bill within the 30-day period. You may grant credit to the individual shipper when the individual shipper satisfies he/she will promptly pay all future freight bills duly presented.</P> <P>(4) You must ensure all payments of freight bills are strictly in accordance with the rules and regulations of this part for the settlement of your rates and charges.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Penalties</HD> <SECTION> <SECTNO>§ 375.901</SECTNO> <SUBJECT>What penalties do we impose for violations of this part?</SUBJECT> <P>The penalty provisions of 49 U.S.C. Chapter 149, Civil and Criminal Penalties apply to this part. These penalties do not overlap. Notwithstanding these civil penalties, nothing in this section shall deprive any holder of a receipt or a bill of lading any remedy or right of action under existing law.</P> </SECTION> <APPENDIX> <EAR>Pt. 375, App. A</EAR> <HD SOURCE="HED">Appendix A to Part 375—Your Rights and Responsibilities When You Move</HD> <P>You must furnish this document to prospective individual shippers as required by 49 CFR 375.213. The text as it appears in this appendix may be reprinted in a form and manner chosen by you, provided it complies with § 375.213(b)(2) and (b)(3). You are not required to italicize titles of sections.</P> <HD SOURCE="HD1">YOUR RIGHTS AND RESPONSIBILITIES WHEN YOU MOVE</HD> <P>OMB No. 2126-0025.</P> <HD SOURCE="HD1">Furnished by Your Mover, as Required by Federal Law</HD> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13301, 13704, 13707, and 14104; 49 CFR 1.73.</P> </AUTH> <HD SOURCE="HD2">What Is Included in This Pamphlet?</HD> <P>In this pamphlet, you will find a discussion of each of these topics: </P> <FP SOURCE="FP-1">Why Was I Given This Pamphlet?</FP> <FP SOURCE="FP-1">What Are the Most Important Points I Should Remember From This Pamphlet?</FP> <FP SOURCE="FP-1">What If I Have More Questions?</FP> <HD SOURCE="HD1">Subpart A—General Requirements</HD> <P>Who must follow the regulations?</P> <P>What definitions are used in this pamphlet?</P> <HD SOURCE="HD1">Subpart B—Before Requesting Services From Any Mover</HD> <P>What is my mover's normal liability for loss or damage when my mover accepts goods from me?</P> <P>What actions by me limit or reduce my mover's normal liability?</P> <P>What are dangerous or hazardous materials that may limit or reduce my mover's normal liability?</P> <P>May my mover have agents?</P> <P>What items must be in my mover's advertisements?</P> <P>How must my mover handle complaints and inquiries?</P> <P>Do I have the right to inspect my mover's tariffs (schedules of charges) applicable to my move?</P> <P>Must my mover have an arbitration program?</P> <P>Must my mover inform me about my rights and responsibilities under Federal law?</P> <P>What other information must my mover provide to me?</P> <P>How must my mover collect charges?</P> <P>May my mover collect charges upon delivery?</P> <P>May my mover extend credit to me?</P> <P>May my mover accept charge or credit cards for my payments?</P> <HD SOURCE="HD1">Subpart C—Service Options Provided</HD> <P>What service options may my mover provide?</P> <P>If my mover sells liability insurance coverage, what must my mover do?</P> <HD SOURCE="HD1">Subpart D—Estimating Charges</HD> <P>Must my mover estimate the transportation and accessorial charges for my move?<PRTPAGE P="104"/> </P> <P>How must my mover estimate charges under the regulations?</P> <P>What payment arrangements must my mover have in place to secure delivery of my household goods shipment?</P> <HD SOURCE="HD1">Subpart E—Pickup of My Shipment of Household Goods</HD> <P>Must my mover write up an order for service?</P> <P>Must my mover write up an inventory of the shipment?</P> <P>Must my mover write up a bill of lading?</P> <P>Should I reach an agreement with my mover about pickup and delivery times?</P> <P>Must my mover determine the weight of my shipment?</P> <P>How must my mover determine the weight of my shipment?</P> <P>What must my mover do if I want to know the actual weight or charges for my shipment before delivery?</P> <HD SOURCE="HD1">Subpart F—Transportation of My Shipment</HD> <P>Must my mover transport the shipment in a timely manner?</P> <P>What must my mover do if it is able to deliver my shipment more than 24 hours before I am able to accept delivery?</P> <P>What must my mover do for me when I store household goods in transit?</P> <HD SOURCE="HD1">Subpart G—Delivery of My shipment</HD> <P>May my mover ask me to sign a delivery receipt releasing it from liability?</P> <P>What is the maximum collect-on-delivery amount my mover may demand I pay at the time of delivery?</P> <P>If my shipment is transported on more than one vehicle, what charges may my mover collect at delivery?</P> <P>If my shipment is partially or totally lost or destroyed, what charges may my mover collect at delivery?</P> <P>How must my mover calculate the charges applicable to the shipment as delivered?</P> <HD SOURCE="HD1">Subpart H—Collection of Charges</HD> <P>Does this subpart apply to most shipments?</P> <P>How must my mover present its freight or expense bill to me?</P> <P>If I forced my mover to relinquish a collect-on-delivery shipment before the payment of ALL charges, how must my mover collect the balance?</P> <P>What actions may my mover take to collect from me the charges in its freight bill?</P> <P>Do I have a right to file a claim to recover money for property my mover lost or damaged?</P> <HD SOURCE="HD1">Subpart I—Resolving Disputes With My Mover</HD> <P>What may I do to resolve disputes with my mover?</P> <HD SOURCE="HD1">Why Was I Given This Pamphlet?</HD> <P>The Federal Motor Carrier Safety Administration's (FMCSA) regulations protect consumers on interstate moves and define the rights and responsibilities of consumers and household goods carriers.</P> <P>The household goods carrier (mover) gave you this booklet to provide information about your rights and responsibilities as an individual shipper of household goods. Your primary responsibility is to select a reputable household goods carrier, ensure that you understand the terms and conditions of the contract, and understand and pursue the remedies that are available to you in case problems arise. You should talk to your mover if you have further questions. The mover will also furnish you with additional written information describing its procedure for handling your questions and complaints. The additional written information will include a telephone number you can call to obtain additional information about your move.</P> <HD SOURCE="HD1">What Are the Most Important Points I Should Remember From This Pamphlet?</HD> <P>1. Movers must give written estimates.</P> <P>2. Movers may give binding estimates.</P> <P>3. Non-binding estimates are not always accurate; actual charges may exceed the estimate.</P> <P>4. If your mover provides you (or someone representing you) with any partially complete document for your signature, you should verify the document is as complete as possible before signing it. Make sure the document contains all relevant shipping information, except the actual shipment weight and any other information necessary to determine the final charges for all services performed.</P> <P>5. You may request from your mover the availability of guaranteed pickup and delivery dates.</P> <P>6. Be sure you understand the mover's responsibility for loss or damage, and request an explanation of the difference between valuation and actual insurance.</P> <P>7. You have the right to be present each time your shipment is weighed.</P> <P>8. You may request a reweigh of your shipment.</P> <P>9. If you agree to move under a non-binding estimate, you should confirm with your mover—in writing—the method of payment at delivery as cash, certified check, cashier's check, money order, or credit card.</P> <P>10. Movers must offer a dispute settlement program as an alternative means of settling <PRTPAGE P="105"/>loss or damage claims. Ask your mover for details.</P> <P>11. You should ask the person you speak to whether he or she works for the actual mover or a household goods broker. A household goods broker only arranges for the transportation. A household goods broker must not represent itself as a mover. A household goods broker does not own trucks of its own. The broker is required to find an authorized mover to provide the transportation. You should know that a household goods broker generally has no authority to provide you an estimate on behalf of a specific mover. If a household goods broker provides you an estimate, it may not be binding on the actual mover and you may have to pay the actual charges the mover incurs. A household goods broker is not responsible for loss or damage.</P> <P>12. You may request complaint information about movers from the Federal Motor Carrier Safety Administration under the Freedom of Information Act. You may be assessed a fee to obtain this information. See 49 CFR part 7 for the schedule of fees.</P> <P>13. You should seek estimates from at least three different movers. You should not disclose any information to the different movers about their competitors, as it may affect the accuracy of their estimates.</P> <HD SOURCE="HD1">What If I Have More Questions?</HD> <P>If this pamphlet does not answer all of your questions about your move, do not hesitate to ask your mover's representative who handled the arrangements for your move, the driver who transports your shipment, or the mover's main office for additional information.</P> <HD SOURCE="HD1">Subpart A—General Requirements</HD> <P>The primary responsibility for your protection lies with you in selecting a reputable household goods carrier, ensuring you understand the terms and conditions of your contract with your mover, and understanding and pursuing the remedies that are available to you in case problems arise.</P> <HD SOURCE="HD1">Who Must Follow the Regulations?</HD> <P>The regulations inform motor carriers engaged in the interstate transportation of household goods (movers) what standards they must follow when offering services to you. You, an individual shipper, are not directly subject to the regulations. However, your mover may be required by the regulations to force you to pay on time. The regulations only apply to your mover when the mover transports your household goods by motor vehicle in interstate commerce—that is, when you are moving from one State to another. The regulations do not apply when your interstate move takes place within a single commercial zone. A commercial zone is roughly equivalent to the local metropolitan area of a city or town. For example, a move between Brooklyn, NY, and Hackensack, NJ, would be considered to be within the New York City commercial zone and would not be subject to these regulations. Commercial zones are defined in 49 CFR part 372.</P> <HD SOURCE="HD1">What Definitions Are Used in This Pamphlet?</HD> <P> <E T="03">Accessorial (Additional) Services</E>—These are services such as packing, appliance servicing, unpacking, or piano stair carries that you request to be performed (or that are necessary because of landlord requirements or other special circumstances). Charges for these services may be in addition to the line haul charges.</P> <P> <E T="03">Advanced Charges</E>—These are charges for services performed by someone other than the mover. A professional, craftsman, or other third party may perform these services at your request. The mover pays for these services and adds the charges to your bill of lading charges.</P> <P> <E T="03">Advertisement</E>—This is any communication to the public in connection with an offer or sale of any interstate household goods transportation service. This will include written or electronic database listings of your mover's name, address, and telephone number in an on-line database. This excludes listings of your mover's name, address, and telephone number in a telephone directory or similar publication. However, Yellow Pages advertising is included within the definition.</P> <P> <E T="03">Agent</E>—A local moving company authorized to act on behalf of a larger, national company.</P> <P> <E T="03">Appliance Service by Third Party</E>—The preparation of major electrical appliances to make them safe for shipment. Charges for these services may be in addition to the line haul charges.</P> <P> <E T="03">Bill of Lading</E>—The receipt for your goods and the contract for their transportation.</P> <P> <E T="03">Carrier</E>—The mover transporting your household goods.</P> <P> <E T="03">Cash on Delivery (COD)</E>—This means payment is required at the time of delivery at the destination residence (or warehouse).</P> <P> <E T="03">Certified Scale</E>—Any scale designed for weighing motor vehicles, including trailers or semitrailers not attached to a tractor, and certified by an authorized scale inspection and licensing authority. A certified scale may also be a platform or warehouse type scale that is properly inspected and certified.</P> <P> <E T="03">Estimate, Binding</E>—This is an agreement made in advance with your mover. It guarantees the total cost of the move based upon the quantities and services shown on the estimate.</P> <P> <E T="03">Estimate, Non-Binding</E>—This is what your mover believes the cost will be, based upon <PRTPAGE P="106"/>the estimated weight of the shipment and the accessorial services requested. A non-binding estimate is not binding on the mover. The final charges will be based upon the actual weight of your shipment, the services provided, and the tariff provisions in effect.</P> <P> <E T="03">Expedited Service</E>—This is an agreement with the mover to perform transportation by a set date in exchange for charges based upon a higher minimum weight.</P> <P> <E T="03">Flight Charge</E>—A charge for carrying items up or down flights of stairs. Charges for these services may be in addition to the line haul charges.</P> <P> <E T="03">Guaranteed Pickup and Delivery Service</E>—An additional level of service featuring guaranteed dates of service. Your mover will provide reimbursement to you for delays. This premium service is often subject to minimum weight requirements.</P> <P> <E T="03">High Value Article</E>—These are items included in a shipment valued at more than $100 per pound ($220 per kilogram).</P> <P> <E T="03">Household Goods,</E> as used in connection with transportation, means the personal effects or property used, or to be used, in a dwelling, when part of the equipment or supplies of the dwelling. Transportation of the household goods must be arranged and paid for by you or by another individual on your behalf. This may include items moving from a factory or store when you purchase them to use in your dwelling. You must request that these items be transported, and you (or another individual on your behalf) must pay the transportation charges to the mover.</P> <P> <E T="03">Inventory</E>—The detailed descriptive list of your household goods showing the number and condition of each item.</P> <P> <E T="03">Line Haul Charges</E>—The charges for the vehicle transportation portion of your move. These charges, if separately stated, apply in addition to the accessorial service charges.</P> <P> <E T="03">Long Carry</E>—A charge for carrying articles excessive distances between the mover's vehicle and your residence. Charges for these services may be in addition to the line haul charges.</P> <P> <E T="03">May</E>—An option. You or your mover may do something, but it is not a requirement.</P> <P> <E T="03">Mover</E>—A motor carrier engaged in the transportation of household goods and its household goods agents.</P> <P> <E T="03">Must</E>—A legal obligation. You or your mover must do something.</P> <P> <E T="03">Order for Service</E>—The document authorizing the mover to transport your household goods.</P> <P> <E T="03">Order (Bill of Lading) Number</E>—The number used to identify and track your shipment.</P> <P> <E T="03">Peak Season Rates</E>—Higher line haul charges applicable during the summer months.</P> <P> <E T="03">Pickup and Delivery Charges</E>—Separate transportation charges applicable for transporting your shipment between the storage-in-transit warehouse and your residence.</P> <P> <E T="03">Reasonable Dispatch</E>—The performance of transportation on the dates, or during the period of time, agreed upon by you and your mover and shown on the Order for Service/Bill of Lading. For example, if your mover deliberately withholds any shipment from delivery after you offer to pay the binding estimate or 110 percent of a non-binding estimate, your mover has not transported the goods with reasonable dispatch. The term “reasonable dispatch” excludes transportation provided under your mover's tariff provisions requiring guaranteed service dates. Your mover will have the defense of force majeure, <E T="03">i.e.,</E> that the contract cannot be performed owing to causes that are outside the control of the parties and that could not be avoided by exercise of due care.</P> <P> <E T="03">Should</E>—A recommendation. We recommend you or your mover do something, but it is not a requirement.</P> <P> <E T="03">Shuttle Service</E>—The use of a smaller vehicle to provide service to residences not accessible to the mover's normal line haul vehicles.</P> <P> <E T="03">Storage-In-Transit (SIT)</E>—The temporary warehouse storage of your shipment pending further transportation, with or without notification to you. If you (or someone representing you) cannot accept delivery on the agreed-upon date or within the agreed-upon time period (for example, because your home is not quite ready to occupy), your mover may place your shipment into SIT without notifying you. In those circumstances, you will be responsible for the added charges for SIT service, as well as the warehouse handling and final delivery charges.</P> <P>However, your mover also may place your shipment into SIT if your mover was able to make delivery before the agreed-upon date (or before the first day of the agreed-upon delivery period), but you did not concur with early delivery. In those circumstances, your mover must notify you immediately of the SIT, and your mover is fully responsible for redelivery charges, handling charges, and storage charges.</P> <P> <E T="03">Surface Transportation Board</E>—An agency within the U.S. Department of Transportation that regulates household goods carrier tariffs, among other responsibilities. The Surface Transportation Board's address is 1925 K Street, NW., Washington, DC 20423-0001 Tele. 202-565-1674.</P> <P> <E T="03">Tariff</E>—An issuance (in whole or in part) containing rates, rules, regulations, classifications, or other provisions. The Surface Transportation Board requires that a tariff contain three specific items. First, an accurate description of the services the mover offers to the public. Second, the specific applicable rates (or the basis for calculating the specific applicable rates) and service terms for services offered to the public. Third, the <PRTPAGE P="107"/>mover's tariff must be arranged in a way that allows you to determine the exact rate(s) and service terms applicable to your shipment.</P> <P> <E T="03">Valuation</E>—The degree of worth of the shipment. The valuation charge compensates the mover for assuming a greater degree of liability than is provided for in its base transportation charges.</P> <P> <E T="03">Warehouse Handling</E>—A charge may be applicable each time SIT service is provided. Charges for these services may be in addition to the line haul charges. This charge compensates the mover for the physical placement and removal of items within the warehouse.</P> <P> <E T="03">We, Us,</E> and <E T="03">Our</E>—The Federal Motor Carrier Safety Administration (FMCSA).</P> <P> <E T="03">You</E> and <E T="03">Your</E>—You are an individual shipper of household goods. You are a consignor or consignee of a household goods shipment and your mover identifies you as such in the bill of lading contract. You own the goods being transported and pay the transportation charges to the mover.</P> <P> <E T="03">Where may other terms used in this pamphlet be defined?</E> You may find other terms used in this pamphlet defined in 49 U.S.C. 13102. The statute controls the definitions in this pamphlet. If terms are used in this pamphlet and the terms are defined neither here nor in 49 U.S.C. 13102, the terms will have the ordinary practical meaning of such terms.</P> <HD SOURCE="HD1">Subpart B—Before Requesting Services From Any Mover</HD> <HD SOURCE="HD1">What Is My Mover's Normal Liability for Loss or Damage When My Mover Accepts Goods From Me?</HD> <P>In general, your mover is legally liable for loss or damage that occurs during performance of any transportation of household goods and of all related services identified on your mover's lawful bill of lading.</P> <P>Your mover is liable for loss of, or damage to, any household goods to the extent provided in the current Surface Transportation Board's Released Rates Order. You may obtain a copy of the current Released Rates Order by contacting the Surface Transportation Board at the address provided under the definition of the Surface Transportation Board. The rate may be increased annually by your mover based on the U.S. Department of Commerce's Cost of Living Adjustment. Your mover may have additional liability if your mover sells liability insurance to you.</P> <P>All moving companies are required to assume liability for the value of the goods transported. However, there are different levels of liability, and you should be aware of the amount of protection provided and the charges for each option.</P> <P>Basically, most movers offer two different levels of liability (options 1 and 2 below) under the terms of their tariffs and the Surface Transportation Board's Released Rates Orders. These orders govern the moving industry.</P> <HD SOURCE="HD2">Option 1: Released Value</HD> <P>This is the most economical protection option available. This no-additional-cost option provides minimal protection. Under this option, the mover assumes liability for no more than 60 cents per pound ($1.32 cents per kilogram), per article. Loss or damage claims are settled based upon the pound (kilogram) weight of the article multiplied by 60 cents per pound ($1.32 cents per kilogram). For example, if your mover lost or destroyed a 10-pound (4.54-kilogram) stereo component valued at $1,000, your mover would be liable for no more than $6.00. Obviously, you should think carefully before agreeing to such an arrangement. There is no extra charge for this minimal protection, but you must sign a specific statement on the bill of lading agreeing to it.</P> <HD SOURCE="HD2">Option 2: Full Value Protection (FVP)</HD> <P>Under this option, the mover is liable for the replacement value of lost or damaged goods (as long as it doesn't exceed the total declared value of the shipment). If you elect to purchase full value protection, and your mover loses, damages or destroys your articles, your mover must repair, replace with like items, or settle in cash at the current market replacement value, regardless of the age of the lost or damaged item. The minimum declared value of a shipment under this option is $5,000 or $4.00 times the actual total weight (in pounds) of the shipment, whichever is greater. For example, the minimum declared value for a 4,000-pound (1,814.4-kilogram) shipment would be $16,000. Your mover may offer you FVP with a $250 or $500 deductible, or with no deductible at all. The amount of the deductible will affect the cost of your FVP coverage. The $4.00 per pound minimum valuation rate may be increased annually by your mover based on changes in the household furnishings element of the Consumer Price Index established by the U.S. Department of Labor's Bureau of Labor Statistics.</P> <P>Unless you specifically agree to other arrangements, the mover must assume liability for the entire shipment based upon this option. The approximate cost for FVP is $8.50 for each $1,000 of declared value; however, it may vary by mover. In the example above, the valuation charge for a shipment valued at $16,000 would be $136.00. As noted above, this fee may be adjusted annually by your mover based on changes in the household furnishings element of the Consumer Price Index.</P> <P>Under both of these liability options, movers are permitted to limit their liability for loss or damage to articles of extraordinary <PRTPAGE P="108"/>value, unless you specifically list these articles on the shipping documents. An article of extraordinary value is any item whose value exceeds $100 per pound ($220 per kilogram). Ask your mover for a complete explanation of this limitation before your move. It is your responsibility to study this provision carefully and make the necessary declaration.</P> <P>These optional levels of liability are not insurance agreements governed by State insurance laws, but instead are authorized under Released Rates Orders of the Surface Transportation Board of the U.S. Department of Transportation.</P> <P>In addition to these options, some movers may also offer to sell, or procure for you, separate liability insurance from a third-party insurance company when you release your shipment for transportation at the minimum released value of 60 cents per pound ($1.32 per kilogram) per article (option 1). This is not valuation coverage governed by Federal law, but optional insurance regulated under State law. If you purchase this separate coverage and your mover is responsible for loss or damage, the mover is liable only for an amount not exceeding 60 cents per pound ($1.32 per kilogram) per article, and the balance of the loss is recoverable from the insurance company up to the amount of insurance purchased. The mover's representative can advise you of the availability of such liability insurance, and the cost.</P> <P>If you purchase liability insurance from or through your mover, the mover is required to issue a policy or other written record of the purchase and to provide you with a copy of the policy or other document at the time of purchase. If the mover fails to comply with this requirement, the mover becomes fully liable for any claim for loss or damage attributed to its negligence.</P> <HD SOURCE="HD1">What Actions by Me Limit or Reduce My Mover's Normal Liability?</HD> <P>Your actions may limit or reduce your mover's normal liability under the following three circumstances:</P> <P>(1) You include perishable, dangerous, or hazardous materials in your household goods without your mover's knowledge.</P> <P>(2) You choose liability option 1 but ship household goods valued at more than 60 cents per pound ($1.32 per kilogram) per article.</P> <P>(3) You fail to notify your mover in writing of articles valued at more than $100 per pound ($220 per kilogram). (If you <E T="03">do</E> notify your mover, you will be entitled to full recovery up to the declared value of the article or articles, not to exceed the declared value of the entire shipment.)</P> <HD SOURCE="HD1">What Are Dangerous or Hazardous Materials That May Limit or Reduce My Mover's Normal Liability?</HD> <P>Federal law forbids you to ship hazardous materials in your household goods boxes or luggage without informing your mover. A violation can result in five years' imprisonment and penalties of $250,000 or more (49 U.S.C. 5124). You could also lose or damage your household goods by fire, explosion, or contamination.</P> <P>If you offer hazardous materials to your mover, you are considered a hazardous materials shipper and must comply with the hazardous materials requirements in 49 CFR parts 171, 172, and 173, including but not limited to package labeling and marking, shipping papers, and emergency response information. Your mover must comply with 49 CFR parts 171, 172, 173, and 177 as a hazardous materials carrier.</P> <P>Hazardous materials include explosives, compressed gases, flammable liquids and solids, oxidizers, poisons, corrosives, and radioactive materials. Examples: Nail polish remover, paints, paint thinners, lighter fluid, gasoline, fireworks, oxygen bottles, propane cylinders, automotive repair and maintenance chemicals, and radio-pharmaceuticals.</P> <P>There are special exceptions for small quantities (up to 70 ounces total) of medicinal and toilet articles carried in your household goods and certain smoking materials carried on your person. For further information, contact your mover.</P> <HD SOURCE="HD1">May My Mover Have Agents?</HD> <P>Yes, your mover may have agents. If your mover has agents, your mover must have written agreements with its prime agents. Your mover and its retained prime agent must sign their agreements. Copies of your mover's prime agent agreements must be in your mover's files for a period of at least 24 months following the date of termination of each agreement.</P> <HD SOURCE="HD1">What Items Must Be in My Mover's Advertisements?</HD> <P>Your mover must publish and use only truthful, straightforward, and honest advertisements. Your mover must include certain information in all advertisements for all services (including any accessorial services incidental to or part of interstate transportation). Your mover must require each of its agents to include the same information in its advertisements. The information must include the following two pieces of information about your mover:</P> <P>(1) Name or trade name of the mover under whose USDOT number the advertised service will originate.</P> <P>(2) USDOT number, assigned by FMCSA, authorizing your mover to operate. Your <PRTPAGE P="109"/>mover must display the information as: USDOT No. (assigned number).</P> <P>You should compare the name or trade name of the mover and its USDOT number to the name and USDOT number on the sides of the truck(s) that arrive at your residence. The names and numbers should be identical. If the names and numbers are not identical, you should ask your mover immediately why they are not. You should not allow the mover to load your household goods on its truck(s) until you obtain a satisfactory response from the mover's local agent. The discrepancies may warn of problems you will have later in your business dealings with this mover.</P> <HD SOURCE="HD1">How Must My Mover Handle Complaints and Inquiries?</HD> <P>All movers are expected to respond promptly to complaints or inquiries from you, the customer. Should you have a complaint or question about your move, you should first attempt to obtain a satisfactory response from the mover's local agent, the sales representative who handled the arrangements for your move, or the driver assigned to your shipment.</P> <P>If for any reason you are unable to obtain a satisfactory response from one of these persons, you should then contact the mover's principal office. When you make such a call, be sure to have available your copies of all documents relating to your move. <E T="03">Particularly important is the number assigned to your shipment by your mover.</E> </P> <P>Interstate movers are also required to offer neutral arbitration as a means of resolving consumer loss or damage disputes involving loss of or damage to household goods. Your mover is required to provide you with information regarding its arbitration program. You have the right to pursue court action under 49 U.S.C. 14706 to seek judicial redress directly rather than participate in your mover's arbitration program.</P> <P>All interstate moving companies are required to maintain a complaint and inquiry procedure to assist their customers. At the time you make the arrangements for your move, you should ask the mover's representative for a description of the mover's procedure, the telephone number to be used to contact the mover, and whether the mover will pay for such telephone calls. Your mover's procedure must include the following four things:</P> <P>(1) A communications system allowing you to communicate with your mover's principal place of business by telephone.</P> <P>(2) A telephone number.</P> <P>(3) A clear and concise statement about who must pay for complaint and inquiry telephone calls.</P> <P>(4) A written or electronic record system for recording all inquiries and complaints received from you by any means of communication.</P> <P>Your mover must give you a clear and concise written description of its procedure. You may want to be certain that the system is in place.</P> <HD SOURCE="HD1">Do I Have the Right to Inspect My Mover's Tariffs (Schedules of Charges) Applicable to My Move?</HD> <P>Federal law requires your mover to advise you of your right to inspect your mover's tariffs (its schedules of rates or charges) governing your shipment. Movers' tariffs are made a part of the contract of carriage (bill of lading) between you and the mover. You may inspect the tariff at the mover's facility, or, upon request, the mover will furnish you a free copy of any tariff provision containing the mover's rates, rules, or charges governing your shipment.</P> <P>Tariffs may include provisions limiting the mover's liability. This would generally be described in a section on declaring value on the bill of lading. A second tariff provision may set the periods for filing claims. This would generally be described in Section 6 on the reverse side of a bill of lading. A third tariff provision may reserve your mover's right to assess additional charges for additional services performed. For non-binding estimates, another tariff provision may base charges upon the exact weight of the goods transported. Your mover's tariff may contain other provisions that apply to your move. Ask your mover what they might be, and request a copy.</P> <HD SOURCE="HD1">Must My Mover Have an Arbitration Program?</HD> <P>Your mover must have an arbitration program for your use in resolving disputes concerning loss or damage to your household goods. You have the right not to participate in the arbitration program. You may pursue court action under 49 U.S.C. 14706 to seek judicial remedies directly. Your mover must establish and maintain an arbitration program with the following 11 minimum elements:</P> <P>(1) The arbitration program offered to you must prevent your mover from having any special advantage because you live or work in a place distant from the mover's principal or other place of business.</P> <P>(2) Before your household goods are tendered for transport, your mover must provide notice to you of the availability of neutral arbitration, including the following three things:</P> <P>(a) A summary of the arbitration procedure.</P> <P>(b) Any applicable costs.</P> <P>(c) A disclosure of the legal effects of electing to use arbitration.<PRTPAGE P="110"/> </P> <P>(3) Upon your request, your mover must provide information and forms it considers necessary for initiating an action to resolve a dispute under arbitration.</P> <P>(4) Each person authorized to arbitrate must be independent of the parties to the dispute and capable of resolving such disputes fairly and expeditiously. Your mover must ensure the arbitrator is authorized and able to obtain from you or your mover any material or relevant information to carry out a fair and expeditious decision-making process.</P> <P>(5) You must not be required to pay more than one-half of the arbitration's cost. The arbitrator may determine the percentage of payment of the costs for each party in the arbitration decision, but must not make you pay more than half.</P> <P>(6) Your mover must not require you to agree to use arbitration before a dispute arises.</P> <P>(7) You will be bound by arbitration for claims of $5,000 or less if you request arbitration.</P> <P>(8) You will be bound by arbitration for claims of more than $5,000 only if you request arbitration and your mover agrees to it.</P> <P>(9) If you and your mover both agree, the arbitrator may provide for an oral presentation of a dispute by a party or representative of a party.</P> <P>(10) The arbitrator must render a decision within 60 days of receipt of written notification of the dispute, and a decision by an arbitrator may include any remedies appropriate under the circumstances.</P> <P>(11) The 60-day period may be extended for a reasonable period if you fail, or your mover fails, to provide information in a timely manner.</P> <P>Your mover must produce and distribute a concise, easy-to-read, accurate summary of its arbitration program.</P> <HD SOURCE="HD1">Must My Mover Inform Me About My Rights and Responsibilities Under Federal Law?</HD> <P>Yes, your mover must inform you about your rights and responsibilities under Federal law. Your mover must produce and distribute this document. It should be in the general order and contain the text of appendix A to 49 CFR part 375.</P> <HD SOURCE="HD1">What Other Information Must My Mover Provide Me?</HD> <P>Before your mover executes an order for service for a shipment of household goods, your mover must furnish you with the following four documents:</P> <P>(1) The contents of appendix A, “Your Rights and Responsibilities When You Move”—this pamphlet.</P> <P>(2) A concise, easy-to-read, accurate summary of your mover's arbitration program.</P> <P>(3) A notice of availability of the applicable sections of your mover's tariff for the estimate of charges, including an explanation that you may examine the tariff sections or have copies sent to you upon request.</P> <P>(4) A concise, easy-to-read, accurate summary of your mover's customer complaint and inquiry handling procedures. Included in this summary must be the following two items:</P> <P>(a) The main telephone number you may use to communicate with your mover.</P> <P>(b) A clear and concise statement concerning who must pay for telephone calls.</P> <P>Your mover may, at its discretion, provide additional information to you.</P> <HD SOURCE="HD1">How Must My Mover Collect Charges?</HD> <P>Your mover must issue you an honest, truthful freight or expense bill for each shipment transported. Your mover's freight or expense bill must contain the following 19 items:</P> <P>(1) Name of the consignor.</P> <P>(2) Name of the consignees.</P> <P>(3) Date of the shipment.</P> <P>(4) Origin point.</P> <P>(5) Destination points.</P> <P>(6) Number of packages.</P> <P>(7) Description of the freight.</P> <P>(8) Weight of the freight (if applicable to the rating of the freight).</P> <P>(9) The volume of the freight (if applicable to the rating of the freight).</P> <P>(10) The measurement of the freight (if applicable to the rating of the freight).</P> <P>(11) Exact rate(s) assessed.</P> <P>(12) Disclosure of the actual rates, charges, and allowances for the transportation service, when your mover electronically presents or transmits freight or expense bills to you. These rates must be in accordance with the mover's applicable tariff.</P> <P>(13) An indication of whether adjustments may apply to the bill.</P> <P>(14) Total charges due and acceptable methods of payment.</P> <P>(15) The nature and amount of any special service charges.</P> <P>(16) The points where special services were rendered.</P> <P>(17) Route of movement and name of each mover participating in the transportation.</P> <P>(18) Transfer points where shipments moved.</P> <P>(19) Address where you must pay or address of bill issuer's principal place of business.</P> <P>Your mover must present its freight or expense bill to you within 15 days of the date of delivery of a shipment at its destination. The computation of time excludes Saturdays, Sundays, and Federal holidays. (Bills for charges exceeding 110 percent of a non-binding estimate, and for additional services <PRTPAGE P="111"/>requested or found necessary after the shipment is in transit, will be presented no sooner than 30 days after the date of delivery.)</P> <P>If your mover lacks sufficient information to compute its charges, your mover must present its freight bill for payment within 15 days of the date when sufficient information does become available.</P> <HD SOURCE="HD1">May My Mover Collect Charges Upon Delivery?</HD> <P>Yes. Your mover must specify the form of payment acceptable at delivery when the mover prepares an estimate and order for service. The mover and its agents must honor the form of payment at delivery, except when you mutually agree to a change in writing. The mover must also specify the same form of payment when it prepares your bill of lading, unless you agree to a change. See also “May my mover accept charge or credit cards for my payments?'</P> <P>You must be prepared to pay 10 percent more than the estimated amount, if your goods are moving under a non-binding estimate. Every collect-on-delivery shipper must have available 110 percent of the estimate at the time of delivery.</P> <HD SOURCE="HD1">May My Mover Extend Credit to Me?</HD> <P>Extending credit to you is not the same as accepting your charge or credit card(s) as payment. Your mover may extend credit to you in the amount of the tariff charges. If your mover extends credit to you, your mover becomes like a bank offering you a line of credit, whose size and interest rate are determined by your ability to pay its tariff charges within the credit period. Your mover must ensure you will pay its tariff charges within the credit period. Your mover may relinquish possession of freight before you pay its tariff charges, at its discretion.</P> <P>The credit period must begin on the day following presentation of your mover's freight bill to you. Under Federal regulation, the standard credit period is 7 days, excluding Saturdays, Sundays, and Federal holidays. Your mover must also extend the credit period to a total of 30 calendar days if the freight bill is not paid within the 7-day period. A service charge equal to one percent of the amount of the freight bill, subject to a $20 minimum, will be assessed for this extension <E T="03">and</E> for each additional 30-day period the charges go unpaid.</P> <P>Your failure to pay within the credit period will require your mover to determine whether you will comply with the Federal household goods transportation credit regulations in good faith in the future before extending credit again.</P> <HD SOURCE="HD1">May My Mover Accept Charge or Credit Cards for My Payments?</HD> <P>Your mover may allow you to use a charge or credit card for payment of the freight charges. Your mover may accept charge or credit cards whenever you ship with it under an agreement and tariff requiring payment by cash or cash equivalents. Cash equivalents are a certified check, money order, or cashier's check (a check that a financial institution—bank, credit union, savings and loan—draws upon itself and that is signed by an officer of the financial institution).</P> <P>If your mover allows you to pay for a freight or expense bill by charge or credit card, your mover deems such a payment to be equivalent to payment by cash, certified check, or cashier's check. It must note in writing on the order for service and the bill of lading whether you may pay for the transportation and related services using a charge or credit card. You should ask your mover at the time the estimate is written whether it will accept charge or credit cards at delivery.</P> <P>The mover must specify what charge or credit cards it will accept, such as American Express<E T="51">TM</E>, Discover<E T="51">TM</E>, MasterCard<E T="51">TM</E>, or Visa<E T="51">TM</E>. If your mover agrees to accept payment by charge or credit card, you must arrange with your mover for the delivery only at a time when your mover can obtain authorization for your credit card transaction.</P> <P>If you cause a charge or credit card issuer to reverse a transaction, your mover may consider your action tantamount to forcing your mover to provide an involuntary extension of its credit.</P> <HD SOURCE="HD1">Subpart C—Service Options Provided</HD> <HD SOURCE="HD1">What Service Options May My Mover Provide?</HD> <P>Your mover may provide any service options it chooses. It is customary for movers to offer several price and service options.</P> <P>The total cost of your move may increase if you want additional or special services. Before you agree to have your shipment moved under a bill of lading providing special service, you should have a clear understanding with your mover of what the additional cost will be. You should always consider whether other movers may provide the services you require without requiring you to pay the additional charges.</P> <P>One service option is a <E T="03">space reservation.</E> If you agree to have your shipment transported under a space reservation agreement, you will pay for a minimum number of cubic feet of space in the moving van regardless of how much space in the van your shipment actually occupies.</P> <P>A second option is <E T="03">expedited service.</E> This aids you if you must have your shipments transported on or between specific dates <PRTPAGE P="112"/>when the mover could not ordinarily agree to do so in its normal operations.</P> <P>A third customary service option is <E T="03">exclusive use of a vehicle.</E> If for any reason you desire or require that your shipment be moved by itself on the mover's truck or trailer, most movers will provide such service.</P> <P>Another service option is <E T="03">guaranteed service on or between agreed dates.</E> You enter into an agreement with the mover where the mover provides for your shipment to be picked up, transported to destination, and delivered on specific guaranteed dates. If the mover fails to provide the service as agreed, you are entitled to be compensated at a predetermined amount or a daily rate (per diem) regardless of the expense you might actually have incurred as a result of the mover's failure to perform.</P> <P>Before requesting or agreeing to any of these price and service options, be sure to ask the mover's representatives about the final costs you will pay.</P> <HD SOURCE="HD2">Transport of Shipments on Two or More Vehicles</HD> <P>Although all movers try to move each shipment on one truck, it becomes necessary, at times, to divide a shipment among two or more trucks. This may occur if your mover has underestimated the cubic feet (meters) of space required for your shipment and it will not all fit on the first truck. Your mover will pick up the remainder, or “leave behind,” on a second truck at a later time, and this part of your shipment may arrive at the destination later than the first truck. When this occurs, your transportation charges will be determined as if the entire shipment had moved on one truck.</P> <P>If it is important for you to avoid this inconvenience of a “leave behind,” be sure your estimate includes an accurate calculation of the cubic feet (meters) required for your shipment. Ask your estimator to use a “Table of Measurements” form in making this calculation. Consider asking for a binding estimate. A binding estimate is more likely to be conservative with regard to cubic feet (meters) than a non-binding estimate. If the mover offers space reservation service, consider purchasing this service for the necessary amount of space plus some margin for error. In any case, you would be prudent to “prioritize” your goods in advance of the move so the driver will load the more essential items on the first truck if some are left behind.</P> <HD SOURCE="HD1">If My Mover Sells Liability Insurance Coverage, What Must My Mover Do?</HD> <P>If your mover provides the service of selling additional liability insurance, your mover must follow certain regulations.</P> <P>Your mover, its employees, or its agents, may sell, offer to sell, or procure additional liability insurance coverage for you for loss or damage to your shipment if you release the shipment for transportation at a value not exceeding 60 cents per pound ($1.32 per kilogram) per article.</P> <P>Your mover may offer, sell, or procure any type of insurance policy covering loss or damage in excess of its specified liability.</P> <P>Your mover must issue you a policy or other appropriate evidence of the insurance you purchased. Your mover must provide a copy of the policy or other appropriate evidence to you at the time your mover sells or procures the insurance. Your mover must issue policies written in plain English.</P> <P>Your mover must clearly specify the nature and extent of coverage under the policy. Your mover's failure to issue you a policy, or other appropriate evidence of insurance you purchased, will subject your mover to full liability for any claims to recover loss or damage attributed to it.</P> <P>Your mover's tariff must provide for liability insurance coverage. The tariff must also provide for the base transportation charge, including its assumption of full liability for the value of the shipment. This would offer you a degree of protection in the event your mover fails to issue you a policy or other appropriate evidence of insurance at the time of purchase.</P> <HD SOURCE="HD1">Subpart D—Estimating Charges</HD> <HD SOURCE="HD1">Must My Mover Estimate the Transportation and Accessorial Charges for My Move?</HD> <P>We require your mover to prepare a written estimate on every shipment transported for you. You are entitled to a copy of the written estimate when your mover prepares it. Your mover must provide you a written estimate of all charges, including transportation, accessorial, and advance charges. Your mover's “rate quote” is not an estimate. You and your mover must sign the estimate of charges. Your mover must provide you with a dated copy of the estimate of charges at the time you sign the estimate.</P> <P>You should be aware that if you receive an estimate from a household goods broker, the mover is not required to accept the estimate. Be sure to obtain a written estimate from the mover if a mover tells you orally that it will accept the broker's estimate.</P> <P>Your mover must specify the form of payment the mover and its delivering agent will honor at delivery. Payment forms may include but are not limited to cash, certified check, money order, cashier s check, a specific charge card such as American Express <E T="51">TM</E>, a specific credit card such as Visa <E T="51">TM</E>, and your mover s own credit.</P> <P>If your mover provides you with an estimate based on volume that will later be converted to a weight-based rate, the mover must provide you an explanation in writing <PRTPAGE P="113"/>of the formula used to calculate the conversion to weight. Your mover must specify that the final charges will be based on actual weight and services. Before loading your household goods, and upon mutual agreement between you and your mover, your mover may amend an estimate of charges. Your mover may not amend the estimate after loading the shipment.</P> <P>A <E T="03">binding estimate</E> is an agreement made in advance with your mover. It guarantees the total cost of the move based upon the quantities and services shown on your mover's estimate.</P> <P>A <E T="03">non-binding estimate</E> is what your mover believes the total cost will be for the move, based upon the estimated weight of the shipment and the accessorial services requested. A non-binding estimate is not binding on your mover. Your mover will base the final charges upon the actual weight of your shipment, the services provided, and its tariff provisions in effect. You must be prepared to pay 10 percent more than the estimated amount at delivery.</P> <HD SOURCE="HD1">How Must My Mover Estimate Charges Under the Regulations?</HD> <HD SOURCE="HD2">Binding Estimates</HD> <P>Your mover may charge you for providing a binding estimate. The binding estimate must clearly describe the shipment and all services provided.</P> <P>When you receive a binding estimate, you cannot be required to pay any more than the estimated amount at delivery. If you have requested the mover provide more services than those included in the estimate, the mover must not demand full payment for those added services at time of delivery. Instead, the mover must bill for those services later, as explained below. Such services might include destination charges that often are not known at origin (such as long carry charges, shuttle charges, or extra stair carry charges).</P> <P>A binding estimate must be in writing, and a copy must be made available to you before you move.</P> <P>If you agree to a binding estimate, you are responsible for paying the charges due by cash, certified check, money order, or cashier's check. The charges are due your mover at the time of delivery unless your mover agrees, before you move, to extend credit or to accept payment by a specific charge card such as American Express <E T="51">TM</E> or a specific credit card such as Visa <E T="51">TM</E>. If you are unable to pay at the time the shipment is delivered, the mover may place your shipment in storage at your expense until you pay the charges.</P> <P>Other requirements of binding estimates include the following eight elements:</P> <P>(1) Your mover must retain a copy of each binding estimate as an attachment to the bill of lading.</P> <P>(2) Your mover must clearly indicate upon each binding estimate's face that the estimate is binding upon you and your mover. Each binding estimate must also clearly indicate on its face that the charges shown are the charges to be assessed for only those services specifically identified in the estimate.</P> <P>(3) Your mover must clearly describe binding estimate shipments and all services to be provided.</P> <P>(4) If, before loading your shipment, your mover believes you are tendering additional household goods or are requiring additional services not identified in the binding estimate, and you and your mover cannot reach an agreement, your mover may refuse to service the shipment. If your mover agrees to service the shipment, your mover must do one of the following three things:</P> <P>(a) Reaffirm the binding estimate.</P> <P>(b) Negotiate a revised written binding estimate listing the additional household goods or services.</P> <P>(c) Add an attachment to the contract, in writing, stating you both will consider the original binding estimate as a non-binding estimate. You should read more below. This may seriously affect how much you may pay for the entire move.</P> <P>(5) Once your mover loads your shipment, your mover's failure to execute a new binding estimate or to agree with you to treat the original estimate as a non-binding estimate signifies it has reaffirmed the original binding estimate. Your mover may not collect more than the amount of the original binding estimate, except as provided in the next two paragraphs.</P> <P>(6) Your mover may believe additional services are necessary to properly service your shipment after your household goods are in transit. Your mover must inform you what the additional services are before performing them. Your mover must allow you at least one hour to determine whether you want the additional services performed. Such additional services include carrying your furniture up additional stairs or using an elevator. If these services do not appear on your mover's estimate, your mover must deliver your shipment and bill you later for the additional services.</P> <P>If you agree to pay for the additional services, your mover must execute a written attachment to be made an integral part of the bill of lading and have you sign the written attachment. This may be done through fax transmissions. You will be billed for the additional services 30 days following the date of delivery.</P> <P>(7) If you add additional services after your household goods are in transit, you will be billed for the additional services but only be <PRTPAGE P="114"/>expected to pay the full amount of the binding estimate to receive delivery. Your mover must bill you for the balance of any remaining charges for these additional services no sooner than 30 days after delivery. For example, if your binding estimate shows total charges at delivery should be $1,000 but your actual charges at destination are $1,500, your mover must deliver the shipment upon payment of $1,000. The mover must bill you for the remaining $500 no sooner than 30 days after the date of delivery.</P> <P>(8) Failure of your mover to relinquish possession of a shipment upon your offer to pay the binding estimate amount constitutes your mover's failure to transport a shipment with “reasonable dispatch” and subjects your mover to cargo delay claims pursuant to 49 CFR part 370.</P> <HD SOURCE="HD2">Non-Binding Estimates</HD> <P>Your mover is not permitted to charge you for giving a non-binding estimate.</P> <P>A non-binding estimate is not a bid or contract. Your mover provides it to you to give you a general idea of the cost of the move, but it does not bind your mover to the estimated cost. You should expect the final cost to be more than the estimate. The actual cost will be in accordance with your mover's tariffs. Federal law requires your mover to collect the charges shown in its tariffs, regardless of what your mover writes in its non-binding estimates. That is why it is important to ask for copies of the applicable portions of the mover's tariffs before deciding on a mover. The charges contained in movers' tariffs are essentially the same for the same weight shipment moving the same distance. If you obtain different non-binding estimates from different movers, you must pay only the amount specified in your mover's tariff. Therefore, a non-binding estimate may have no effect on the amount that you will ultimately have to pay.</P> <P>You must be prepared to pay 10 percent more than the estimated amount at the time of delivery. Every collect-on-delivery shipper must have available 110 percent of the estimate at the time of delivery. If you order additional services from your mover after your goods are in transit, the mover will then bill you 30 days after delivery for any remaining charges.</P> <P>Non-binding estimates must be in writing and clearly describe the shipment and all services provided. Any time a mover provides such an estimate, the amount of the charges estimated must be on the order for service and bill of lading related to your shipment. When you are given a non-binding estimate, do not sign or accept the order for service or bill of lading unless the mover enters the amount estimated on each form it prepares.</P> <P>Other requirements of non-binding estimates include the following 10 elements:</P> <P>(1) Your mover must provide reasonably accurate non-binding estimates based upon the estimated weight of the shipment and services required.</P> <P>(2) Your mover must explain to you that all charges on shipments moved under non-binding estimates will be those appearing in your mover's tariffs applicable to the transportation. If your mover provides a non-binding estimate of approximate costs, your mover is not bound by such an estimate.</P> <P>(3) Your mover must furnish non-binding estimates without charge and in writing to you.</P> <P>(4) Your mover must retain a copy of each non-binding estimate as an attachment to the bill of lading.</P> <P>(5) Your mover must clearly indicate on the face of a non-binding estimate that the estimate is not binding upon your mover and the charges shown are the approximate charges to be assessed for the services identified in the estimate.</P> <P>(6) Your mover must clearly describe on the face of a non-binding estimate the entire shipment and all services to be provided.</P> <P>(7) If, before loading your shipment, your mover believes you are tendering additional household goods or requiring additional services not identified in the non-binding estimate, and you and your mover cannot reach an agreement, your mover may refuse to service the shipment. If your mover agrees to service the shipment, your mover must do one of the following two things:</P> <P>(a) Reaffirm the non-binding estimate.</P> <P>(b) Negotiate a revised written non-binding estimate listing the additional household goods or services.</P> <P>(8) Once your mover loads your shipment, your mover's failure to execute a new estimate signifies it has reaffirmed the original non-binding estimate. Your mover may not collect more than 110 percent of the amount of this estimate at destination.</P> <P>(9) Your mover may believe additional services are necessary to properly service your shipment after your household goods are in transit. Your mover must inform you what the additional services are before performing them. Your mover must allow you at least one hour to determine whether you want the additional services performed. Such additional services include carrying your furniture up additional stairs or using an elevator. If these services do not appear on your mover's estimate, your mover must deliver your shipment and bill you later for the additional services.</P> <P>If you agree to pay for the additional services, your mover must execute a written attachment to be made an integral part of the bill of lading and have you sign the written attachment. This may be done through fax transmissions. You will be billed for the additional services after 30 days from delivery.<PRTPAGE P="115"/> </P> <P>(10) If you add additional services after your household goods are in transit, you will be billed for the additional services. To receive delivery, however, you are required to pay no more than 110 percent of the non-binding estimate. At least 30 days after delivery, your mover must bill you for any remaining balance, including the additional services you requested. For example, if your non-binding estimate shows total charges at delivery should be $1,000 but your actual charges at destination are $1,500, your mover must deliver the shipment upon payment of $1,100. The mover must bill you for the remaining $400 no sooner than 30 days after the date of delivery.</P> <P>If your mover furnishes a non-binding estimate, your mover must enter the estimated charges upon the order for service and upon the bill of lading.</P> <P>Your mover must retain a record of all estimates of charges for each move performed for at least one year from the date your mover made the estimate.</P> <HD SOURCE="HD1">What Payment Arrangements Must My Mover Have in Place To Secure Delivery of My Household Goods Shipment?</HD> <P>If your total bill is 110 percent or less of the non-binding estimate, the mover can require payment in full upon delivery. If the bill exceeds 110 percent of the non-binding estimate, your mover must relinquish possession of the shipment at the time of delivery upon payment of 110 percent of the estimated amount. Your mover should have specified its acceptable form of payment on the estimate, order for service, and bill of lading. Your mover's failure to relinquish possession of a shipment after you offer to pay 110 percent of the estimated charges constitutes its failure to transport the shipment with “reasonable dispatch” and subjects your mover to your cargo delay claims under 49 CFR part 370.</P> <P>Your mover must bill for the payment of the balance of any remaining charges after 30 days from delivery.</P> <HD SOURCE="HD1">Subpart E—Pickup of My Shipment of Household Goods</HD> <P>Must My Mover Write Up an Order for Service?</P> <P>We require your mover to prepare an order for service on every shipment transported for you. You are entitled to a copy of the order for service when your mover prepares it.</P> <P>The order for service is not a contract. Should you cancel or delay your move or if you decide not to use the mover, you should promptly cancel the order.</P> <P>If you or your mover change any agreed-upon dates for pickup or delivery of your shipment, or agree to any change in the non-binding estimate, your mover may prepare a written change to the order for service. The written change must be attached to the order for service.</P> <P>The order for service must contain the following 15 elements:</P> <P>(1) Your mover's name and address and the USDOT number assigned to your mover.</P> <P>(2) Your name, address and, if available, telephone number(s).</P> <P>(3) The name, address, and telephone number of the delivering mover's office or agent at or nearest to the destination of your shipment.</P> <P>(4) A telephone number where you may contact your mover or its designated agent.</P> <P>(5) One of the following three dates and times:</P> <P>(i) The agreed-upon pickup date and agreed delivery date of your move.</P> <P>(ii) The agreed-upon period(s) of the entire move.</P> <P>(iii) If your mover is transporting the shipment on a guaranteed service basis, the guaranteed dates or periods of time for pickup, transportation, and delivery. Your mover must enter any penalty or per diem requirements upon the agreement under this item.</P> <P>(6) The names and addresses of any other motor carriers, when known, that will participate in interline transportation of the shipment.</P> <P>(7) The form of payment your mover will honor at delivery. The payment information must be the same as was entered on the estimate.</P> <P>(8) The terms and conditions for payment of the total charges, including notice of any minimum charges.</P> <P>(9) The maximum amount your mover will demand at the time of delivery to obtain possession of the shipment, when transported on a collect-on-delivery basis.</P> <P>(10) If not provided in the bill of lading, the Surface Transportation Board's required released rates valuation statement, and the charges, if any, for optional valuation coverage. The STB's required released rates may be increased annually by your mover based on the U.S. Department of Commerce's Cost of Living Adjustment.</P> <P>(11) A complete description of any special or accessorial services ordered and minimum weight or volume charges applicable to the shipment.</P> <P>(12) Any identification or registration number your mover assigns to the shipment.</P> <P>(13) For non-binding estimated charges, your mover's reasonably accurate estimate of the amount of the charges, the method of payment of total charges, and the maximum amount (110 percent of the non-binding estimate) your mover will demand at the time of delivery for you to obtain possession of the shipment.</P> <P>(14) For binding estimated charges, the amount of charges your mover will demand based upon the binding estimate and the terms of payment under the estimate.<PRTPAGE P="116"/> </P> <P>(15) An indication of whether you request notification of the charges before delivery. You must provide your mover with the telephone number(s) or address(es) where your mover will transmit such communications.</P> <P>You and your mover must sign the order for service. Your mover must provide a dated copy of the order for service to you at the time your mover signs the order. Your mover must provide you the opportunity to rescind the order for service without any penalty for a three-day period after you sign the order for service, if you scheduled the shipment to be loaded more than three days after you sign the order.</P> <P>Your mover should provide you with documents that are as complete as possible, and with all charges clearly identified. However, as a practical matter, your mover usually cannot give you a complete bill of lading before transporting your goods. This is both because the shipment cannot be weighed until it is in transit and because other charges for service, such as unpacking, storage-in-transit, and various destination charges, cannot be determined until the shipment reaches its destination.</P> <P>Therefore, your mover can require you to sign a partially complete bill of lading if it contains all relevant information except the actual shipment weight and any other information necessary to determine the final charges for all services provided. Signing the bill of lading allows you to choose the valuation option, request special services, and/or acknowledge the terms and conditions of released valuation.</P> <P>Your mover also may provide you, strictly for informational purposes, with blank or incomplete documents pertaining to the move.</P> <P>Before loading your shipment, and upon mutual agreement of both you and your mover, your mover may amend an order for service. Your mover must retain records of an order for service it transported for at least one year from the date your mover wrote the order.</P> <P>Your mover must inform you, before or at the time of loading, if the mover reasonably expects a special or accessorial service is necessary to transport a shipment safely. Your mover must refuse to accept the shipment when your mover reasonably expects a special or accessorial service is necessary to transport a shipment safely, but you refuse to purchase the special or accessorial service. Your mover must make a written note if you refuse any special or accessorial services that your mover reasonably expects to be necessary.</P> <HD SOURCE="HD1">Must My Mover Write Up an Inventory of the Shipment?</HD> <P>Yes. Your mover must prepare an inventory of your shipment before or at the time of loading. If your mover's driver fails to prepare an inventory, you should write a detailed inventory of your shipment listing any damage or unusual wear to any items. The purpose is to make a record of the existence and condition of each item.</P> <P>After completing the inventory, you should sign each page and ask the mover's driver to sign each page. Before you sign it, it is important you make sure that the inventory lists every item in the shipment and that the entries regarding the condition of each item are correct. You have the right to note any disagreement. If an item is missing or damaged when your mover delivers the shipment, your subsequent ability to dispute the items lost or damaged may depend upon your notations.</P> <P>You should retain a copy of the inventory. Your mover may keep the original if the driver prepared it. If your mover's driver completed an inventory, the mover must attach the complete inventory to the bill of lading as an integral part of the bill of lading.</P> <HD SOURCE="HD1">Must My Mover Write Up a Bill of Lading?</HD> <P>The bill of lading is the <E T="03">contract</E> between you and the mover. The mover is required by law to prepare a bill of lading for every shipment it transports. <E T="03">The information on a bill of lading is required to be the same information shown on the order for service.</E> The driver who loads your shipment must give you a copy of the bill of lading before or at the time of loading your furniture and other household goods.</P> <P> <E T="03">It is your responsibility to read the bill of lading before you accept it.</E> It is your responsibility to understand the bill of lading before you sign it. If you do not agree with something on the bill of lading, do not sign it until you are satisfied it is correct.</P> <P>The bill of lading requires the mover to provide the service you have requested. You must pay the charges set forth in the bill of lading.</P> <P> <E T="03">The bill of lading is an important document. Do not lose or misplace your copy.</E> Have it available until your shipment is delivered, all charges are paid, and all claims, if any, are settled.</P> <P>A bill of lading must include the following 14 elements:</P> <P>(1) Your mover's name and address, or the name and address of the motor carrier issuing the bill of lading.</P> <P>(2) The names and addresses of any other motor carriers, when known, who will participate in the transportation of the shipment.</P> <P>(3) The name, address, and telephone number of the office of the motor carrier you must contact in relation to the transportation of the shipment.</P> <P>(4) The form of payment your mover will honor at delivery. The payment information <PRTPAGE P="117"/>must be the same that was entered on the estimate and order for service.</P> <P>(5) When your mover transports your shipment under a collect-on-delivery basis, your name, address, and telephone number where the mover will notify you about the charges.</P> <P>(6) <E T="03">For non-guaranteed service,</E> the agreed-upon date or period of time for pickup of the shipment and the agreed-upon date or period of time for the delivery of the shipment. The agreed-upon dates or periods for pickup and delivery entered upon the bill of lading must conform to the agreed-upon dates or periods of time for pickup and delivery entered upon the order for service or a proper amendment to the order for service.</P> <P>(7) For <E T="03">guaranteed service,</E> the dates for pickup and delivery and any penalty or per diem entitlements due you under the agreement.</P> <P>(8) The actual date of pickup.</P> <P>(9) The identification number(s) of the vehicle(s) in which your mover loads your shipment.</P> <P>(10) The terms and conditions for payment of the total charges including notice of any minimum charges.</P> <P>(11) The maximum amount your mover will demand from you at the time of delivery for you to obtain possession of your shipment, when your mover transports under a collect-on-delivery basis.</P> <P>(12) If not provided in the order for service, the Surface Transportation Board's required released rates valuation statement, and the charges, if any, for optional valuation coverage. The Board's required released rates may be increased annually by your mover based on the U.S. Department of Commerce's Cost of Living Adjustment.</P> <P>(13) Evidence of any insurance coverage sold to or procured for you from an independent insurer, including the amount of the premium for such insurance.</P> <P>(14) Each attachment to the bill of lading. Each attachment is an integral part of the bill of lading contract. If not provided to you elsewhere by the mover, the following three items must be added as attachments:</P> <P>(i) The binding or non-binding estimate.</P> <P>(ii) The order for service.</P> <P>(iii) The inventory.</P> <P>A copy of the bill of lading must accompany your shipment at all times while in the possession of your mover or its agent(s). When your mover loads the shipment on a vehicle for transportation, the bill of lading must be in the possession of the driver responsible for the shipment. Your mover must retain bills of lading for shipments it transported for at least one year from the date your mover created the bill of lading.</P> <HD SOURCE="HD1">Should I Reach an Agreement With My Mover About Pickup and Delivery Times?</HD> <P>You and your mover should reach an agreement for pickup and delivery times. It is your responsibility to determine on what date, or between what dates, you need to have the shipment picked up and on what date, or between what dates, you require delivery. It is your mover's responsibility to tell you if it can provide service on or between those dates, or, if not, on what other dates it can provide the service.</P> <P>In the process of reaching an agreement with your mover, you may find it necessary to alter your moving and travel plans if no mover can provide service on the specific dates you desire.</P> <P>Do not agree to have your shipment picked up or delivered “as soon as possible.” The dates or periods you and your mover agree upon should be definite.</P> <P>Once an agreement is reached, your mover must enter those dates upon the order for service and the bill of lading.</P> <P>Once your goods are loaded, your mover is contractually bound to provide the service described in the bill of lading. Your mover's only defense for not providing the service on the dates called for is the defense of force majeure. This is a legal term. It means that when circumstances change, were not foreseen, and are beyond the control of your mover, preventing your mover from performing the service agreed to in the bill of lading, your mover is not responsible for damages resulting from its nonperformance.</P> <P>This may occur when you do not inform your mover of the exact delivery requirements. For example, because of restrictions trucks must follow at your new location, the mover may not be able to take its truck down the street of your residence and may need to shuttle the shipment using another type of vehicle.</P> <HD SOURCE="HD1">Must My Mover Determine the Weight of My Shipment?</HD> <P>Generally, yes. If your mover transports your household goods on a non-binding estimate under the mover's tariffs based upon weight, your mover must determine the weight of the shipment. If your mover provided a binding estimate and has loaded your shipment without claiming you have added additional items or services, the weight of the shipment will not affect the charges you will pay. If your mover is transporting your shipment based upon the volume of the shipment—that is, a set number of cubic feet (or yards or meters)—the weight of the shipment likewise will not affect the charges you will pay.</P> <P>Your mover must determine the weight of your shipment before requesting you to pay for any charges dependent upon your shipment's weight.</P> <P>Most movers have a minimum weight or volume charge for transporting a shipment. Generally, the minimum is the charge for transporting a shipment of at least 3,000 pounds (1,362 kilograms).<PRTPAGE P="118"/> </P> <P>If your shipment appears to weigh less than the mover's minimum weight, your mover must advise you on the order for service of the minimum cost before transporting your shipment. Should your mover fail to advise you of the minimum charges and your shipment is less than the minimum weight, your mover must base your final charges upon the actual weight, not upon the minimum weight.</P> <HD SOURCE="HD1">How Must My Mover Determine the Weight of My Shipment?</HD> <P>Your mover must weigh your shipment upon a certified scale.</P> <P>The weight of your shipment must be obtained by using one of two methods.</P> <P> <E T="03">Origin Weighing</E>—Your mover may weigh your shipment in the city or area where it loads your shipment. If it elects this option, the driver must weigh the truck before coming to your residence. This is called the <E T="03">tare weight.</E> At the time of this first weighing, the truck may already be partially loaded with another shipment(s). This will not affect the weight of your shipment. The truck should also contain the pads, dollies, hand trucks, ramps, and other equipment normally used in the transportation of household goods shipments.</P> <P>After loading, the driver will weigh the truck again to obtain the loaded weight, called the <E T="03">gross weight.</E> The net weight of your shipment is then obtained by subtracting the <E T="03">tare weight</E> before loading from the <E T="03">gross weight.</E> </P> <P>Gross Weight − Tare Weight Before Loading = Net Weight.</P> <P> <E T="03">Destination Weighing</E> (Also called <E T="03">Back Weighing</E>)—The mover is also permitted to determine the weight of your shipment at the destination after it delivers your load. Weighing your shipment at destination instead of at origin will not affect the accuracy of the shipment weight. <E T="03">The most important difference is that your mover will not determine the exact charges on your shipment before it is unloaded.</E> </P> <P>Destination weighing is done in reverse of origin weighing. After arriving in the city or area where you are moving, the driver will weigh the truck. Your shipment will still be on the truck. Your mover will determine the <E T="03">gross weight</E> before coming to your new residence to unload. After unloading your shipment, the driver will again weigh the truck to obtain the <E T="03">tare weight.</E> The net weight of your shipment will then be obtained by subtracting the <E T="03">tare weight</E> after delivery from the <E T="03">gross weight.</E> </P> <P>Gross Weight − Tare Weight After Delivery = Net Weight.</P> <P>At the time of both weighings, your mover's truck must have installed or loaded all pads, dollies, hand trucks, ramps, and other equipment required in the transportation of your shipment. The driver and other persons must be off the vehicle at the time of both weighings. The fuel tanks on the vehicle must be full at the time of each weighing. In lieu of this requirement, your mover must not add fuel between the two weighings when the tare weighing is the first weighing performed.</P> <P>Your mover may detach the trailer of a tractor-trailer vehicle combination from the tractor and have the trailer weighed separately at each weighing provided the length of the scale platform is adequate to accommodate and support the entire trailer.</P> <P>Your mover may use an alternative method to weigh your shipment if it weighs 3,000 pounds (1,362 kilograms) or less. The only alternative method allowed is weighing the shipment upon a platform or warehouse certified scale before loading your shipment for transportation or after unloading.</P> <P>Your mover must use the net weight of shipments transported in large containers, such as ocean or railroad containers. Your mover will calculate the difference between the tare weight of the container (including all pads, blocking and bracing used in the transportation of your shipment) and the gross weight of the container with your shipment loaded in the container.</P> <P>You have the right, and your mover must inform you of your right, to observe all weighings of your shipment. Your mover must tell you where and when each weighing will occur. Your mover must give you a reasonable opportunity to be present to observe the weighings.</P> <P>You may waive your right to observe any weighing or reweighing. This does not affect any of your other rights under Federal law.</P> <P>Your mover may request you waive your right to have a shipment weighed upon a certified scale. Your mover may want to weigh the shipment upon a trailer's on-board, noncertified scale. You should demand your right to have a certified scale used. The use of a noncertified scale may cause you to pay a higher final bill for your move, if the noncertified scale does not accurately weigh your shipment. Remember that certified scales are inspected and approved for accuracy by a government inspection or licensing agency. Noncertified scales are not inspected and approved for accuracy by a government inspection or licensing agency.</P> <P>Your mover must obtain a separate weight ticket for each weighing. The weigh master must sign each weight ticket. Each weight ticket must contain the following six items:</P> <P>(1) The complete name and location of the scale.</P> <P>(2) The date of each weighing.</P> <P>(3) Identification of the weight entries as being the tare, gross, or net weights.</P> <P>(4) The company or mover identification of the vehicle.</P> <P>(5) Your last name as it appears on the Bill of Lading.<PRTPAGE P="119"/> </P> <P>(6) Your mover's shipment registration or Bill of Lading number.</P> <P>Your mover must retain the original weight ticket or tickets relating to the determination of the weight of your shipment as part of its file on your shipment.</P> <P>When both weighings are performed on the same scale, one weight ticket may be used to record both weighings.</P> <P>Your mover must present all freight bills with true copies of all weight tickets. If your mover does not present its freight bill with all weight tickets, your mover is in violation of Federal law.</P> <P>Before the driver actually begins unloading your shipment weighed at origin and after your mover informs you of the billing weight and total charges, you have the right to demand a reweigh of your shipment. If you believe the weight is not accurate, you have the right to request your mover reweigh your shipment before unloading.</P> <P>You have the right, and your mover must inform you of your right, to observe all reweighings of your shipment. Your mover must tell you where and when each reweighing will occur. Your mover must give you a reasonable opportunity to be present to observe the reweighings.</P> <P>You may waive your right to observe any reweighing; however, you must waive that right in writing. You may send the written waiver via fax or e-mail, as well as by overnight courier or certified mail, return receipt requested. This does not affect any of your other rights under Federal law.</P> <P>Your mover is prohibited from charging you for the reweighing. If the weight of your shipment at the time of the reweigh is different from the weight determined at origin, your mover must recompute the charges based upon the reweigh weight.</P> <P>Before requesting a reweigh, you may find it to your advantage to estimate the weight of your shipment using the following three-step method:</P> <P>1. Count the number of items in your shipment. Usually there will be either 30 or 40 items listed on each page of the inventory. For example, if there are 30 items per page and your inventory consists of four complete pages and a fifth page with 15 items listed, the total number of items will be 135. <E T="03">If an automobile is listed on the inventory, do not include this item in the count of the total items.</E> </P> <P>2. Subtract the weight of any automobile included in your shipment from the total weight of the shipment. If the automobile was not weighed separately, its weight can be found on its title or license receipt.</P> <P>3. Divide the number of items in your shipment into the weight. If the average weight resulting from this exercise ranges between 35 and 45 pounds (16 and 20 kilograms) per article, it is unlikely a reweigh will prove beneficial to you. In fact, it could result in your paying higher charges.</P> <P>Experience has shown that the average shipment of household goods will weigh about 40 pounds (18 kilograms) per item. If a shipment contains a large number of heavy items, such as cartons of books, boxes of tools or heavier than average furniture, the average weight per item may be 45 pounds or more (20 kilograms or more).</P> <HD SOURCE="HD1">What Must My Mover Do if I Want To Know the Actual Weight or Charges for My Shipment Before Delivery?</HD> <P>If you request notification of the actual weight or volume and charges upon your shipment, your mover must comply with your request if it is moving your goods on a collect-on-delivery basis. This requirement is conditioned upon your supplying your mover with an address or telephone number where you will receive the communication. Your mover must make its notification by telephone; fax transmissions; e-mail; overnight courier; certified mail, return receipt requested; or in person.</P> <P>You must receive the mover's notification at least one full 24-hour day before its scheduled delivery, excluding Saturdays, Sundays, and Federal holidays.</P> <P>Your mover may disregard this 24-hour notification requirement on shipments subject to one of the following three things:</P> <P>(1) Back weigh (when your mover weighs your shipment at its destination).</P> <P>(2) Pickup and delivery encompassing two consecutive weekdays, if you agree.</P> <P>(3) Maximum payment amounts at time of delivery of 110 percent of the estimated charges, if you agree.</P> <HD SOURCE="HD1">Subpart F—Transportation of My Shipment</HD> <HD SOURCE="HD1">Must My Mover Transport the Shipment in a Timely Manner?</HD> <P>Yes, your mover must transport your household goods in a timely manner. This is also known as “reasonable dispatch service.” Your mover must provide reasonable dispatch service to you, except for transportation on the basis of guaranteed delivery dates.</P> <P>When your mover is unable to perform either the pickup or delivery of your shipment on the dates or during the periods of time specified in the order for service, your mover must notify you of the delay, at the mover's expense. As soon as the delay becomes apparent to your mover, it must give you notification it will be unable to provide the service specified in the terms of the order for service. Your mover may notify you of the delay in any of the following ways: by telephone; fax transmissions; e-mail; overnight courier; certified mail, return receipt requested; or in person.</P> <P>When your mover notifies you of a delay, it also must advise you of the dates or periods <PRTPAGE P="120"/>of time it may be able to pick up and/or deliver the shipment. Your mover must consider your needs in its advisement.</P> <P>Your mover must prepare a written record of the date, time, and manner of its notification. Your mover must prepare a written record of its amended date or period for delivery. Your mover must retain these records as a part of its file on your shipment. The retention period is one year from the date of notification. Your mover must furnish a copy of the notification to you either by first class mail or in person, if you request a copy of the notice.</P> <P>Your mover must tender your shipment for delivery on the agreed-upon delivery date or within the period specified on the bill of lading. Upon your request or concurrence, your mover may deliver your shipment on another day.</P> <P>The establishment of a delayed pickup or delivery date does not relieve your mover from liability for damages resulting from your mover's failure to provide service as agreed. However, when your mover notifies you of alternate delivery dates, it is your responsibility to be available to accept delivery on the dates specified. If you are not available and are not willing to accept delivery, your mover has the right to place your shipment in storage at your expense or hold the shipment on its truck and assess additional charges.</P> <P>If after the pickup of your shipment, <E T="03">you</E> request your mover to change the delivery date, most movers will agree to do so provided your request will not result in unreasonable delay to its equipment or interfere with another customer's move. However, your mover is under no obligation to consent to amended delivery dates. Your mover has the right to place your shipment in storage at your expense if you are unwilling or unable to accept delivery on the date agreed to in the bill of lading.</P> <P>If your mover fails to pick up and deliver your shipment on the date entered on the bill of lading and you have expenses you otherwise would not have had, you may be able to recover those expenses from your mover. This is what is called an inconvenience or delay claim. Should your mover refuse to honor such a claim and you continue to believe you are entitled to be paid damages, you may take your mover to court under 49 U.S.C. 14706. <E T="03">The Federal Motor Carrier Safety Administration (FMCSA) has no authority to order your mover to pay such claims.</E> </P> <P>While we hope your mover delivers your shipment in a timely manner, you should consider the possibility your shipment may be delayed, and find out what payment you can expect if a mover delays service through its own fault, before you agree with the mover to transport your shipment.</P> <HD SOURCE="HD1">What Must My Mover Do if It Is Able To Deliver My Shipment More Than 24 Hours Before I Am Able to Accept Delivery?</HD> <P>At your mover's discretion, it may place your shipment in storage. This will be under its own account and at its own expense in a warehouse located in proximity to the destination of your shipment. Your mover may do this if you fail to request or concur with an early delivery date, and your mover is able to deliver your shipment more than 24 hours before your specified date or the first day of your specified period.</P> <P>If your mover exercises this option, your mover must immediately notify you of the name and address of the warehouse where your mover places your shipment. Your mover must make and keep a record of its notification as a part of its shipment records. Your mover has full responsibility for the shipment under the terms and conditions of the bill of lading. Your mover is responsible for the charges for redelivery, handling, and storage until it makes final delivery. Your mover may limit its responsibility to the agreed-upon delivery date or the first day of the period of delivery as specified in the bill of lading.</P> <HD SOURCE="HD1">What Must My Mover Do for Me When I Store Household Goods in Transit?</HD> <P>If you request your mover to hold your household goods in storage-in-transit and the storage period is about to expire, your mover must notify you, in writing, about the four following items:</P> <P>(1) The date when storage-in-transit will convert to permanent storage.</P> <P>(2) The existence of a nine-month period after the date of conversion to permanent storage, during which you may file claims against your mover for loss or damage occurring to your goods while in transit or during the storage-in-transit period.</P> <P>(3) Your mover's liability will end.</P> <P>(4) Your property will be subject to the rules, regulations, and charges of the warehouseman.</P> <P>Your mover must make this notification at least 10 days before the expiration date of one of the following two periods of time:</P> <P>(1) The specified period of time when your mover is to hold your goods in storage.</P> <P>(2) The maximum period of time provided in its tariff for storage-in-transit.</P> <P>Your mover must notify you by facsimile transmission; overnight courier; e-mail; or certified mail, return receipt requested.</P> <P>If your mover holds your household goods in storage-in-transit for less than 10 days, your mover must notify you, one day before the storage-in-transit period expires, of the same information specified above.</P> <P>Your mover must maintain a record of all notifications to you as part of the records of <PRTPAGE P="121"/>your shipment. Under the applicable tariff provisions regarding storage-in-transit, your mover's failure or refusal to notify you will automatically extend your mover's liability until the end of the day following the date when your mover actually gives you notice.</P> <HD SOURCE="HD1">Subpart G—Delivery of My Shipment</HD> <HD SOURCE="HD1">May My Mover Ask Me To Sign a Delivery Receipt Purporting To Release It From Liability?</HD> <P>At the time of delivery, your mover will expect you to sign a receipt for your shipment. Normally, you will sign each page of your mover's copy of the inventory.</P> <P>Your mover's delivery receipt or shipping document must not contain any language purporting to release or discharge it or its agents from liability.</P> <P>Your mover may include a statement about your receipt of your property in apparent good condition, except as noted on the shipping documents.</P> <P> <E T="03">Do not sign</E> the delivery receipt if it contains any language purporting to release or discharge your mover or its agents from liability. Strike out such language before signing, or refuse delivery if the driver or mover refuses to provide a proper delivery receipt.</P> <HD SOURCE="HD1">What Is the Maximum Collect-on-Delivery Amount My Mover May Demand I Pay at the Time of Delivery?</HD> <P>On a binding estimate, the maximum amount is the exact estimate of the charges. Your mover must specify on the estimate, order for service, and bill of lading the form of payment acceptable to it (for example, a certified check).</P> <P>On a non-binding estimate, the maximum amount is 110 percent of the approximate costs. Your mover must specify on the estimate, order for service, and bill of lading the form of payment acceptable to it (for example, cash).</P> <HD SOURCE="HD1">If My Shipment Is Transported on More Than One Vehicle, What Charges May My Mover Collect at Delivery?</HD> <P>Although all movers try to move each shipment on one truck, it becomes necessary at times to divide a shipment among two or more trucks. This frequently occurs when an automobile is included in the shipment and it is transported on a vehicle specially designed to transport automobiles. When this occurs, your transportation charges are the same as if the entire shipment moved on one truck.</P> <P>If your shipment is divided for transportation on two or more trucks, the mover may require payment for each portion as it is delivered.</P> <P>Your mover may delay the collection of all the charges until the entire shipment is delivered, at its discretion, not yours. When you order your move, you should ask the mover about its policies in this regard.</P> <HD SOURCE="HD1">If My Shipment Is Partially Lost or Destroyed, What Charges May My Mover Collect at Delivery?</HD> <P>Movers customarily make every effort to avoid losing, damaging, or destroying any of your items while your shipment is in their possession for transportation. However, despite the precautions taken, articles are sometimes lost or destroyed during the move.</P> <P>In addition to any money you may recover from your mover to compensate for lost or destroyed articles, you may also recover the transportation charges represented by the portion of the shipment lost or destroyed. Your mover may only apply this paragraph to the transportation of household goods. Your mover may disregard this paragraph if loss or destruction was due to an act or omission by you. Your mover must require you to pay any specific valuation charge due.</P> <P>For example, if you pack a hazardous material (<E T="03">i.e.,</E> gasoline, aerosol cans, motor oil, etc.) and your shipment is partially lost or destroyed by fire in storage or in the mover's trailer, your mover may require you to pay for the full cost of transportation.</P> <P>Your mover may first collect its freight charges for the entire shipment, if your mover chooses. At the time your mover disposes of claims for loss, damage, or injury to the articles in your shipment, it must refund the portion of its freight charges corresponding to the portion of the lost or destroyed shipment (including any charges for accessorial or terminal services).</P> <P>Your mover is forbidden from collecting, or requiring you to pay, any freight charges (including any charges for accessorial or terminal services) when your household goods shipment is <E T="03">totally lost or destroyed</E> in transit, unless the loss or destruction was due to an act or omission by you.</P> <HD SOURCE="HD1">How Must My Mover Calculate the Charges Applicable to the Shipment as Delivered?</HD> <P>Your mover must multiply the percentage corresponding to the delivered shipment times the total charges applicable to the shipment tendered by you to obtain the total charges it must collect from you.</P> <P>If your mover's computed charges exceed the charges otherwise applicable to the shipment as delivered, the lesser of those charges must apply. This will apply only to the transportation of your household goods.</P> <P>Your mover must require you to pay any specific valuation charge due.<PRTPAGE P="122"/> </P> <P>Your mover may not refund the freight charges if the loss or destruction was due to an act or omission by you. For example, you fail to disclose to your mover that your shipment contains perishable live plants. Your mover may disregard its loss or destruction of your plants, because you failed to inform your mover you were transporting live plants.</P> <P>Your mover must determine, at its own expense, the proportion of the shipment, based on actual or constructive weight, not lost or destroyed in transit.</P> <P>Your rights are in addition to, and not in lieu of, any other rights you may have with respect to your shipment of household goods your mover lost or destroyed, or partially lost or destroyed, in transit. This applies whether or not you have exercised your rights provided above.</P> <HD SOURCE="HD1">Subpart H—Collection of Charges</HD> <HD SOURCE="HD1">Does This Subpart Apply to Most Shipments?</HD> <P>It applies to all shipments of household goods that involve a balance due freight or expense bill or are shipped on credit.</P> <HD SOURCE="HD1">How Must My Mover Present Its Freight or Expense Bill to Me?</HD> <P>At the time of payment of transportation charges, your mover must give you a freight bill identifying the service provided and the charge for each service. It is customary for most movers to use a copy of the bill of lading as a freight bill; however, some movers use an entirely separate document for this purpose.</P> <P>Except in those instances where a shipment is moving on a binding estimate, the freight bill must specifically identify each service performed, the rate or charge per service performed, and the total charges for each service. <E T="03">If this information is not on the freight bill, do not accept or pay the freight bill.</E> </P> <P>Movers' tariffs customarily specify that freight charges must be paid in cash, by certified check, or by cashier's check. When this requirement exists, the mover will not accept personal checks. At the time you order your move, you should ask your mover about the form of payment your mover requires.</P> <P>Some movers permit payment of freight charges by use of a charge or credit card. However, do not assume your nationally recognized charge, credit, or debit card will be acceptable for payment. Ask your mover at the time you request an estimate. Your mover must specify the form of payment it will accept at delivery.</P> <P>If you do not pay the transportation charges at the time of delivery, your mover has the right, under the bill of lading, to refuse to deliver your goods. The mover may place them in storage, at your expense, until the charges are paid. However, the mover must deliver your goods upon payment of 100 percent of a binding estimate.</P> <P>If, before payment of the transportation charges, you discover an error in the charges, you should attempt to correct the error with the driver, the mover's local agent, or by contacting the mover's main office. If an error is discovered after payment, you should write the mover (the address will be on the freight bill) explaining the error, and request a refund.</P> <P>Movers customarily check all shipment files and freight bills after a move has been completed to make sure the charges were accurate. If an overcharge is found, you should be notified and a refund made. If an undercharge occurred, you may be billed for the additional charges due.</P> <P>On “to be prepaid” shipments, your mover must present its freight bill for all transportation charges within 15 days of the date your mover received the shipment. This period excludes Saturdays, Sundays, and Federal holidays.</P> <P>On “collect” shipments, your mover must present its freight bill for transportation charges on the date of delivery, or, at its discretion, within 15 days, calculated from the date the shipment was delivered at your destination. This period excludes Saturdays, Sundays, and Federal holidays. (Bills for charges exceeding 110 percent of a non-binding estimate, and for additional services requested or found necessary after the shipment is in transit, will be presented no sooner than 30 days from the date of delivery.)</P> <P>Your mover's freight bills and accompanying written notices must state the following five items:</P> <P>(1) Penalties for late payment.</P> <P>(2) Credit time limits.</P> <P>(3) Service or finance charges.</P> <P>(4) Collection expense charges.</P> <P>(5) Discount terms.</P> <P>If your mover extends credit to you, freight bills or a separate written notice accompanying a freight bill or a group of freight bills presented at one time must state, “You may be subject to tariff penalties for failure to timely pay freight charges,” or a similar statement. Your mover must state on its freight bills or other notices when it expects payment, and any applicable service charges, collection expense charges, and discount terms.</P> <P>When your mover lacks sufficient information to compute its tariff charges at the time of billing, your mover must present its freight bill for payment within 15 days following the day when sufficient information becomes available. This period excludes Saturdays, Sundays, and Federal holidays.</P> <P>Your mover must not extend additional credit to you if you fail to furnish sufficient information to your mover. Your mover must have sufficient information to render a <PRTPAGE P="123"/>freight bill within a reasonable time after shipment.</P> <P>When your mover presents freight bills by mail, it must deem the time of mailing to be the time of presentation of the bills. The term “freight bills,” as used in this paragraph, includes both paper documents and billing by use of electronic media such as computer tapes, disks, or the Internet (e-mail).</P> <P>When you mail acceptable checks or drafts in payment of freight charges, your mover must deem the act of mailing the payment within the credit period to be the proper collection of the tariff charges within the credit period for the purposes of Federal law. In case of a dispute as to the date of mailing, your mover must accept the postmark as the date of mailing.</P> <HD SOURCE="HD1">If I Forced My Mover To Relinquish a Collect-on-Delivery Shipment Before the Payment of ALL Charges, How Must My Mover Collect the Balance?</HD> <P>On “collect-on-delivery” shipments, your mover must present its freight bill for transportation charges within 15 days, calculated from the date the shipment was delivered at your destination. This period excludes Saturdays, Sundays, and Federal holidays. (Bills for charges exceeding 110 percent of a non-binding estimate, and charges for additional services requested or found necessary after the shipment is in transit, will be presented no sooner than 30 days after the date of delivery.)</P> <HD SOURCE="HD1">What Actions May My Mover Take To Collect From Me the Charges Upon Its Freight Bill?</HD> <P>Your mover must present a freight bill within 15 days (excluding Saturdays, Sundays, and Federal holidays) of the date of delivery of a shipment at your destination. (Bills for charges exceeding 110 percent of a non-binding estimate, and for additional services requested or found necessary after the shipment is in transit, will be presented no sooner than 30 days after the date of delivery.)</P> <P>The credit period must be 7 days (excluding Saturdays, Sundays, and Federal holidays).</P> <P>Your mover must provide in its tariffs the following three things:</P> <P>(1) A provision automatically extending the credit period to a total of 30 calendar days for you if you have not paid its freight bill within the 7-day period.</P> <P>(2) A provision indicating you will be assessed a service charge by your mover equal to one percent of the amount of the freight bill, subject to a $20 minimum charge, for the extension of the credit period. The mover will assess the service charge for each 30-day extension that the charges go unpaid.</P> <P>(3) A provision that your mover must deny credit to you if you fail to pay a duly presented freight bill within the 30-day period. Your mover may grant credit to you, at its discretion, when you satisfy your mover's condition that you will pay all future freight bills duly presented. Your mover must ensure all your payments of freight bills are strictly in accordance with Federal rules and regulations for the settlement of its rates and charges.</P> <HD SOURCE="HD1">Do I Have a Right To File a Claim To Recover Money for Property My Mover Lost or Damaged?</HD> <P>Should your move result in the loss of or damage to any of your property, you have the right to file a claim with your mover to recover money for such loss or damage.</P> <P>You should file a claim as soon as possible. If you fail to file a claim within 9 months, your mover may not be required to accept your claim. If you institute a court action and win, you may be entitled to attorney's fees, but only in either of two circumstances. You may be entitled to attorney's fees if you submitted your claim to the carrier within 120 days after delivery, and a decision was not rendered through arbitration within the time required by law. You also may be entitled to attorney's fees if you submitted your claim to the carrier within 120 days after delivery, the court enforced an arbitration decision in your favor, and the time for the carrier to comply with the decision has passed.</P> <P>While the Federal Government maintains regulations governing the processing of loss and damage claims (49 CFR part 370), it cannot resolve those claims. If you cannot settle a claim with the mover, you may file a civil action to recover your claim in court under 49 U.S.C. 14706. You may obtain the name and address of the mover's agent for service of legal process in your state by contacting the Federal Motor Carrier Safety Administration. You may also obtain the name of a process agent via the Internet by going to <E T="03">http://www.fmcsa.dot.gov</E> and then clicking on Licensing and Insurance (L&I) section.</P> <P>In addition, your mover must participate in an arbitration program. As described earlier in this pamphlet, an arbitration program gives you the opportunity to settle certain types of unresolved loss or damage claims through a neutral arbitrator. You may find submitting your claim to arbitration under such a program to be a less expensive and more convenient way to seek recovery of your claim. Your mover is required to provide you with information about its arbitration program before you move. If your mover fails to do so, ask the mover for details of its program.<PRTPAGE P="124"/> </P> <HD SOURCE="HD1">Subpart I—Resolving Disputes With My Mover</HD> <HD SOURCE="HD1">What May I Do To Resolve Disputes With My Mover?</HD> <P> <E T="03">The Federal Motor Carrier Safety Administration does not help you settle your dispute with your mover.</E> </P> <P>Generally, you must resolve your own loss and damage disputes with your mover. You enter a contractual arrangement with your mover. You are bound by each of the following three things:</P> <P>(1) The terms and conditions you negotiated before your move.</P> <P>(2) The terms and conditions you accepted when you signed the bill of lading.</P> <P>(3) The terms and conditions you accepted when you signed for delivery of your goods.</P> <P>You have the right to take your mover to court. We require your mover to offer you arbitration to settle your disputes with it.</P> <P>If your mover holds your goods “hostage”—refuses delivery unless you pay an amount you believe the mover is not entitled to charge—the Federal Motor Carrier Safety Administration does not have the resources to seek a court injunction on your behalf.</P> <CITA>[69 FR 10576, Mar. 5, 2004, as amended at 69 FR 17317, Apr. 2, 2004; 69 FR 47387, Aug. 5, 2004]</CITA> </APPENDIX> </SUBPART> </PART> <PART> <EAR>Pt. 376</EAR> <HD SOURCE="HED">PART 376—LEASE AND INTERCHANGE OF VEHICLES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General Applicability and Definitions</HD> <SECHD>Sec.</SECHD> <SECTNO>376.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>376.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Leasing Regulations</HD> <SECTNO>376.11</SECTNO> <SUBJECT>General leasing requirements.</SUBJECT> <SECTNO>376.12</SECTNO> <SUBJECT>Written lease requirements.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Exemptions for the Leasing Regulations</HD> <SECTNO>376.21</SECTNO> <SUBJECT>General exemptions.</SUBJECT> <SECTNO>376.22</SECTNO> <SUBJECT>Exemption for private carrier leasing and leasing between authorized carriers.</SUBJECT> <SECTNO>376.26</SECTNO> <SUBJECT>Exemption for leases between authorized carriers and their agents.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Interchange Regulations</HD> <SECTNO>376.31</SECTNO> <SUBJECT>Interchange of equipment.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Private Carriers and Shippers</HD> <SECTNO>376.42</SECTNO> <SUBJECT>Lease of equipment by regulated carriers.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13301 and 14102; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>44 FR 4681, Jan. 23, 1979, unless otherwise noted. Redesignated at 61 FR 54707, Oct. 21, 1996.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 376 appear at 66 FR 49871, Oct. 1, 2001.</P> </EDNOTE> <SUBPART> <HD SOURCE="HED">Subpart A—General Applicability and Definitions</HD> <SECTION> <SECTNO>§ 376.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>The regulations in this part apply to the following actions by motor carriers registered with the Secretary to transport property:</P> <P>(a) The leasing of equipment with which to perform transportation regulated by the Secretary.</P> <P>(b) The leasing of equipment to motor private carrier or shippers.</P> <P>(c) The interchange of equipment between motor common carriers in the performance of transportation regulated by the Secretary.</P> <CITA>[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR 15423, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 376.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Authorized carrier.</E> A person or persons authorized to engage in the transportation of property as a motor carrier under the provisions of 49 U.S.C. 13901 and 13902.</P> <P>(b) <E T="03">Equipment.</E> A motor vehicle, straight truck, tractor, semitrailer, full trailer, any combination of these and any other type of equipment used by authorized carriers in the transportation of property for hire.</P> <P>(c) <E T="03">Interchange.</E> The receipt of equipment by one motor common carrier of property from another such carrier, at a point which both carriers are authorized to serve, with which to continue a through movement.</P> <P>(d) <E T="03">Owner.</E> A person (1) to whom title to equipment has been issued, or (2) who, without title, has the right to exclusive use of equipment, or (3) who has lawful possession of equipment registered and licensed in any State in the name of that person.</P> <P>(e) <E T="03">Lease.</E> A contract or arrangement in which the owner grants the use of equipment, with or without driver, for a specified period to an authorized carrier for use in the regulated transportation of property, in exchange for compensation.<PRTPAGE P="125"/> </P> <P>(f) <E T="03">Lessor.</E> In a lease, the party granting the use of equipment, with or without driver, to another.</P> <P>(g) <E T="03">Lessee.</E> In a lease, the party acquiring the use of equipment with or without driver, from another.</P> <P>(h) <E T="03">Sublease.</E> A written contract in which the lessee grants the use of leased equipment, with or without driver, to another.</P> <P>(i) <E T="03">Addendum.</E> A supplement to an existing lease which is not effective until signed by the lessor and lessee.</P> <P>(j) <E T="03">Private carrier.</E> A person, other than a motor carrier, transporting property by motor vehicle in interstate or foreign commerce when (1) the person is the owner, lessee, or bailee of the property being transported; and (2) the property is being transported for sale, lease, rent, or bailment, or to further a commercial enterprise.</P> <P>(k) <E T="03">Shipper.</E> A person who sends or receives property which is transported in interstate or foreign commerce.</P> <P>(l) <E T="03">Escrow fund.</E> Money deposited by the lessor with either a third party or the lessee to guarantee performance, to repay advances, to cover repair expenses, to handle claims, to handle license and State permit costs, and for any other purposes mutually agreed upon by the lessor and lessee.</P> <P>(m) <E T="03">Detention.</E> The holding by a consignor or consignee of a trailer, with or without power unit and driver, beyond the free time allocated for the shipment, under circumstances not attributable to the performance of the carrier.</P> <CITA>[44 FR 4681, Jan. 23, 1979, as amended at 49 FR 47850, Dec. 7, 1984; 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Leasing Regulations</HD> <SECTION> <SECTNO>§ 376.11</SECTNO> <SUBJECT>General leasing requirements.</SUBJECT> <P>Other than through the interchange of equipment as set forth in § 376.31, and under the exemptions set forth in subpart C of these regulations, the authorized carrier may perform authorized transportation in equipment it does not own only under the following conditions:</P> <P>(a) <E T="03">Lease.</E> There shall be a written lease granting the use of the equipment and meeting the requirements contained in § 376.12.</P> <P>(b) <E T="03">Receipts for equipment.</E> Receipts, specifically identifying the equipment to be leased and stating the date and time of day possession is transferred, shall be given as follows:</P> <P>(1) When possession of the equipment is taken by the authorized carrier, it shall give the owner of the equipment a receipt. The receipt identified in this section may be transmitted by mail, telegraph, or other similar means of communication.</P> <P>(2) When possession of the equipment by the authorized carrier ends, a receipt shall be given in accordance with the terms of the lease agreement if the lease agreement requires a receipt.</P> <P>(3) Authorized representatives of the carrier and the owner may take possession of leased equipment and give and receive the receipts required under this subsection.</P> <P>(c) <E T="03">Identification of equipment.</E> The authorized carrier acquiring the use of equipment under this section shall identify the equipment as being in its service as follows:</P> <P>(1) During the period of the lease, the carrier shall identify the equipment in accordance with the FMCSA's requirements in 49 CFR part 390 of this chapter (Identification of Vehicles).</P> <P>(2) Unless a copy of the lease is carried on the equipment, the authorized carrier shall keep a statement with the equipment during the period of the lease certifying that the equipment is being operated by it. The statement shall also specify the name of the owner, the date and length of the lease, any restrictions in the lease relative to the commodities to be transported, and the address at which the original lease is kept by the authorized carrier. This statement shall be prepared by the authorized carrier or its authorized representative.</P> <P>(d) <E T="03">Records of equipment.</E> The authorized carrier using equipment leased under this section shall keep records of the equipment as follows:</P> <P>(1) The authorized carrier shall prepare and keep documents covering each trip for which the equipment is used in its service. These documents shall contain the name and address of the owner of the equipment, the point of origin, the time and date of departure, and the <PRTPAGE P="126"/>point of final destination. Also, the authorized carrier shall carry papers with the leased equipment during its operation containing this information and identifying the lading and clearly indicating that the transportation is under its responsibility. These papers shall be preserved by the authorized carrier as part of its transportation records. Leases which contain the information required by the provisions in this paragraph may be used and retained instead of such documents or papers. As to lease agreements negotiated under a master lease, this provision is complied with by having a copy of a master lease in the unit of equipment in question and where the balance f documentation called for by this paragraph is included in the freight documents prepared for the specific movement.</P> <P>(2) [Reserved]</P> <CITA>[44 FR 4681, Jan. 23, 1979, as amended at 49 FR 47269, Dec. 3, 1984; 49 FR 47850, Dec. 7, 1984; 50 FR 24649, June 12, 1985; 51 FR 37406, Oct. 22, 1986; 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 376.12</SECTNO> <SUBJECT>Written lease requirements.</SUBJECT> <P>Except as provided in the exemptions set forth in subpart C of this part, the written lease required under § 376.11(a) shall contain the following provisions. The required lease provisions shall be adhered to and performed by the authorized carrier.</P> <P>(a) <E T="03">Parties.</E> The lease shall be made between the authorized carrier and the owner of the equipment. The lease shall be signed by these parties or by their authorized representatives.</P> <P>(b) <E T="03">Duration to be specific.</E> The lease shall specify the time and date or the circumstances on which the lease begins and ends. These times or circumstances shall coincide with the times for the giving of receipts required by § 376.11(b).</P> <P>(c) <E T="03">Exclusive possession and responsibilities.</E> (1) The lease shall provide that the authorized carrier lessee shall have exclusive possession, control, and use of the equipment for the duration of the lease. The lease shall further provide that the authorized carrier lessee shall assume complete responsibility for the operation of the equipment for the duration of the lease.</P> <P>(2) Provision may be made in the lease for considering the authorized carrier lessee as the owner of the equipment for the purpose of subleasing it under these regulations to other authorized carriers during the lease.</P> <P>(3) When an authorized carrier of household goods leases equipment for the transportation of household goods, as defined by the Secretary, the parties may provide in the lease that the provisions required by paragraph (c)(1) of this section apply only during the time the equipment is operated by or for the authorized carrier lessee.</P> <P>(4) Nothing in the provisions required by paragraph (c)(1) of this section is intended to affect whether the lessor or driver provided by the lessor is an independent contractor or an employee of the authorized carrier lessee. An independent contractor relationship may exist when a carrier lessee complies with 49 U.S.C. 14102 and attendant administrative requirements.</P> <P>(d) <E T="03">Compensation to be specified.</E> The amount to be paid by the authorized carrier for equipment and driver's services shall be clearly stated on the face of the lease or in an addendum which is attached to the lease. Such lease or addendum shall be delivered to the lessor prior to the commencement of any trip in the service of the authorized carrier. An authorized representative of the lessor may accept these documents. The amount to be paid may be expressed as a percentage of gross revenue, a flat rate per mile, a variable rate depending on the direction traveled or the type of commodity transported, or by any other method of compensation mutually agreed upon by the parties to the lease. The compensation stated on the lease or in the attached addendum may apply to equipment and driver's services either separately or as a combined amount.</P> <P>(e) <E T="03">Items specified in lease.</E> The lease shall clearly specify which party is responsible for removing identification devices from the equipment upon the termination of the lease and when and how these devices, other than those painted directly on the equipment, will be returned to the carrier. The lease shall clearly specify the manner in which a receipt will be given to the authorized carrier by the equipment <PRTPAGE P="127"/>owner when the latter retakes possession of the equipment upon termination of the lease agreement, if a receipt is required at all by the lease. The lease shall clearly specify the responsibility of each party with respect to the cost of fuel, fuel taxes, empty mileage, permits of all types, tolls, ferries, detention and accessorial services, base plates and licenses, and any unused portions of such items. The lease shall clearly specify who is responsible for loading and unloading the property onto and from the motor vehicle, and the compensation, if any, to be paid for this service. Except when the violation results from the acts or omissions of the lessor, the authorized carrier lessee shall assume the risks and costs of fines for overweight and oversize trailers when the trailers are pre-loaded, sealed, or the load is containerized, or when the trailer or lading is otherwise outside of the lessor's control, and for improperly permitted overdimension and overweight loads and shall reimburse the lessor for any fines paid by the lessor. If the authorized carrier is authorized to receive a refund or a credit for base plates purchased by the lessor from, and issued in the name of, the authorized carrier, or if the base plates are authorized to be sold by the authorized carrier to another lessor the authorized carrier shall refund to the initial lessor on whose behalf the base plate was first obtained a prorated share of the amount received.</P> <P>(f) <E T="03">Payment period.</E> The lease shall specify that payment to the lessor shall be made within 15 days after submission of the necessary delivery documents and other paperwork concerning a trip in the service of the authorized carrier. The paperwork required before the lessor can receive payment is limited to log books required by the Department of Transportation and those documents necessary for the authorized carrier to secure payment from the shipper. In addition, the lease may provide that, upon termination of the lease agreement, as a condition precedent to payment, the lessor shall remove all identification devices of the authorized carrier and, except in the case of identification painted directly on equipment, return them to the carrier. If the identification device has been lost or stolen, a letter certifying its removal will satisfy this requirement. Until this requirement is complied with, the carrier may withhold final payment. The authorized carrier may require the submission of additional documents by the lessor but not as a prerequisite to payment. Payment to the lessor shall not be made contingent upon submission of a bill of lading to which no exceptions have been taken. The authorized carrier shall not set time limits for the submission by the lessor of required delivery documents and other paperwork.</P> <P>(g) <E T="03">Copies of freight bill or other form of freight documentation.</E> When a lessor's revenue is based on a percentage of the gross revenue for a shipment, the lease must specify that the authorized carrier will give the lessor, before or at the time of settlement, a copy of the rated freight bill or a computer-generated document containing the same information, or, in the case of contract carriers, any other form of documentation actually used for a shipment containing the same information that would appear on a rated freight bill. When a computer-generated document is provided, the lease will permit lessor to view, during normal business hours, a copy of any actual document underlying the computer-generated document. Regardless of the method of compensation, the lease must permit lessor to examine copies of the carrier's tariff or, in the case of contract carriers, other documents from which rates and charges are computed, provided that where rates and charges are computed from a contract of a contract carrier, only those portions of the contract containing the same information that would appear on a rated freight bill need be disclosed. The authorized carrier may delete the names of shippers and consignees shown on the freight bill or other form of documentation.</P> <P>(h) <E T="03">Charge-back items.</E> The lease shall clearly specify all items that may be initially paid for by the authorized carrier, but ultimately deducted from the lessor's compensation at the time of payment or settlement, together with a recitation as to how the amount of each item is to be computed. The lessor <PRTPAGE P="128"/>shall be afforded copies of those documents which are necessary to determine the validity of the charge.</P> <P>(i) <E T="03">Products, equipment, or services from authorized carrier.</E> The lease shall specify that the lessor is not required to purchase or rent any products, equipment, or services from the authorized carrier as a condition of entering into the lease arrangement. The lease shall specify the terms of any agreement in which the lessor is a party to an equipment purchase or rental contract which gives the authorized carrier the right to make deductions from the lessor's compensation for purchase or rental payments.</P> <P>(j) <E T="03">Insurance.</E> (1) The lease shall clearly specify the legal obligation of the authorized carrier to maintain insurance coverage for the protection of the public pursuant to FMCSA regulations under 49 U.S.C. 13906. The lease shall further specify who is responsible for providing any other insurance coverage for the operation of the leased equipment, such as bobtail insurance. If the authorized carrier will make a charge back to the lessor for any of this insurance, the lease shall specify the amount which will be charged-back to the lessor.</P> <P>(2) If the lessor purchases any insurance coverage for the operation of the leased equipment from or through the authorized carrier, the lease shall specify that the authorized carrier will provide the lessor with a copy of each policy upon the request of the lessor. Also, where the lessor purchases such insurance in this manner, the lease shall specify that the authorized carrier will provide the lessor with a certificate of insurance for each such policy. Each certificate of insurance shall include the name of the insurer, the policy number, the effective dates of the policy, the amounts and types of coverage, the cost to the lessor for each type of coverage, and the deductible amount for each type of coverage for which the lessor may be liable.</P> <P>(3) The lease shall clearly specify the conditions under which deductions for cargo or property damage may be made from the lessor's settlements. The lease shall further specify that the authorized carrier must provide the lessor with a written explanation and itemization of any deductions for cargo or property damage made from any compensation of money owed to the lessor. The written explanation and itemization must be delivered to the lessor before any deductions are made.</P> <P>(k) <E T="03">Escrow funds.</E> If escrow funds are required, the lease shall specify:</P> <P>(1) The amount of any escrow fund or performance bond required to be paid by the lessor to the authorized carrier or to a third party.</P> <P>(2) The specific items to which the escrow fund can be applied.</P> <P>(3) That while the escrow fund is under the control of the authorized carrier, the authorized carrier shall provide an accounting to the lessor of any transactions involving such fund. The carrier shall perform this accounting in one of the following ways:</P> <P>(i) By clearly indicating in individual settlement sheets the amount and description of any deduction or addition made to the escrow fund; or</P> <P>(ii) By providing a separate accounting to the lessor of any transactions involving the escrow fund. This separate accounting shall be done on a monthly basis.</P> <P>(4) The right of the lessor to demand to have an accounting for transactions involving the escrow fund at any time.</P> <P>(5) That while the escrow fund is under the control of the carrier, the carrier shall pay interest on the escrow fund on at least a quarterly basis. For purposes of calculating the balance of the escrow fund on which interest must be paid, the carrier may deduct a sum equal to the average advance made to the individual lessor during the period of time for which interest is paid. The interest rate shall be established on the date the interest period begins and shall be at least equal to the average yield or equivalent coupon issue yield on 91-day, 13-week Treasury bills as established in the weekly auction by the Department of Treasury.</P> <P>(6) The conditions the lessor must fulfill in order to have the escrow fund returned. At the time of the return of the escrow fund, the authorized carrier may deduct monies for those obligations incurred by the lessor which have been previously specified in the lease, and shall provide a final accounting to the lessor of all such final deductions <PRTPAGE P="129"/>made to the escrow fund. The lease shall further specify that in no event shall the escrow fund be returned later than 45 days from the date of termination.</P> <P>(l) <E T="03">Copies of the lease.</E> An original and two copies of each lease shall be signed by the parties. The authorized carrier shall keep the original and shall place a copy of the lease on the equipment during the period of the lease unless a statement as provided for in § 376.11(c)(2) is carried on the equipment instead. The owner of the equipment shall keep the other copy of the lease.</P> <P>(m) This paragraph applies to owners who are not agents but whose equipment is used by an agent of an authorized carrier in providing transportation on behalf of that authorized carrier. In this situation, the authorized carrier is obligated to ensure that these owners receive all the rights and benefits due an owner under the leasing regulations, especially those set forth in paragraphs (d)-(k) of this section. This is true regardless of whether the lease for the equipment is directly between the authorized carrier and its agent rather than directly between the authorized carrier and each of these owners. The lease between an authorized carrier and its agent shall specify this obligation.</P> <CITA>[44 FR 4681, Jan. 23, 1979, as amended at 45 FR 13092, Feb. 28, 1980; 47 FR 28398, June 30, 1982; 47 FR 51140, Nov. 12, 1982; 47 FR 54083, Dec. 1, 1982; 49 FR 47851, Dec. 7, 1984; 51 FR 37406, 37407, Oct. 22, 1986; 52 FR 2412, Jan. 22, 1987; 57 FR 32905, July 24, 1992; 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Exemptions for the Leasing Regulations</HD> <SECTION> <SECTNO>§ 376.21</SECTNO> <SUBJECT>General exemptions.</SUBJECT> <P>Except for § 376.11(c) which requires the identification of equipment, the leasing regulations in this part shall not apply to:</P> <P>(a) Equipment used in substituted motor-for-rail transportation of railroad freight moving between points that are railroad stations and on railroad billing.</P> <P>(b) Equipment used in transportation performed exclusively within any commercial zone as defined by the Secretary.</P> <P>(c) Equipment leased without drivers from a person who is principally engaged in such a business.</P> <P>(d) Any type of trailer not drawn by a power unit leased from the same lessor.</P> <CITA>[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 376.22</SECTNO> <SUBJECT>Exemption for private carrier leasing and leasing between authorized carriers.</SUBJECT> <P>Regardless of the leasing regulations set forth in this part, an authorized carrier may lease equipment to or from another authorized carrier, or a private carrier may lease equipment to an authorized carrier under the following conditions:</P> <P>(a) The identification of equipment requirements in § 376.11(c) must be complied with;</P> <P>(b) The lessor must own the equipment or hold it under a lease;</P> <P>(c) There must be a written agreement between the authorized carriers or between the private carrier and authorized carrier, as the case may be, concerning the equipment as follows:</P> <P>(1) It must be signed by the parties or their authorized representatives.</P> <P>(2) It must provide that control and responsibility for the operation of the equipment shall be that of the lessee from the time possession is taken by the lessee and the receipt required under § 376.11(b) is given to the lessor until: (i) Possession of the equipment is returned to the lessor and the receipt required under § 376.11(b) is received by the authorized carrier; or (ii) in the event that the agreement is between authorized carriers, possession of the equipment is returned to the lessor or given to another authorized carrier in an interchange of equipment.</P> <P>(3) A copy of the agreement must be carried in the equipment while it is in the possession of the lessee.</P> <P>(4) Nothing in this section shall prohibit the use, by authorized carriers, private carriers, and all other entities conducting lease operations pursuant to this section, of a master lease if a copy of that master lease is carried in the equipment while it is in the possession of the lessee, and if the master lease complies with the provisions of <PRTPAGE P="130"/>this section and receipts are exchanged in accordance with § 376.11(b), and if records of the equipment are prepared and maintained in accordance with § 376.11(d).</P> <P>(d) Authorized and private carriers under common ownership and control may lease equipment to each other under this section without complying with the requirements of paragraph (a) of this section pertaining to identification of equipment, and the requirements of paragraphs (c)(2) and (c)(4) of this section pertaining to equipment receipts. The leasing of equipment between such carriers will be subject to all other requirements of this section.</P> <CITA>[49 FR 9570, Mar. 14, 1984, as amended at 49 FR 47269, Dec. 3, 1984; 49 FR 47851, Dec. 7, 1984; 62 FR 15424, Apr. 1, 1997; 63 FR 40838, July 31, 1998]</CITA> </SECTION> <SECTION> <SECTNO>§ 376.26</SECTNO> <SUBJECT>Exemption for leases between authorized carriers and their agents.</SUBJECT> <P>The leasing regulations set forth in § 376.12(e) through (l) do not apply to leases between authorized carriers and their agents.</P> <CITA>[47 FR 28398, June 30, 1982, as amended at 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Interchange Regulations</HD> <SECTION> <SECTNO>§ 376.31</SECTNO> <SUBJECT>Interchange of equipment.</SUBJECT> <P>Authorized common carriers may interchange equipment under the following conditions:</P> <P>(a) <E T="03">Interchange agreement.</E> There shall be a written contract, lease, or other arrangement providing for the interchange and specifically describing the equipment to be interchanged. This written agreement shall set forth the specific points of interchange, how the equipment is to be used, and the compensation for such use. The interchange agreement shall be signed by the parties or by their authorized representatives.</P> <P>(b) <E T="03">Operating authority.</E> The carriers participating in the interchange shall be registered with the Secretary to provide the transportaiton of the commodities at the point where the physical exchange occurs.</P> <P>(c) <E T="03">Through bills of lading.</E> The traffic transported in interchange service must move on through bills of lading issued by the originating carrier. The rates charged and the revenues collected must be accounted for in the same manner as if there had been no interchange. Charges for the use of the interchanged equipment shall be kept separate from divisions of the joint rates or the proportions of such rates accruing to the carriers by the application of local or proportional rates.</P> <P>(d) <E T="03">Identification of equipment.</E> The authorized common carrier receiving the equipment shall identify equipment operated by it in interchange service as follows:</P> <P>(1) The authorized common carrier shall identify power units in accordance with the FMCSA's requirements in 49 CFR part 390 of this chapter (Identification of Vehicles). Before giving up possession of the equipment, the carrier shall remove all identification showing it as the operating carrier.</P> <P>(2) Unless a copy of the interchange agreement is carried on the equipment, the authorized common carrier shall carry a statement with each vehicle during interchange service certifying that it is operating the equipment. The statement shall also identify the equipment by company or State registration number and shall show the specific point of interchange, the date and time it assumes responsibility for the equipment, and the use to be made of the equipment. This statement shall be signed by the parties to the interchange agreement or their authorized representatives. The requirements of this paragraph shall not apply where the equipment to be operated in interchange service consists only of trailers or semitrailers.</P> <P>(3) Authorized carriers under common ownership and control may interchange equipment with each other without complying with the requirements of paragraph (d)(1) of this section pertaining to removal of identification from equipment.</P> <P>(e) <E T="03">Connecting carriers considered as owner</E>—An authorized carrier receiving equipment in connection with a through movement shall be considered to the owner of the equipment for the purpose of leasing the equipment to <PRTPAGE P="131"/>other authorized carriers in furtherance of the movement to destination or the return of the equipment after the movement is completed.</P> <CITA>[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, as amended at 62 FR 15424, Apr. 1, 1997; 63 FR 40838, July 31, 1998]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Private Carriers and Shippers</HD> <SECTION> <SECTNO>§ 376.42</SECTNO> <SUBJECT>Lease of equipment by regulated carriers.</SUBJECT> <P>Authorized carriers may lease equipment and drivers from private carriers, for periods of less than 30 days, in the manner set forth in § 376.22.</P> <CITA>[49 FR 9570, Mar. 14, 1984, as amended at 51 FR 37034, Oct. 17, 1986; 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 377</EAR> <HD SOURCE="HED">PART 377—PAYMENT OF TRANSPORTATION CHARGES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Handling of C.O.D. Shipments</HD> <SECHD>Sec.</SECHD> <SECTNO>377.101</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>377.103</SECTNO> <SUBJECT>Tariff requirements.</SUBJECT> <SECTNO>377.105</SECTNO> <SUBJECT>Collection and remittance.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Extension of Credit to Shippers by Motor Common Carriers, Water Common Carriers, and Household Goods Freight Forwarders</HD> <SECTNO>377.201</SECTNO> <SUBJECT>Scope.</SUBJECT> <SECTNO>377.203</SECTNO> <SUBJECT>Extension of credit to shippers.</SUBJECT> <SECTNO>377.205</SECTNO> <SUBJECT>Presentation of freight bills.</SUBJECT> <SECTNO>377.207</SECTNO> <SUBJECT>Effect of mailing freight bills or payments.</SUBJECT> <SECTNO>377.209</SECTNO> <SUBJECT>Additional charges.</SUBJECT> <SECTNO>377.211</SECTNO> <SUBJECT>Computation of time.</SUBJECT> <SECTNO>377.213-377.215</SECTNO> <RESERVED>[Reserved]</RESERVED> <SECTNO>377.217</SECTNO> <SUBJECT>Interline settlement of revenues.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13101, 13301, 13701, 13702, 13706, 13707, and 14101; and 49 CFR 1.73.</P> </AUTH> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 377 appear at 66 FR 49871, Oct. 1, 2001.</P> </EDNOTE> <SUBPART> <HD SOURCE="HED">Subpart A—Handling of C.O.D. Shipments</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>32 FR 20050, Dec. 20, 1967, unless otherwise noted. Redesignated at 61 FR 54708, Oct. 21, 1996.</P> </SOURCE> <SECTION> <SECTNO>§ 377.101</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>The rules and regulations in this part apply to the transportation by motor vehicle of c.o.d. shipments by all common carriers of property subject to 49 U.S.C. 13702, except such transportation which is auxiliary to or supplemental of transportation by railroad and performed on railroad bills of lading, and except such transportation which is performed for freight forwarders and on freight forwarder bills of lading.</P> <CITA>[32 FR 20050, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, as amended at 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 377.103</SECTNO> <SUBJECT>Tariff requirements.</SUBJECT> <P>No common carrier of property subject to the provisions of 49 U.S.C. 13702, except as otherwise provided in § 377.101, shall render any c.o.d. service unless such carrier has published, posted and filed tariffs which contain the rates, charges and rules governing such service, which rules shall conform to the regulations in this part.</P> <CITA>[32 FR 20050, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, as amended at 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 377.105</SECTNO> <SUBJECT>Collection and remittance.</SUBJECT> <P>Every common carrier of property subject to 49 U.S.C. 13702, except as otherwise provided in § 377.101, which chooses to provide c.o.d. service may publish and maintain, or cause to be published and maintained for its account, a tariff or tariffs which set forth nondiscriminatory rules governing c.o.d. service and the collection and remittance of c.o.d. funds. Alternatively, any carrier that provides c.o.d. service, but does not wish to publish and maintain, or cause to be published and maintained, its own nondiscriminatory tariff, may adopt a rule requiring remittance of each c.o.d. collection directly to the consignor or other person designated by the consignor as payee within fifteen (15) days after delivery of the c.o.d. shipment to the consignee.</P> <CITA>[52 FR 45966, Dec. 3, 1987, as amended at 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> <SUBPART> <PRTPAGE P="132"/> <HD SOURCE="HED">Subpart B—Extension of Credit to Shippers by Motor Common Carriers, Water Common Carriers, and Household Goods Freight Forwarders</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>50 FR 2290, Jan. 16, 1985, unless otherwise noted. Redesignated at 61 FR 54709, Oct. 21, 1996.</P> </SOURCE> <SECTION> <SECTNO>§ 377.201</SECTNO> <SUBJECT>Scope.</SUBJECT> <P>(a) <E T="03">General.</E> These regulations apply to the extension of credit in the transportation of property under Federal Motor Carrier Safety Administration regulation by motor carriers and household goods freight forwarders, except as otherwise provided.</P> <P>(b) <E T="03">Exceptions.</E> These regulations do not apply to—</P> <P>(1) Contract carriage operations.</P> <P>(2) Transportation for—</P> <P>(i) The United States or any department, bureau, or agency thereof,</P> <P>(ii) Any State, or political subdivision thereof,</P> <P>(iii) The District of Columbia.</P> <P>(3) Property transportation incidental to passenger operations.</P> <CITA>[50 FR 2290, Jan. 16, 1985, as amended at 51 FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 377.203</SECTNO> <SUBJECT>Extension of credit to shippers.</SUBJECT> <P>(a) <E T="03">Authorization to extend credit.</E> (1) A carrier that meets the requirements in paragraph (a)(2) of this section may—</P> <P>(i) Relinquish possession of freight in advance of the payment of the tariff charges, and</P> <P>(ii) Extend credit in the amount of such charges to those who undertake to pay them (such persons are called <E T="03">shippers</E> in this part).</P> <P>(2) For such authorization, the carrier shall take reasonable actions to assure payment of the tariff charges within the credit periods specified—</P> <P>(i) In this part, or</P> <P>(ii) In tariff provisions published pursuant to the regulations in paragraph (d) of this section.</P> <P>(b) <E T="03">When the credit period begins.</E> The credit period shall begin on the day following presentation of the freight bill.</P> <P>(c) <E T="03">Length of credit period.</E> Unless a different credit period has been established by tariff publication pursuant to paragraph (d) of this section, the credit period is 15 days. It includes Saturdays, Sundays, and legal holidays.</P> <P>(d) <E T="03">Carriers may establish different credit periods in tariff rules.</E> Carriers may publish tariff rules establishing credit periods different from those in paragraph (c) of this section. Such credit periods shall not be longer than 30 calendar days.</P> <P>(e) <E T="03">Service charges.</E> (1) Service charges shall not apply when credit is extended and payments are made within the standard credit period. The term <E T="03">standard credit period,</E> as used in the preceding sentence, means—</P> <P>(i) The credit period prescribed in paragraph (c) of this section, or</P> <P>(ii) A substitute credit period published in a tariff rule pursuant to the authorization in paragraph (d) of this section.</P> <P>(2) Carriers may, by tariff rule, extend credit for an additional time period, subject if they wish to a service charge for that additional time. The combined length of the carrier's standard credit period (as defined in paragraph (e)(1) of this section) and its additional credit period shall not exceed the 30-day maximum credit period prescribed in paragraph (d) of this section. When such a tariff rule is in effect, shippers may elect to postpone payment until the end of the extended credit period if, in consideration therefor, they include any published service charges when making their payment.</P> <P>(3) Carriers may, by tariff rule, establish service charges for payments made after the expiration of an authorized credit period. Such a rule shall—</P> <P>(i) Institute such charges on the day following the last day of an authorized credit period, and</P> <P>(ii) Notify shippers—</P> <P>(A) That its only purpose is to prevent a shipper who does not pay on time from having free use of funds due to the carrier,</P> <P>(B) That it does not sanction payment delays, and</P> <P>(C) That failure to pay within the authorized credit period will, despite this provision for such charges, continue to require the carrier, before again extending credit, to determine in good faith whether the shipper will comply <PRTPAGE P="133"/>with the credit regulations in the future.</P> <P>(4) Tariff rules that establish charges pursuant to paragraph (e) (2) or (3) of this section may establish minimum charges.</P> <P>(f) <E T="03">Discounts.</E> Carriers may, by tariff rule, authorize discounts for early freight bill payments when credit is extended.</P> <P>(g)(1) <E T="03">Collection expense charges.</E> Carriers may, by tariff rule, assess reasonable and certain liquidated damages for all costs incurred in the collection of overdue freight charges. Carriers may use one of two methods in their tariffs:</P> <P>(i) The first method is to assess liquidated damages as a separate additional charge to the unpaid freight bill. In doing so, the tariff rule shall disclose the exact amount of the charges by stating either a dollar or specified percentage amount (or a combination of both) of the unpaid freight bill. The tariff shall further specify the time period (which shall at least allow for the authorized credit period) within which the shipper must pay to avoid such liquidated damages.</P> <P>(ii) The second method is to require payment of the full, nondiscounted rate instead of the discounted rate otherwise applicable. The difference between the discount and the full rate constitutes a carrier's liquidated damages for its collection effort. Under this method the tariff shall identify the discount rates that are subject to the condition precedent and which require the shipper to make payment by a date certain. The date certain may not be set to occur by the carrier until at least after the expiration of the carrier's authorized credit period.</P> <P>(2) The damages, the timing of their applicability, and the conditions, if any, as provided by the tariff-rule methods allowed under paragraphs (g)(1) (i) and (ii) of this section also:</P> <P>(i) Shall be clearly described in the tariff rule;</P> <P>(ii) Shall be applied without unlawful prejudice and/or unjust discrimination between similarly situated shippers and/or consignees;</P> <P>(iii) Shall be applied only to the nonpayment of original, separate and independent freight bills and shall not apply to aggregate <E T="03">balance-due</E> claims sought for collection on past shipments by a bankruptcy trustee, or any other person or agent;</P> <P>(iv) Shall not apply to instances of clear clerical or ministerial error such as non-receipt of a carrier's freight bill, or shipper's payment check lost in the mail, or carrier mailing of the freight bill to the wrong address;</P> <P>(v) Shall not apply in any way to a charge for a transportation service if the carrier's bill of lading independently provides that the shipper is liable for fees incurred by the carrier in the collection of freight charges on that same transportation service;</P> <P>(vi) shall be applied only after the authorized credit period, and when the carrier has issued a revised freight bill or notice of imposition of collection expense charges for late payment within 90 days after expiration of the authorized credit period.</P> <P>(3) As an alternative to the tariff-rule methods allowed under paragraphs (g)(1) (i) and (ii) of this section, a carrier may, wholly outside of its tariff, assess collection charges though contract terms in a bill of lading. By using the carrier and its bill of lading, the shipper accepts the bill of lading terms.</P> <P>(h) <E T="03">Discrimination prohibited.</E> Tariff rules published pursuant to paragraphs (d), (e), and (f) of this section shall not result in unreasonable discrimination among shippers.</P> <CITA>[50 FR 2290, Jan 16, 1985, as amended at 53 FR 6991, Mar. 4, 1988; 54 FR 30748, July 24, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 377.205</SECTNO> <SUBJECT>Presentation of freight bills.</SUBJECT> <P>(a) <E T="03">“To be prepaid” shipments.</E> (1) On “to be prepaid” shipments, the carrier shall present its freight bill for all transportation charges within the time period prescribed in paragraph (a)(2) of this section, except—</P> <P>(i) As noted in paragraph (d) of this section, or</P> <P>(ii) As otherwise excepted in this part.</P> <P>(2) The time period for a carrier to present its freight bill for all transportation charges shall be 7 days, measured from the date the carrier received the shipment. This time period does not include Saturdays, Sundays, or legal holidays.<PRTPAGE P="134"/> </P> <P>(b) <E T="03">“Collect” shipments.</E> (1) On “collect” shipments, the carrier shall present its freight bill for all transportation charges within the time period prescribed in paragraph (b)(2) and of this section, except—</P> <P>(i) As noted in paragraph (d) of this section, or</P> <P>(ii) As otherwise excepted in this part.</P> <P>(2) The time period for a carrier to present its freight bill for all transportation charges shall be 7 days, measured from the date the shipment was delivered at its destination. This time period does not include Saturdays, Sundays, or legal holidays.</P> <P>(c) <E T="03">Bills or accompanying written notices shall state penalties for late payment, credit time limits and service charge and/or collection expense charge and discount terms.</E> When credit is extended, freight bills or a separate written notice accompanying a freight bill or a group of freight bills presented at one time shall state that “failure timely to pay freight charges may be subject to tariff penalties” (or a statement of similar import). The bills or other notice shall also state the time by which payment must be made and any applicable service charge and/or collection expense charge and discount terms.</P> <P>(d) <E T="03">When the carrier lacks sufficient information to compute tariff charges.</E> (1) When information sufficient to enable the carrier to compute the tariff charges is not then available to the carrier at its billing point, the carrier shall present its freight bill for payment within 7 days following the day upon which sufficient information becomes available at the billing point. This time period does not include Saturdays, Sundays, or legal holidays.</P> <P>(2) A carrier shall not extend further credit to any shipper which fails to furnish sufficient information to allow the carrier to render a freight bill within a reasonable time after the shipment is tendered to the origin carrier.</P> <P>(3) As used in this paragraph, the term “shipper” includes, but is not limited to, freight forwarders, and shippers' associations and shippers' agents.</P> <CITA>[50 FR 2290, Jan 16, 1985, as amended at 54 FR 30748, July 24, 1989; 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 377.207</SECTNO> <SUBJECT>Effect of mailing freight bills or payments.</SUBJECT> <P>(a) <E T="03">Presentation of freight bills by mail.</E> When carriers present freight bills by mail, the time of mailing shall be deemed to be the time of presentation of the bills. The term <E T="03">freight bills,</E> as used in this paragraph, includes both paper documents and billing by use of electronic media such as computer tapes or disks, when the mails are used to transmit them.</P> <P>(b) <E T="03">Payment by mail.</E> Wnen shippers mail acceptable checks, drafts, or money orders in payment of freight charges, the act of mailing them within the credit period shall be deemed to be the collection of the tariff charges within the credit period for the purposes of the regulations in this part.</P> <P>(c) <E T="03">Disputes as to date of mailing.</E> In case of dispute as to the date of mailing, the postmark shall be accepted as such date.</P> </SECTION> <SECTION> <SECTNO>§ 377.209</SECTNO> <SUBJECT>Additional charges.</SUBJECT> <P>When a carrier—</P> <P>(a) Has collected the amount of tariff charges represented in a freight bill presented by it as the total amount of such charges, and</P> <P>(b) Thereafter presents to the shipper another freight bill for additional charges—</P> <FP>the carrier may extend credit in the amount of such additional charges for a period of 30 calendar days from the date of the presentation of the freight bill for the additional charges.</FP> </SECTION> <SECTION> <SECTNO>§ 377.211</SECTNO> <SUBJECT>Computation of time.</SUBJECT> <P>Time periods involving calendar days shall be calculated pursuant to 49 CFR 386.32(a).</P> <CITA>[50 FR 2290, Jan 16, 1985. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§§ 377.213-377.215</SECTNO> <RESERVED>[Reserved]</RESERVED> </SECTION> <SECTION> <SECTNO>§ 377.217</SECTNO> <SUBJECT>Interline settlement of revenues.</SUBJECT> <P>Nothing in this part shall be interpreted as affecting the interline settlement of revenues from traffic which is <PRTPAGE P="135"/>transported over through routes composed of lines of common carriers subject to the Secretary's jurisdiction under 49 U.S.C. subtitle IV, part B.</P> <CITA>[50 FR 2290, Jan 16, 1985. Redesignated at 61 FR 54709, Oct. 21, 1996, as amended at 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 378</EAR> <HD SOURCE="HED">PART 378—PROCEDURES GOVERNING THE PROCESSING, INVESTIGATION, AND DISPOSITION OF OVERCHARGE, DUPLICATE PAYMENT, OR OVERCOLLECTION CLAIMS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>378.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>378.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>378.3</SECTNO> <SUBJECT>Filing and processing claims.</SUBJECT> <SECTNO>378.4</SECTNO> <SUBJECT>Documentation of claims.</SUBJECT> <SECTNO>378.5</SECTNO> <SUBJECT>Investigation of claims.</SUBJECT> <SECTNO>378.6</SECTNO> <SUBJECT>Claim records.</SUBJECT> <SECTNO>378.7</SECTNO> <SUBJECT>Acknowledgment of claims.</SUBJECT> <SECTNO>378.8</SECTNO> <SUBJECT>Disposition of claims.</SUBJECT> <SECTNO>378.9</SECTNO> <SUBJECT>Disposition of unidentified payments, overcharges, duplicate payments, and overcollections not supported by claims.</SUBJECT> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13321, 14101, 14704 and 14705; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>43 FR 41040, Sept. 14, 1978, unless otherwise noted. Redesignated at 61 FR 54707, Oct. 21, 1996.</P> </SOURCE> <SECTION> <SECTNO>§ 378.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>The regulations set forth in this part govern the processing of claims for overcharge, duplicate payment, or overcollection for the transportation of property in interstate or foreign commerce by motor common carriers and household goods freight forwarders subject to 49 U.S.C. subtitle IV, part B.</P> <CITA>[43 FR 41040, Sept. 14, 1978, as amended at 51 FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 378.2</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) <E T="03">Carrier</E> means a motor common carrier or household goods freight forwarder subject to 49 U.S.C. subtitle IV, part B.</P> <P>(b) <E T="03">Overcharge</E> means an overcharge as defined in 49 U.S.C. 14704(b). It also includes duplicate payments as defined in paragraph (c) of this section and overcollections as defined in paragraph (d) of this section when a dispute exists between the parties concerning such charges.</P> <P>(c) <E T="03">Duplicate payment</E> means two or more payments for transporting the same shipment. Where one or more payment is not in the exact amount of the applicable tariff rates and charges, refunds shall be made on the basis of the excess amount over the applicable tariff rates and charges.</P> <P>(d) <E T="03">Overcollection</E> means the receipt by a household goods carrier of a payment in excess of the transportation and/or accessorial charges applicable to a particular shipment of household goods, as defined in part 375 of this chapter, under tariffs lawfully on file with the United States Department of Transportation's Surface Transportation Board.</P> <P>(e) <E T="03">Unidentified payment</E> means a payment which a carrier has received but which the carrier is unable to match with its open accounts receivable or otherwise identify as being due for the performance of transportation services.</P> <P>(f) <E T="03">Claimant</E> means any shipper or receiver, or its authorized agent, filing a request with a carrier for the refund of an overcharge, duplicate payment, or overcollection.</P> <CITA>[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 66832, Nov. 21, 1979; 51 FR 34989, Oct. 1, 1986; 51 FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 378.3</SECTNO> <SUBJECT>Filing and processing claims.</SUBJECT> <P>(a) A claim for overcharge, duplicate payment, or overcollection shall not be paid unless filed in writing or electronically communicated (when agreed to by the carrier and shipper or receiver involved) with the carrier that collected the transportation charges. The collecting carrier shall be the carrier to process all such claims. When a claim is filed with another carrier that participated in the transportation, that carrier shall transmit the claim to the collecting carrier within 15 days after receipt of the claim. If the collecting carrier is unable to dispose of the claim for any reason, the claim may be filed with or transferred to any participating carrier for final disposition.</P> <P>(b) A single claim may include more than one shipment provided the claim on each shipment involves:</P> <P>(1) The same tariff issue or authority or circumstances,<PRTPAGE P="136"/> </P> <P>(2) Single line service by the same carrier, or</P> <P>(3) Service by the same interline carriers.</P> <CITA>[43 FR 41040, Sept 14, 1978, as amended at 47 FR 12804, Mar. 25, 1982]</CITA> </SECTION> <SECTION> <SECTNO>§ 378.4</SECTNO> <SUBJECT>Documentation of claims.</SUBJECT> <P>(a) Claims for overcharge, duplicate payment, or overcollection shall be accompanied by sufficient information to allow the carriers to conduct an investigation and pay or decline the claim within the time limitations set forth in § 378.8. Claims shall include the name of the claimant, its file number, if any, and the amount of the refund sought to be recovered, if known.</P> <P>(b) Except when the original freight bill is not a paper document but is electronically transmitted, claims for overcharge shall be accompanied by the original freight bill. Additional information may include, but is not limited to, the following:</P> <P>(1) The rate, classification, or commodity description or weight claimed to have been applicable.</P> <P>(2) Complete tariff authority for the rate, classification, or commodity description claimed.</P> <P>(3) Freight bill payment information.</P> <P>(4) Other documents or data which is believed by claimant to substantiate the basis for its claim.</P> <P>(c) Claims for duplicate payment and overcollection shall be accompanied by the original freight bill(s) for which charges were paid (except when the original freight bill is not a paper document but is electronically transmitted) and by freight bill payment information.</P> <P>(d) Regardless of the provisions of paragraphs (a), (b), and (c) of this section, the failure to provide sufficient information and documentation to allow a carrier to conduct an investigation and pay or decline the claim within the allowable time limitation shall not constitute grounds for disallowance of the claim. Rather, the carrier shall comply with § 378.5(c) to obtain the additional information required.</P> <P>(e) A carrier shall accept copies instead of the orginal documents required to be submitted in this section where the carrier is furnished with an agreement entered into by the claimant which indemnifies the carrier for subsequent duplicate claims which might be filed and supported by the original documents.</P> <CITA>[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 4679, Jan. 23, 1979; 47 FR 12804, Mar. 25, 1982; 62 FR 15424, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 378.5</SECTNO> <SUBJECT>Investigation of claims.</SUBJECT> <P>(a) Upon receipt of a claim, whether written or otherwise, the processing carrier shall promptly initiate an investigation and establish a file, as required by § 378.6.</P> <P>(b) If a carrier discovers an overcharge, duplicate payment, or overcollection which has not been the subject of a claim, it shall promptly initiate an investigation and comply with the provisions in § 378.9.</P> <P>(c) In the event the carrier processing the claim requires information or documents in addition to that submitted with the claim, the carrier shall promptly notify the claimant and request the information required. This includes notifying the claimant that a written or electronically transmitted claim must be filed before the carrier becomes subject to the time limits for settling such a claim under § 378.8.</P> <CITA>[43 FR 41040, Sept. 14, 1978, as amended at 47 FR 12804, Mar. 25, 1982; 62 FR 15424, 15425, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 378.6</SECTNO> <SUBJECT>Claim records.</SUBJECT> <P>At the time a claim is received the carrier shall create a separate file and assign it a successive claim file number and note that number on all documents filed in support of the claim and all records and correspondence with respect to the claim, including the written or electronic acknowledgment of receipt required under § 378.7. If pertinent to the disposition of the claim, the carrier shall also note that number on the shipping order and delivery receipt, if any, covering the shipment involved.</P> <CITA>[47 FR 12804, Mar. 25, 1982, as amended at 62 FR 15425, Apr. 1, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 378.7</SECTNO> <SUBJECT>Acknowledgment of claims.</SUBJECT> <P>Upon receipt of a written or electronically transmitted claim, the carrier shall acknowledge its receipt in <PRTPAGE P="137"/>writing or electronically to the claimant within 30 days after the date of receipt except when the carrier shall have paid or declined in writing or electronically within that period. The carrier shall include the date of receipt in its written or electronic claim which shall be placed in the file for that claim.</P> <CITA>[47 FR 12804, Mar. 25, 1982]</CITA> </SECTION> <SECTION> <SECTNO>§ 378.8</SECTNO> <SUBJECT>Disposition of claims.</SUBJECT> <P>The processing carrier shall pay, decline to pay, or settle each written or electronically communicated claim within 60 days after its receipt by that carrier, except where the claimant and the carrier agree in writing or electronically to a specific extension based upon extenuating circumstances. If the carrier declines to pay a claim or makes settlement in an amount different from that sought, the carrier shall notify the claimant in writing or electronically, of the reason(s) for its action, citing tariff authority or other pertinent information developed as a result of its investigation.</P> <CITA>[47 FR 12804, Mar. 25, 1982]</CITA> </SECTION> <SECTION> <SECTNO>§ 378.9</SECTNO> <SUBJECT>Disposition of unidentified payments, overcharges, duplicate payments, and overcollections not supported by claims.</SUBJECT> <P>(a)(1) Carriers shall establish procedures for identifying and properly applying all unidentified payments. If a carrier does not have sufficient information with which properly to apply such a payment, the carrier shall notify the payor of the unidentified payment within 60 days of receipt of the payment and request information which will enable it to identify the payment. If the carrier does not receive the information requested within 90 days from the date of the notice, the carrier may treat the unidentified payment as a payment in fact of freight charges owing to it. Following the 90-day period, the regular claims procedure under this part shall be applicable.</P> <P>(2) Notice shall be in writing and clearly indicate that it is a final notice and not a bill. Notice shall include: The check number, amount, and date; the payor's name; and any additional basic information the carrier is able to provide. The final notice also must inform payor that: (i) Applicable regulations allow the carrier to conditionally retain the payment as revenue in the absence of a timely response by the payor; and (ii) following the 90-day period the regular claims procedure shall be applicable.</P> <P>(3) Upon a carrier's receipt of information from the payor, the carrier shall, within 14 days: (i) Make a complete refund of such funds to the payor; or (ii) notify the payor that the information supplied is not sufficient to identify the unapplied payment and request additional information; or (iii) notify the payor of the carrier's determination that such payment was applicable to particular freight charges lawfully due the carrier. Where no refund is made by the carrier, the carrier shall advise the payor of its right to file a formal claim for refund with the carrier in accordance with the regular claims procedure under this part.</P> <P>(b) When a carrier which participates in a transportation movement, but did not collect the transporation charges, finds that an overpayment has been made, that carrier shall immediately notify the collecting carrier. When the collecting carrier (when single or joint line haul) discovers or is notified by such a participating carrier that an overcharge, duplicate payment, or overcollection exists for any tranportation charge which has not been the subject of a claim, the carrier shall create a file as if a claim had been submitted and shall record in the file the date it discovered or was notified of the overpayment. The carrier that collected the charges shall then refund the amount of the overpayment to the person who paid the transportation charges or to the person that made duplicate payment within 30 days from the date of such discovery or notification.</P> <CITA>[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 66832, Nov. 21, 1979]</CITA> </SECTION> </PART> <PART> <EAR>Pt. 379</EAR> <HD SOURCE="HED">PART 379—PRESERVATION OF RECORDS</HD> <CONTENTS> <SECHD>Sec.</SECHD> <SECTNO>379.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>379.3</SECTNO> <SUBJECT>Records required to be retained.<PRTPAGE P="138"/> </SUBJECT> <SECTNO>379.5</SECTNO> <SUBJECT>Protection and storage of records.</SUBJECT> <SECTNO>379.7</SECTNO> <SUBJECT>Preservation of records.</SUBJECT> <SECTNO>379.9</SECTNO> <SUBJECT>Companies going out of business.</SUBJECT> <SECTNO>379.11</SECTNO> <SUBJECT>Waiver of requirements of the regulations in this part.</SUBJECT> <SECTNO>379.13</SECTNO> <SUBJECT>Disposition and retention of records.</SUBJECT> <APP>Appendix A to Part 379—Schedule of Records and Periods of Retention</APP> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 13301, 14122 and 14123; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>62 FR 32044, June 12, 1997, unless otherwise noted.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 379 appear at 66 FR 49871, Oct. 1, 2001.</P> </EDNOTE> <SECTION> <SECTNO>§ 379.1</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>(a) The preservation of record rules contained in this part shall apply to the following:</P> <P>(1) Motor carriers and brokers;</P> <P>(2) Water carriers; and</P> <P>(3) Household goods freight forwarders.</P> <P>(b) This part applies also to the preservation of accounts, records and memoranda of traffic associations, weighing and inspection bureaus, and other joint activities maintained by or on behalf of companies listed in paragraph (a) of this section.</P> </SECTION> <SECTION> <SECTNO>§ 379.3</SECTNO> <SUBJECT>Records required to be retained.</SUBJECT> <P>Companies subject to this part shall retain records for the minimum retention periods provided in appendix A to this part. After the required retention periods, the records may be destroyed at the discretion of each company's management. It shall be the obligation of the subject company to maintain records that adequately support financial and operational data required by the Secretary. The company may request a ruling from the Secretary on the retention of any record. The provisions of this part shall not be construed as excusing compliance with the lawful requirements of any other governmental body prescribing longer retention periods for any category of records.</P> </SECTION> <SECTION> <SECTNO>§ 379.5</SECTNO> <SUBJECT>Protection and storage of records.</SUBJECT> <P>(a) The company shall protect records subject to this part from fires, floods, and other hazards, and safeguard the records from unnecessary exposure to deterioration from excessive humidity, dryness, or lack of ventilation.</P> <P>(b) The company shall notify the Secretary if prescribed records are substantially destroyed or damaged before the term of the prescribed retention periods.</P> </SECTION> <SECTION> <SECTNO>§ 379.7</SECTNO> <SUBJECT>Preservation of records.</SUBJECT> <P>(a) All records may be preserved by any technology that is immune to alteration, modification, or erasure of the underlying data and will enable production of an accurate and unaltered paper copy.</P> <P>(b) Records not originally preserved on hard copy shall be accompanied by a statement executed by a person having personal knowledge of the facts indicating the type of data included within the records. One comprehensive statement may be executed in lieu of individual statements for multiple records if the type of data included in the multiple records is common to all such records. The records shall be indexed and retained in such a manner as will render them readily accessible. The company shall have facilities available to locate, identify and produce legible paper copies of the records.</P> <P>(c) Any significant characteristic, feature or other attribute that a particular medium will not preserve shall be clearly indicated at the beginning of the applicable records as appropriate.</P> <P>(d) The printed side of forms, such as instructions, need not be preserved for each record as long as the printed matter is common to all such forms and an identified specimen of the form is maintained on the medium for reference.</P> </SECTION> <SECTION> <SECTNO>§ 379.9</SECTNO> <SUBJECT>Companies going out of business.</SUBJECT> <P>The records referred to in the regulations in this part may be destroyed after business is discontinued and the company is completely liquidated. The records may not be destroyed until dissolution is final and all pending transactions and claims are completed. When a company is merged with another company under jurisdiction of the Secretary, the successor company shall preserve records of the merged <PRTPAGE P="139"/>company in accordance with the regulations in this part.</P> </SECTION> <SECTION> <SECTNO>§ 379.11</SECTNO> <SUBJECT>Waiver of requirements of the regulations in this part.</SUBJECT> <P>A waiver from any provision of the regulations in this part may be made by the Secretary upon his/her own initiative or upon submission of a written request by the company. Each request for waiver shall demonstrate that unusual circumstances warrant a departure from prescribed retention periods, procedures, or techniques, or that compliance with such prescribed requirements would impose an unreasonable burden on the company.</P> </SECTION> <SECTION> <SECTNO>§ 379.13</SECTNO> <SUBJECT>Disposition and retention of records.</SUBJECT> <P>The schedule in appendix A to this part shows periods that designated records shall be preserved. The descriptions specified under the various general headings are for convenient reference and identification, and are intended to apply to the items named regardless of what the records are called in individual companies and regardless of the record media. The retention periods represent the prescribed number of years from the date of the document and not calendar years. Records not listed in appendix A to this part shall be retained as determined by the management of each company.</P> </SECTION> <APPENDIX> <EAR>Pt. 379, App. A</EAR> <HD SOURCE="HED">Appendix A to Part 379—Schedule of Records and Periods of Retention</HD> <GPOTABLE CDEF="s100,xs120" COLS="2" OPTS="L2"> <BOXHD> <CHED H="1">Item and category of records</CHED> <CHED H="1">Retention period</CHED> </BOXHD> <ROW> <ENT I="21"> <E T="02">A. Corporate and General</E> </ENT> </ROW> <ROW> <ENT I="22">1. Incorporation and reorganization:</ENT> </ROW> <ROW> <ENT I="03">(a) Charter or certificate of incorporation and amendments</ENT> <ENT>Note A.</ENT> </ROW> <ROW> <ENT I="03">(b) Legal documents related to mergers, consolidations, reorganization, receiverships and similar actions which affect the identity or organization of the company</ENT> <ENT>Note A.</ENT> </ROW> <ROW> <ENT I="01">2. Minutes of Directors, Executive Committees, Stockholders and other corporate meetings</ENT> <ENT>Note A.</ENT> </ROW> <ROW> <ENT I="22">3. Titles, franchises and authorities:</ENT> </ROW> <ROW> <ENT I="03">(a) Certificates of public convenience and necessity issued by regulating bodies</ENT> <ENT>Until expiration or cancellation.</ENT> </ROW> <ROW> <ENT I="03">(b) Operating authorizations and exemptions to operate</ENT> <ENT>Until expiration or cancellation.</ENT> </ROW> <ROW> <ENT I="03">(c) Copies of formal orders of regulatory bodies served upon the company</ENT> <ENT>Note A.</ENT> </ROW> <ROW> <ENT I="03">(d) Deeds, charters, and other title papers</ENT> <ENT>Until disposition of property.</ENT> </ROW> <ROW> <ENT I="03">(e) Patents and patent records</ENT> <ENT>Note A.</ENT> </ROW> <ROW> <ENT I="01">4. Annual reports or statements to stockholders</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="22">5. Contracts and agreements:</ENT> </ROW> <ROW> <ENT I="03">(a) Service contracts, such as for operational management, accounting, financial or legal services, and agreements with agents</ENT> <ENT>Until expiration or termination plus 3 years.</ENT> </ROW> <ROW> <ENT I="03">(b) Contracts and other agreements relating to the construction, acquisition or sale of real property and equipment except as otherwise provided in (a) above</ENT> <ENT>Until expiration or termination plus 3 years.</ENT> </ROW> <ROW> <ENT I="03">(c) Contracts for the purchase or sale of material and supplies except as provided in (a) above</ENT> <ENT>Until expiration.</ENT> </ROW> <ROW> <ENT I="03">(d) Shipping contracts for transportation or caretakers of freight</ENT> <ENT>Until expiration.</ENT> </ROW> <ROW> <ENT I="03">(e) Contracts with employees and employee bargaining groups</ENT> <ENT>Until expiration.</ENT> </ROW> <ROW> <ENT I="03">(f) Contracts, leases and agreements, not specifically provided for in this section</ENT> <ENT>Until expiration or termination plus 1 year.</ENT> </ROW> <ROW> <ENT I="22">6. Accountant's auditor's, and inspector's reports:</ENT> </ROW> <ROW> <ENT I="03">(a) Certifications and reports of examinations and audits conducted by public accountants</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="03">(b) Reports of examinations and audits conducted by internal auditors, time inspectors, and others</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="01">7. Other</ENT> <ENT>Note A. </ENT> </ROW> <ROW> <ENT I="21"> <E T="02">B. Treasury</E> </ENT> </ROW> <ROW> <ENT I="22">1. Capital stock records:</ENT> </ROW> <ROW> <ENT I="03">(a) Capital stock ledger</ENT> <ENT>Note A.</ENT> </ROW> <ROW> <ENT I="03">(b) Capital stock certificates, records of or stubs of</ENT> <ENT>Note A.</ENT> </ROW> <ROW> <ENT I="03">(c) Stock transfer register</ENT> <ENT>Note A.</ENT> </ROW> <ROW> <ENT I="22">2. Long-term debt records:</ENT> </ROW> <ROW> <ENT I="03">(a) Bond indentures, underwritings, mortgages, and other long-term credit agreements</ENT> <ENT>Until redemption plus 3 years.</ENT> </ROW> <ROW> <ENT I="03">(b) Registered bonds and debenture ledgers</ENT> <ENT>Until redemption plus 3 years.</ENT> </ROW> <ROW> <ENT I="03">(c) Stubs or similar records of bonds or other long-term debt issued</ENT> <ENT>Note A.</ENT> </ROW> <ROW> <PRTPAGE P="140"/> <ENT I="01">3. Authorizations from regulatory bodies for issuance of securities including applications, reports, and supporting papers</ENT> <ENT>Note A.</ENT> </ROW> <ROW> <ENT I="01">4. Records of securities owned, in treasury, or held by custodians, detailed ledgers and journals, or their equivalent</ENT> <ENT>Until the securities are sold, redeemed or otherwise disposed of.</ENT> </ROW> <ROW> <ENT I="01">5. Other</ENT> <ENT>Note A. </ENT> </ROW> <ROW> <ENT I="21"> <E T="02">C. Financial and Accounting</E> </ENT> </ROW> <ROW> <ENT I="22">1. Ledgers:</ENT> </ROW> <ROW> <ENT I="03">(a) General and subsidiary ledgers with indexes</ENT> <ENT>Until discontinuance of use plus 3 years.</ENT> </ROW> <ROW> <ENT I="03">(b) Balance sheets and trial balance sheets of general and subsidiary ledgers</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="22">2. Journals:</ENT> </ROW> <ROW> <ENT I="03">(a) General journals</ENT> <ENT>Until discontinuance of use plus 3 years.</ENT> </ROW> <ROW> <ENT I="03">(b) Subsidiary journals and any supporting data, except as otherwise provided for, necessary to explain journal entries</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="22">3. Cash books:</ENT> </ROW> <ROW> <ENT I="03">(a) General cash books</ENT> <ENT>Until discontinuance of use plus 3 years.</ENT> </ROW> <ROW> <ENT I="03">(b) Subsidiary cash books</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="22">4. Vouchers:</ENT> </ROW> <ROW> <ENT I="03">(a) Voucher registers, indexes, or equivalent</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="03">(b) Paid and canceled vouchers, expenditure authorizations, detailed distribution sheets and other supporting data including original bills and invoices, if not provided for elsewhere</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="03">(c) Paid drafts, paid checks, and receipts for cash paid out</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="22">5. Accounts receivable:</ENT> </ROW> <ROW> <ENT I="03">(a) Record or register of accounts receivable, indexes thereto, and summaries of distribution</ENT> <ENT>3 years after settlement.</ENT> </ROW> <ROW> <ENT I="03">(b) Bills issued for collection and supporting data</ENT> <ENT>3 years after settlement.</ENT> </ROW> <ROW> <ENT I="03">(c) Authorization for writing off receivables</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(d) Reports and statements showing age and status of receivables</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="01">6. Records of accounting codes and instructions</ENT> <ENT>3 years after discontinuance.</ENT> </ROW> <ROW> <ENT I="01">7. Other</ENT> <ENT>Note A. </ENT> </ROW> <ROW> <ENT I="21"> <E T="02">D. Property and Equipment</E> </ENT> </ROW> <ROW EXPSTB="01"> <ENT I="01" O="oi1">Note.—All accounts, records, and memoranda necessary for making a complete analysis of the cost or value of property shall be retained for the periods shown. If any of the records elsewhere provided for in this schedule are of this character, they shall be retained for the periods shown below, regardless of any lesser retention period assigned. </ENT> </ROW> <ROW EXPSTB="s0"> <ENT I="22">1. Property records:</ENT> </ROW> <ROW> <ENT I="03">(a) Records which maintain complete information on cost or other value of all real and personal property or equipment</ENT> <ENT>3 years after disposition of property.</ENT> </ROW> <ROW> <ENT I="03">(b) Records of additions and betterments made to property and equipment</ENT> <ENT>3 years after disposition of property.</ENT> </ROW> <ROW> <ENT I="03">(c) Records pertaining to retirements and replacements of property and equipment</ENT> <ENT>3 years after disposition of property.</ENT> </ROW> <ROW> <ENT I="03">(d) Records pertaining to depreciation</ENT> <ENT>3 years after disposition of property.</ENT> </ROW> <ROW> <ENT I="03">(e) Records of equipment number changes</ENT> <ENT>3 years after disposition of property.</ENT> </ROW> <ROW> <ENT I="03">(f) Records of motor and engine changes</ENT> <ENT>3 years after disposition of property.</ENT> </ROW> <ROW> <ENT I="03">(g) Records of equipment lightweighed and stenciled</ENT> <ENT>Only current or latest records.</ENT> </ROW> <ROW> <ENT I="01">2. Engineering records of property changes actually made</ENT> <ENT>3 years after disposition of property.</ENT> </ROW> <ROW> <ENT I="01">3. Other</ENT> <ENT>Note A. </ENT> </ROW> <ROW> <ENT I="21"> <E T="02">E. Personnel and Payroll</E> </ENT> </ROW> <ROW> <ENT I="01">1. Personnel and payroll records</ENT> <ENT>1 year. </ENT> </ROW> <ROW> <ENT I="21"> <E T="02">F. Insurance and Claims</E> </ENT> </ROW> <ROW> <ENT I="22">1. Insurance records:</ENT> </ROW> <ROW> <ENT I="03">(a) Schedules of insurance against fire, storms, and other hazards and records of premium payments</ENT> <ENT>Until expiration plus 1 year.</ENT> </ROW> <ROW> <ENT I="03">(b) Records of losses and recoveries from insurance companies and supporting papers</ENT> <ENT>1 year after settlement.</ENT> </ROW> <ROW> <ENT I="03">(c) Insurance policies</ENT> <ENT>Until expiration of coverage plus 1 year.</ENT> </ROW> <ROW> <ENT I="22">2. Claims records:</ENT> </ROW> <ROW> <ENT I="03">(a) Claim registers, card or book indexes, and other records which record personal injury, fire and other claims against the company, together with all supporting data</ENT> <ENT>1 year after settlement.</ENT> </ROW> <ROW> <ENT I="03">(b) Claims registers, card or book indexes, and other records which record overcharges, damages, and other claims filed by the company against others, together with all supporting data</ENT> <ENT>1 year after settlement.</ENT> </ROW> <ROW> <ENT I="03">(c) Records giving the details of authorities issued to agents, carriers, and others for participation in freight claims</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="03">(d) Reports, statements and other data pertaining to personal injuries or damage to property when not necessary to support claims or vouchers</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="03">(e) Reports, statements, tracers, and other data pertaining to unclaimed, over, short, damaged, and refused freight, when not necessary to support claims or vouchers</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <PRTPAGE P="141"/> <ENT I="03">(f) Authorities for disposal of unclaimed, damaged, and refused freight</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="01">3. Other</ENT> <ENT>Note A. </ENT> </ROW> <ROW> <ENT I="21"> <E T="02">G. Taxes</E> </ENT> </ROW> <ROW> <ENT I="01">1. Taxes.</ENT> <ENT>Note A. </ENT> </ROW> <ROW> <ENT I="21"> <E T="02">H. Purchases and Stores</E> </ENT> </ROW> <ROW> <ENT I="01">1. Purchases and stores.</ENT> <ENT>Note A. </ENT> </ROW> <ROW> <ENT I="21"> <E T="02">I. Shipping and Agency Documents</E> </ENT> </ROW> <ROW> <ENT I="22">1. Bills of lading and releases:</ENT> </ROW> <ROW> <ENT I="03">(a) Consignors' shipping orders, consignors' shipping tickets, and copies of bills of lading, freight bills from other carriers and other similar documents furnished the carrier for movement of freight</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(b) Shippers' order-to-notify bills of lading taken up and canceled</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="22">2. Freight waybills:</ENT> </ROW> <ROW> <ENT I="03">(a) Local waybills</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(b) Interline waybills received from and made to other carriers</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(c) Company freight waybills</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(d) Express waybills</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="22">3. Freight bills and settlements:</ENT> </ROW> <ROW> <ENT I="13">(a) Paid copy of freight bill retained to support receipt of freight charges:</ENT> </ROW> <ROW> <ENT I="05">(1) Bus express freight bills provided no claim has been filed</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="05">(2) All other freight bills</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="13">(b) Paid copy of freight bill retained to support payment of freight charges to other carriers:</ENT> </ROW> <ROW> <ENT I="05">(1) Bus express freight bills provided no claim has been filed</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="05">(2) All other freight bills</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(c) Records of unsettled freight bills and supporting papers</ENT> <ENT>1 year after disposition.</ENT> </ROW> <ROW> <ENT I="03">(d) Records and reports of correction notices</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="22">4. Other freight records:</ENT> </ROW> <ROW> <ENT I="03">(a) Records of freight received, forwarded, and delivered</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(b) Notice to consignees of arrival of freight; tender of delivery</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="22">5. Agency records (to include conductors, pursers, stewards, and others):</ENT> </ROW> <ROW> <ENT I="03">(a) Cash books</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(b) Remittance records, bank deposit slips and supporting papers</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(c) Balance sheets and supporting papers</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(d) Statements of corrections in agents' accounts</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(e) Other records and reports pertaining to ticket sales, baggage handled, miscellaneous collections, refunds, adjustments, etc.</ENT> <ENT>1 year. </ENT> </ROW> <ROW> <ENT I="21"> <E T="02">J. Transportation</E> </ENT> </ROW> <ROW> <ENT I="22">1. Records pertaining to transportation of household goods:</ENT> </ROW> <ROW> <ENT I="03">(a) Estimate of charges</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(b) Order for service</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(c) Vehicle-load manifest</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="03">(d) Descriptive inventory</ENT> <ENT>1 year.</ENT> </ROW> <ROW> <ENT I="22">2. Records and reports pertaining to operation of marine and floating equipment:</ENT> </ROW> <ROW> <ENT I="03">(a) Ship log</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="03">(b) Ship articles</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="03">(c) Passenger and room list</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="03">(d) Floatmen's barge, lighter, and escrow captain's reports, demurrage records, towing reports and checks sheets</ENT> <ENT>2 years.</ENT> </ROW> <ROW> <ENT I="01">3. Dispatchers' sheets, registers, and other records pertaining to movement of transportation equipment</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="01">4. Import and export records including bonded freight and steamship engagements</ENT> <ENT>2 years.</ENT> </ROW> <ROW> <ENT I="01">5. Records, reports, orders and tickets pertaining to weighting of freight</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="01">6. Records of loading and unloading of transportation equipment</ENT> <ENT>2 years.</ENT> </ROW> <ROW> <ENT I="01">7. Records pertaining to the diversion or reconsignment of freight, including requests, tracers, and correspondence</ENT> <ENT>2 years.</ENT> </ROW> <ROW> <ENT I="01">8. Other</ENT> <ENT>Note A. </ENT> </ROW> <ROW> <ENT I="21"> <E T="02">K. Supporting Data for Reports and Statistics</E> </ENT> </ROW> <ROW> <ENT I="22">1. Supporting data for reports filed with the Federal Motor Carrier Safety Administration, the Surface Transportation Board, the Department of Transportation's Bureau of Transportation Statistics and regulatory bodies:</ENT> </ROW> <ROW> <ENT I="03">(a) Supporting data for annual financial, operating and statistical reports</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="03">(b) Supporting data for periodical reports of operating revenues, expenses, and income</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="03">(c) Supporting data for reports detailing use of proceeds from issuance or sale of company securities</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <PRTPAGE P="142"/> <ENT I="03">(d) Supporting data for valuation inventory reports and records. This includes related notes, maps and sketches, underlying engineering, land, and accounting reports, pricing schedules, summary or collection sheets, yearly reports of changes and other miscellaneous data, all relating to the valuation of the company's property by the Federal Highway Administration, the Surface Transportation Board, the Department of Transportation's Bureau of Transportation Statistics or other regulatory body</ENT> <ENT>3 years after disposition of the property.</ENT> </ROW> <ROW> <ENT I="01">2. Supporting data for periodical reports of accidents, inspections, tests, hours of service, repairs, etc.</ENT> <ENT>3 years.</ENT> </ROW> <ROW> <ENT I="01">3. Supporting data for periodical statistical of operating results or performance by tonnage, mileage, passengers carried, piggyback traffic, commodities, costs, analyses of increases and decreases, or otherwise</ENT> <ENT>3 years. </ENT> </ROW> <ROW> <ENT I="21"> <E T="02">M. Miscellaneous</E> </ENT> </ROW> <ROW> <ENT I="01">1. Index of records</ENT> <ENT>Until revised as record structure changes.</ENT> </ROW> <ROW> <ENT I="01">2. Statement listing records prematurely destroyed or lost</ENT> <ENT>For the remainder of the period as prescribed for records destroyed.</ENT> </ROW> <TNOTE> <E T="04">Note A</E>—Records referenced to this note shall be maintained as determined by the designated records supervisory official. Companies should be mindful of the record retention requirements of the Internal Revenue Service, Securities and Exchange Commission, State and local jurisdictions, and other regulatory agencies. Companies shall exercise reasonable care in choosing retention periods, and the choice of retention periods shall reflect past experiences, company needs, pending litigation, and regulatory requirements.</TNOTE> </GPOTABLE> </APPENDIX> </PART> <PART> <EAR>Pt. 380</EAR> <HD SOURCE="HED">PART 380—SPECIAL TRAINING REQUIREMENTS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—Longer Combination Vehicle (LCV) Driver-Training and Driver-Instructor Requirements—General</HD> <SECHD>Sec.</SECHD> <SECTNO>380.101</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>380.103</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>380.105</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>380.107</SECTNO> <SUBJECT>General requirements.</SUBJECT> <SECTNO>380.109</SECTNO> <SUBJECT>Driver testing.</SUBJECT> <SECTNO>380.111</SECTNO> <SUBJECT>Substitute for driver training.</SUBJECT> <SECTNO>380.113</SECTNO> <SUBJECT>Employer responsibilities.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—LCV Driver-Training Program</HD> <SECTNO>380.201</SECTNO> <SUBJECT>General requirements.</SUBJECT> <SECTNO>380.203</SECTNO> <SUBJECT>LCV Doubles.</SUBJECT> <SECTNO>380.205</SECTNO> <SUBJECT>LCV Triples.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—LCV Driver-Instructor Requirements</HD> <SECTNO>380.301</SECTNO> <SUBJECT>General requirements.</SUBJECT> <SECTNO>380.303</SECTNO> <SUBJECT>Substitute for instructor requirements.</SUBJECT> <SECTNO>380.305</SECTNO> <SUBJECT>Employer responsibilities.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Driver-Training Certification</HD> <SECTNO>380.401</SECTNO> <SUBJECT>Certification document.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Entry-Level Driver Training Requirements</HD> <SECTNO>380.501</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>380.502</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>380.503</SECTNO> <SUBJECT>Entry-level driver training requirements.</SUBJECT> <SECTNO>380.505</SECTNO> <SUBJECT>Proof of training.</SUBJECT> <SECTNO>380.507</SECTNO> <SUBJECT>Driver responsibilities.</SUBJECT> <SECTNO>380.509</SECTNO> <SUBJECT>Employer responsibilities.</SUBJECT> <SECTNO>380.511</SECTNO> <SUBJECT>Employer recordkeeping responsibilities.</SUBJECT> <SECTNO>380.513</SECTNO> <SUBJECT>Required information on the training certificate.</SUBJECT> <APP>Appendix to Part 380—LCV Driver Training Programs, Required Knowledge and Skills</APP> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 31133, 31136, 31307, and 31502; sec. 4007(a) and (b) of Pub. L. 102-240 (105 Stat. 2151-2152); and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>69 FR 16732, Mar. 30, 2004, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—Longer Combination Vehicle (LCV) Driver-Training and Driver-Instructor Requirements—General</HD> <SECTION> <SECTNO>§ 380.101</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(a) <E T="03">Purpose.</E> The purpose of this part is to establish minimum requirements for operators of longer combination vehicles (LCVs) and LCV driver-instructors.</P> <P>(b) <E T="03">Scope.</E> This part establishes:</P> <P>(1) Minimum training requirements for operators of LCVs;</P> <P>(2) Minimum qualification requirements for LCV driver-instructors; and</P> <P>(3) Procedures for determining compliance with this part by operators, instructors, training institutions, and employers.</P> </SECTION> <SECTION> <PRTPAGE P="143"/> <SECTNO>§ 380.103</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>The rules in this part apply to all operators of LCVs in interstate commerce, employers of such persons, and LCV driver-instructors.</P> </SECTION> <SECTION> <SECTNO>§ 380.105</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) The definitions in part 383 of this subchapter apply to this part, except where otherwise specifically noted.</P> <P>(b) As used in this part:</P> <P> <E T="03">Classroom instructor</E> means a qualified LCV driver-instructor who provides knowledge instruction that does not involve the actual operation of a longer combination vehicle or its components. Instruction may take place in a parking lot, garage, or any other facility suitable for instruction.</P> <P> <E T="03">Longer combination vehicle (LCV)</E> means any combination of a truck-tractor and two or more trailers or semi-trailers, which operate on the National System of Interstate and Defense Highways with a gross vehicle weight (GVW) greater than 36,288 kilograms (80,000 pounds).</P> <P> <E T="03">LCV Double</E> means an LCV consisting of a truck-tractor in combination with two trailers and/or semi-trailers.</P> <P> <E T="03">LCV Triple</E> means an LCV consisting of a truck-tractor in combination with three trailers and/or semi-trailers.</P> <P> <E T="03">Qualified LCV driver-instructor</E> means an instructor meeting the requirements contained in subpart C of this part. There are two types of qualified LCV driver-instructors: (1) classroom instructor and (2) skills instructor.</P> <P> <E T="03">Skills instructor</E> means a qualified LCV driver-instructor who provides behind-the-wheel instruction involving the actual operation of a longer combination vehicle or its components outside a classroom.</P> <P> <E T="03">Training institution</E> means any technical or vocational school accredited by an accrediting institution recognized by the U.S. Department of Education. A motor carrier's training program for its drivers or an entity that exclusively offers services to a single motor carrier is not a training institution.</P> </SECTION> <SECTION> <SECTNO>§ 380.107</SECTNO> <SUBJECT>General requirements.</SUBJECT> <P>(a) Except as provided in § 380.111, a driver who wishes to operate an LCV shall first take and successfully complete an LCV driver-training program that provides the knowledge and skills necessary to operate an LCV. The specific types of knowledge and skills that a training program shall include are outlined in the appendix to this part.</P> <P>(b) Before a person receives training:</P> <P>(1) That person shall present evidence to the LCV driver-instructor showing that he/she meets the general requirements set forth in subpart B of this part for the specific type of LCV training to be taken.</P> <P>(2) The LCV driver-instructor shall verify that each trainee applicant meets the general requirements for the specific type of LCV training to be taken.</P> <P>(c) Upon successful completion of the training requirement, the driver-student shall be issued an LCV Driver Training Certificate by a certifying official of the training entity in accordance with the requirements specified in subpart D of this part.</P> </SECTION> <SECTION> <SECTNO>§ 380.109</SECTNO> <SUBJECT>Driver testing.</SUBJECT> <P>(a) <E T="03">Testing methods.</E> The driver-student must pass knowledge and skills tests in accordance with the following requirements, to determine whether a driver-student has successfully completed an LCV driver-training program as specified in subpart B of this part. The written knowledge test may be administered by any qualified driver-instructor. The skills tests, based on actual operation of an LCV, must be administered by a qualified LCV skills instructor.</P> <P>(1) All tests shall be constructed to determine if the driver-student possesses the required knowledge and skills set forth in the appendix to this part for the specific type of LCV training program being taught.</P> <P>(2) Instructors shall develop their own tests for the specific type of LCV-training program being taught, but those tests must be at least as stringent as the requirements set forth in paragraph (b) of this section.</P> <P>(3) LCV driver-instructors shall establish specific methods for scoring the knowledge and skills tests.</P> <P>(4) Passing scores must meet the requirements of paragraph (b) of this section.<PRTPAGE P="144"/> </P> <P>(5) Knowledge and skills tests shall be based upon the information taught in the LCV training programs as set forth in the appendix to this part.</P> <P>(6) Each knowledge test shall address the training provided during both theoretical and behind-the-wheel instruction, and include at least one question from each of the units listed in the table to the appendix to this part, for the specific type of LCV training program being taught.</P> <P>(7) Each skills test shall include all the maneuvers and operations practiced during the Proficiency Development unit of instruction (behind-the-wheel instruction), as described in the appendix to this part, for the specific type of LCV training program being taught.</P> <P>(b) <E T="03">Proficiency determinations.</E> The driver-student must meet the following conditions to be certified as an LCV driver:</P> <P>(1) Answer correctly at least 80 percent of the questions on each knowledge test; and</P> <P>(2) Demonstrate that he/she can successfully perform all of the skills addressed in paragraph (a)(7) of this section.</P> <P>(c) <E T="03">Automatic test failure.</E> Failure to obey traffic laws or involvement in a preventable crash during the skills portion of the test will result in automatic failure. Automatic test failure determinations are made at the sole discretion of the qualified LCV driver-instructor.</P> <P>(d) <E T="03">Guidance for testing methods and proficiency determinations.</E> Motor carriers should refer to the Examiner's Manual for Commercial Driver's License Tests for help in developing testing methods and making proficiency determinations. You may obtain a copy of this document by contacting the American Association of Motor Vehicle Administrators (AAMVA), 4300 Wilson Boulevard, Suite 400, Arlington, Virginia 22203.</P> </SECTION> <SECTION> <SECTNO>§ 380.111</SECTNO> <SUBJECT>Substitute for driver training.</SUBJECT> <P>(a) <E T="03">Grandfather clause.</E> The LCV driver-training requirements specified in subpart B of this part do not apply to an individual who meets the conditions set forth in paragraphs (b), (c), and (d) of this section. A motor carrier must ensure that an individual claiming eligibility to operate an LCV on the basis of this section meets these conditions before allowing him/her to operate an LCV.</P> <P>(b) An individual must certify that, during the 2-year period immediately preceding the date of application for a Certificate of Grandfathering, he/she had:</P> <P>(1) A valid Class A CDL with a “double/triple trailers” endorsement;</P> <P>(2) No more than one driver's license;</P> <P>(3) No suspension, revocation, or cancellation of his/her CDL;</P> <P>(4) No convictions for a major offense while operating a CMV as defined in § 383.51(b) of this subchapter;</P> <P>(5) No convictions for a railroad-highway grade crossing offense while operating a CMV as defined in § 383.51(d) of this subchapter;</P> <P>(6) No convictions for violating an out-of-service order as defined in § 383.51(e) of this subchapter;</P> <P>(7) No more than one conviction for a serious traffic violation, as defined in § 383.5 of this subchapter, while operating a CMV; and</P> <P>(8) No convictions for a violation of State or local law relating to motor vehicle traffic control arising in connection with any traffic crash while operating a CMV.</P> <P>(c) An individual must certify and provide evidence that he/she:</P> <P>(1) Is regularly employed in a job requiring the operation of a CMV that requires a CDL with a double/triple trailers endorsement; and</P> <P>(2) Has operated, during the 2 years immediately preceding the date of application for a Certificate of Grandfathering, vehicles representative of the type of LCV that he/she seeks to continue operating.</P> <P>(d) A motor carrier must issue a Certificate of Grandfathering to a person who meets the requirements of this section and must maintain a copy of the certificate in the individual's Driver Qualification file.</P> <GPH DEEP="261" SPAN="2"> <PRTPAGE P="145"/> <GID>ER30MR04.000</GID> </GPH> <P>(e) An applicant may be grandfathered under this section only during the year following June 1, 2004.</P> </SECTION> <SECTION> <SECTNO>§ 380.113</SECTNO> <SUBJECT>Employer responsibilities.</SUBJECT> <P>(a) No motor carrier shall:</P> <P>(1) Allow, require, permit or authorize an individual to operate an LCV unless he/she meets the requirements in §§ 380.203 or 380.205 and has been issued the LCV driver-training certificate described in § 380.401. This provision does not apply to individuals who are eligible for the substitute for driver training provision in § 380.111.</P> <P>(2) Allow, require, permit, or authorize an individual to operate an LCV which the LCV driver-training certificate, CDL, and CDL endorsement(s) do not authorize the driver to operate. This provision applies to individuals employed by or under contract to the motor carrier.</P> <P>(b) A motor carrier that employs or has under contract LCV drivers shall provide evidence of the certifications required by § 380.401 or § 380.111 of this part when requested by an authorized FMCSA, State, or local official in the course of a compliance review.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—LCV Driver-Training Program</HD> <SECTION> <SECTNO>§ 380.201</SECTNO> <SUBJECT>General requirements.</SUBJECT> <P>(a) The LCV Driver-Training Program that is described in the appendix to this part requires training using an LCV Double or LCV Triple and must include the following general categories of instruction:</P> <P>(1) Orientation;</P> <P>(2) Basic operation;</P> <P>(3) Safe operating practices;</P> <P>(4) Advanced operations; and</P> <P>(5) Nondriving activities.</P> <P>(b) The LCV Driver-Training Program must include the minimum topics of training set forth in the appendix to this part and behind-the-wheel instruction that is designed to provide an opportunity to develop the skills outlined under the Proficiency Development unit of the training program.</P> </SECTION> <SECTION> <PRTPAGE P="146"/> <SECTNO>§ 380.203</SECTNO> <SUBJECT>LCV Doubles.</SUBJECT> <P>(a) To qualify for the training necessary to operate an LCV Double, a driver-student shall, during the 6 months immediately preceding application for training, have:</P> <P>(1) A valid Class A CDL with a double/triple trailer endorsement;</P> <P>(2) Driving experience in a Group A vehicle as described in § 383.91 of this subchapter. Evidence of driving experience shall be an employer's written statement that the driver has, for at least 6 months immediately preceding application, operated a Group A vehicle while under his/her employ;</P> <P>(3) No more than one driver's license;</P> <P>(4) No suspension, revocation, or cancellation of his/her CDL;</P> <P>(5) No convictions for a major offense, as defined in § 383.51(b) of this subchapter, while operating a CMV;</P> <P>(6) No convictions for a railroad-highway grade crossing offense, as defined in § 383.51(d) of this subchapter, while operating a CMV;</P> <P>(7) No convictions for violating an out-of-service order as defined in § 383.51(e) of this subchapter;</P> <P>(8) No more than one conviction for a serious traffic violation, as defined in § 383.5 of this subchapter, while operating a CMV; and</P> <P>(9) No convictions for a violation of State or local law relating to motor vehicle traffic control arising in connection with any traffic crash while operating a CMV.</P> <P>(b) Driver-students meeting the preliminary requirements in paragraph (a) of this section shall successfully complete a training program that meets the minimum unit requirements for LCV Doubles as set forth in the appendix to this part.</P> <P>(c) Driver-students who successfully complete the Driver Training Program for LCV Doubles shall be issued a certificate, in accordance with subpart D of this part, indicating the driver is qualified to operate an LCV Double.</P> </SECTION> <SECTION> <SECTNO>§ 380.205</SECTNO> <SUBJECT>LCV Triples.</SUBJECT> <P>(a) To qualify for the training necessary to operate an LCV Triple, a driver-student shall, during the 6 months immediately preceding application for training, have:</P> <P>(1) A valid Class A CDL with a double/triple trailer endorsement;</P> <P>(2) Experience operating the vehicle listed under paragraph (a)(2)(i) or (a)(2)(ii) of this section. Evidence of driving experience shall be an employer's written statement that the driver has, during the 6 months immediately preceding application, operated the applicable vehicle(s):</P> <P>(i) Group A truck-tractor/semi-trailer combination as described in § 383.91 of this subchapter; or</P> <P>(ii) Group A truck-tractor/semi-trailer/trailer combination that operates at a gross vehicle weight of 80,000 pounds or less;</P> <P>(3) No more than one driver's license;</P> <P>(4) No suspension, revocation, or cancellation of his/her CDL;</P> <P>(5) No convictions for a major offense, as defined in § 383.51(b) of this subchapter, while operating a CMV;</P> <P>(6) No convictions for a railroad-highway grade crossing offense, as defined in § 383.51(d) of this subchapter, while operating a CMV;</P> <P>(7) No convictions for violating an out-of-service order, as defined in § 383.51(e) of this subchapter;</P> <P>(8) No more than one conviction for a serious traffic violation, as defined in § 383.5 of this subchapter, while operating a CMV; and</P> <P>(9) No convictions for a violation of State or local law relating to motor vehicle traffic control arising in connection with any traffic crash, while operating a CMV.</P> <P>(b) Driver-students meeting the preliminary requirements in paragraph (a) of this section shall successfully complete a training program that meets the minimum unit requirements for LCV Triples as set forth in the appendix to this part.</P> <P>(c) Driver-students who successfully complete the Driver Training Program for LCV Triples shall be issued a certificate, in accordance with subpart D of this part, indicating the driver is qualified to operate an LCV Triple.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—LCV Driver-Instructor Requirements</HD> <SECTION> <SECTNO>§ 380.301</SECTNO> <SUBJECT>General requirements.</SUBJECT> <P>There are two types of LCV driver-instructors: Classroom instructors and <PRTPAGE P="147"/>Skills instructors. Except as provided in § 380.303, you must meet the conditions under paragraph (a) or paragraph (b) of this section to qualify as an LCV driver-instructor.</P> <P>(a) <E T="03">Classroom instructor.</E> To qualify as an LCV Classroom instructor, a person shall:</P> <P>(1) Have audited the driver-training course that he/she intends to instruct.</P> <P>(2) If employed by a training institution, meet all State requirements for a vocational instructor.</P> <P>(b) <E T="03">Skills instructor.</E> To qualify as an LCV skills instructor, a person shall:</P> <P>(1) Provide evidence of successful completion of the Driver-Training Program requirements, as set forth in subpart B of this part, when requested by employers and/or an authorized FMCSA, State, or local official in the course of a compliance review. The Driver-Training Program must be for the operation of CMVs representative of the subject matter that he/she will teach.</P> <P>(2) If employed by a training institution, meet all State requirements for a vocational instructor;</P> <P>(3) Possess a valid Class A CDL with all endorsements necessary to operate the CMVs applicable to the subject matter being taught (LCV Doubles and/or LCV Triples, including any specialized variation thereof, such as a tank vehicle, that requires an additional endorsement); and</P> <P>(4) Have at least 2 years' CMV driving experience in a vehicle representative of the type of driver training to be provided (LCV Doubles or LCV Triples).</P> </SECTION> <SECTION> <SECTNO>§ 380.303</SECTNO> <SUBJECT>Substitute for instructor requirements.</SUBJECT> <P>(a) <E T="03">Classroom instructor.</E> The requirements specified under § 380.301(a) of this part for a qualified LCV driver-instructor are waived for a classroom instructor-candidate who has 2 years of recent satisfactory experience teaching the classroom portion of a program similar in content to that set forth in the appendix to this part.</P> <P>(b) <E T="03">Skills instructor.</E> The requirements specified under § 380.301(b) of this part for a qualified LCV driver-instructor are waived for a skills instructor-candidate who:</P> <P>(1) Meets the conditions of § 380.111(b);</P> <P>(2) Has CMV driving experience during the previous 2 years in a vehicle representative of the type of LCV that is the subject of the training course to be provided;</P> <P>(3) Has experience during the previous 2 years in teaching the operation of the type of LCV that is the subject of the training course to be provided; and</P> <P>(4) If employed by a training institution, meets all State requirements for a vocational instructor.</P> </SECTION> <SECTION> <SECTNO>§ 380.305</SECTNO> <SUBJECT>Employer responsibilities.</SUBJECT> <P>(a) No motor carrier shall: (1) Knowingly allow, require, permit or authorize a driver-instructor in its employ, or under contract to the motor carrier, to provide LCV driver training unless such person is a qualified LCV driver-instructor under the requirements of this subpart; or</P> <P>(2) Contract with a training institution to provide LCV driver training unless the institution:</P> <P>(i) Uses instructors who are qualified LCV driver-instructors under the requirements of this subpart;</P> <P>(ii) Is accredited by an accrediting institution recognized by the U.S. Department of Education;</P> <P>(iii) Is in compliance with all applicable State training school requirements; and</P> <P>(iv) Identifies drivers certified under § 380.401 of this part, when requested by employers and/or an authorized FMCSA, State, or local official in the course of a compliance review.</P> <P>(b) A motor carrier that employs or has under contract qualified LCV driver-instructors shall provide evidence of the certifications required by § 380.301 or § 380.303 of this part, when requested by an authorized FMCSA, State, or local official in the course of a compliance review.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Driver-Training Certification</HD> <SECTION> <SECTNO>§ 380.401</SECTNO> <SUBJECT>Certification document.</SUBJECT> <P>(a) A student who successfully completes LCV driver training shall be issued a Driver-Training Certificate <PRTPAGE P="148"/>that is substantially in accordance with the following form.</P> <GPH DEEP="291" SPAN="2"> <GID>ER30MR04.001</GID> </GPH> <P>(b) An LCV driver must provide a copy of the Driver-Training Certificate to his/her employer to be filed in the Driver Qualification File.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Entry-Level Driver Training Requirements</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>69 FR 29404, May 21, 2004, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 380.501</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>All entry-level drivers who drive in interstate commerce and are subject to the CDL requirements of part 383 of this chapter must comply with the rules of this subpart, except drivers who are subject to the jurisdiction of the Federal Transit Administration or who are otherwise exempt under § 390.3(f) of this subchapter.</P> </SECTION> <SECTION> <SECTNO>§ 380.502</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>(a) The definitions in part 383 of this chapter apply to this part, except where otherwise specifically noted.</P> <P>(b) As used in this subpart:</P> <P> <E T="03">Entry-level driver</E> is a driver with less than one year of experience operating a CMV with a CDL in interstate commerce.</P> <P> <E T="03">Entry-level driver training</E> is training the CDL driver receives in driver qualification requirements, hours of service of drivers, driver wellness, and whistle blower protection as appropriate to the entry-level driver's current position in addition to passing the CDL test.</P> </SECTION> <SECTION> <PRTPAGE P="149"/> <SECTNO>§ 380.503</SECTNO> <SUBJECT>Entry-level driver training requirements.</SUBJECT> <P>Entry-level driver training must include instruction addressing the following four areas:</P> <P>(a) <E T="03">Driver qualification requirements.</E> The Federal rules on medical certification, medical examination procedures, general qualifications, responsibilities, and disqualifications based on various offenses, orders, and loss of driving privileges (part 391, subparts B and E of this subchapter).</P> <P>(b) <E T="03">Hours of service of drivers.</E> The limitations on driving hours, the requirement to be off-duty for certain periods of time, record of duty status preparation, and exceptions (part 395 of this subchapter). Fatigue countermeasures as a means to avoid crashes.</P> <P>(c) <E T="03">Driver wellness.</E> Basic health maintenance including diet and exercise. The importance of avoiding excessive use of alcohol.</P> <P>(d) <E T="03">Whistleblower protection.</E> The right of an employee to question the safety practices of an employer without the employee's risk of losing a job or being subject to reprisals simply for stating a safety concern (29 CFR part 1978).</P> </SECTION> <SECTION> <SECTNO>§ 380.505</SECTNO> <SUBJECT>Proof of training.</SUBJECT> <P>An employer who uses an entry-level driver must ensure the driver has received a training certificate containing all the information contained in § 380.513 from the training provider.</P> </SECTION> <SECTION> <SECTNO>§ 380.507</SECTNO> <SUBJECT>Driver responsibilities.</SUBJECT> <P>Each entry-level driver must receive training required by § 380.503.</P> </SECTION> <SECTION> <SECTNO>§ 380.509</SECTNO> <SUBJECT>Employer responsibilities.</SUBJECT> <P>(a) Each employer must ensure each entry-level driver who first began operating a CMV requiring a CDL in interstate commerce after July 20, 2003, receives training required by § 380.503.</P> <P>(b) Each employer must place a copy of the driver's training certificate in the driver's personnel or qualification file.</P> <P>(c) All records required by this subpart shall be maintained as required by § 390.31 of this subchapter and shall be made available for inspection at the employer's principal place of business within two business days after a request has been made by an authorized representative of the Federal Motor Carrier Safety Administration.</P> </SECTION> <SECTION> <SECTNO>§ 380.511</SECTNO> <SUBJECT>Employer recordkeeping responsibilities.</SUBJECT> <P>The employer must keep the records specified in § 380.505 for as long as the employer employs the driver and for one year thereafter.</P> </SECTION> <SECTION> <SECTNO>§ 380.513</SECTNO> <SUBJECT>Required information on the training certificate.</SUBJECT> <P>The training provider must provide a training certificate or diploma to the entry-level driver. If an employer is the training provider, the employer must provide a training certificate or diploma to the entry-level driver. The certificate or diploma must contain the following seven items of information:</P> <P>(a) Date of certificate issuance.</P> <P>(b) Name of training provider.</P> <P>(c) Mailing address of training provider.</P> <P>(d) Name of driver.</P> <P>(e) A statement that the driver has completed training in driver qualification requirements, hours of service of drivers, driver wellness, and whistle blower protection requirements substantially in accordance with the following sentence: </P> <EXTRACT> <P>I certify _____has completed training requirements set forth in the Federal Motor Carrier Safety Regulations for entry-level driver training in accordance with 49 CFR 380.503.</P> </EXTRACT> <P>(f) The printed name of the person attesting that the driver has received the required training.</P> <P>(g) The signature of the person attesting that the driver has received the required training.</P> </SECTION> <APPENDIX> <EAR>Pt. 380, App.</EAR> <HD SOURCE="HED">Appendix to Part 380—LCV Driver Training Programs, Required Knowledge and Skills</HD> <P>The following table lists topics of instruction required for drivers of longer combination vehicles pursuant to 49 CFR part 380, subpart B. The training courses for operators of LCV Doubles and LCV Triples must be distinct and tailored to address their unique operating and handling characteristics. Each course must include the minimum topics of instruction, including behind-the-wheel training designed to provide an opportunity to develop the skills outlined under the Proficiency Development unit of the training <PRTPAGE P="150"/>program. Only a skills instructor may administer behind-the-wheel training involving the operation of an LCV or one of its components. A classroom instructor may administer only instruction that does not involve the operation of an LCV or one of its components.</P> <GPOTABLE CDEF="xs25,r25" COLS="2" OPTS="L2,p1,8/9,i1"> <TTITLE>Table to the Appendix—Course Topics for LCV Drivers</TTITLE> <BOXHD> <CHED H="1"/> <CHED H="1"/> </BOXHD> <ROW EXPSTB="01" RUL="s"> <ENT I="21"> <E T="02">Section 1: Orientation</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">1.1</ENT> <ENT>LCVs in Trucking</ENT> </ROW> <ROW> <ENT I="01">1.2</ENT> <ENT>Regulatory Factors</ENT> </ROW> <ROW> <ENT I="01">1.3</ENT> <ENT>Driver Qualifications</ENT> </ROW> <ROW RUL="s"> <ENT I="01">1.4</ENT> <ENT>Vehicle Configuration Factors</ENT> </ROW> <ROW EXPSTB="01" RUL="s"> <ENT I="21"> <E T="02">Section 2: Basic Operation</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">2.1</ENT> <ENT>Coupling and Uncoupling</ENT> </ROW> <ROW> <ENT I="01">2.2</ENT> <ENT>Basic Control and Handling</ENT> </ROW> <ROW> <ENT I="01">2.3</ENT> <ENT>Basic Maneuvers</ENT> </ROW> <ROW> <ENT I="01">2.4</ENT> <ENT>Turning, Steering and Tracking</ENT> </ROW> <ROW RUL="s"> <ENT I="01">2.5</ENT> <ENT>Proficiency Development</ENT> </ROW> <ROW EXPSTB="01" RUL="s"> <ENT I="21"> <E T="02">Section 3: Safe Operating Practices</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">3.1</ENT> <ENT>Interacting with Traffic</ENT> </ROW> <ROW> <ENT I="01">3.2</ENT> <ENT>Speed and Space Management</ENT> </ROW> <ROW> <ENT I="01">3.3</ENT> <ENT>Night Operations</ENT> </ROW> <ROW> <ENT I="01">3.4</ENT> <ENT>Extreme Driving Conditions</ENT> </ROW> <ROW> <ENT I="01">3.5</ENT> <ENT>Security Issues</ENT> </ROW> <ROW RUL="s"> <ENT I="01">3.6</ENT> <ENT>Proficiency Development</ENT> </ROW> <ROW EXPSTB="01" RUL="s"> <ENT I="21"> <E T="02">Section 4: Advanced Operations</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">4.1</ENT> <ENT>Hazard Perception</ENT> </ROW> <ROW RUL="s"> <ENT I="01">4.2</ENT> <ENT>Hazardous Situations</ENT> </ROW> <ROW RUL="s"> <ENT I="01">4.3</ENT> <ENT>Maintenance and Troubleshooting</ENT> </ROW> <ROW EXPSTB="01" RUL="s"> <ENT I="21"> <E T="02">Section 5: Non-Driving Activities</E> </ENT> </ROW> <ROW EXPSTB="00"> <ENT I="01">5.1</ENT> <ENT>Routes and Trip Planning</ENT> <ENT I="01">5.2</ENT> <ENT>Cargo and Weight Considerations</ENT> </ROW> </GPOTABLE> <HD SOURCE="HD1">Section 1—Orientation</HD> <P>The units in this section must provide an orientation to the training curriculum and must cover the role LCVs play within the motor carrier industry, the factors that affect their operations, and the role that drivers play in the safe operation of LCVs.</P> <P> <E T="03">Unit 1.1—LCVs in Trucking.</E> This unit must provide an introduction to the emergence of LCVs in trucking and must serve as an orientation to the course content. Emphasis must be placed upon the role the driver plays in transportation.</P> <P> <E T="03">Unit 1.2—Regulatory factors.</E> This unit must provide instruction addressing the Federal, State, and local governmental bodies that propose, enact, and implement the laws, rules, and regulations that affect the trucking industry. Emphasis must be placed on those regulatory factors that affect LCVs, including 23 CFR 658.23 and Appendix C to part 658.</P> <P> <E T="03">Unit 1.3—Driver qualifications.</E> This unit must provide classroom instruction addressing the Federal and State laws, rules, and regulations that define LCV driver qualifications. It also must include a discussion on medical examinations, drug and alcohol tests, certification, and basic health and wellness issues. Emphasis must be placed upon topics essential to physical and mental health maintenance, including (1) diet, (2) exercise, (3) avoidance of alcohol and drug abuse, and caution in the use of prescription and nonprescription drugs, (4) the adverse effects of driver fatigue, and (5) effective fatigue countermeasures. Driver-trainees who have successfully completed the Entry-level training segments at § 380.503(a) and (c) are considered to have satisfied the requirements of Unit 1.3.</P> <P> <E T="03">Unit 1.4—Vehicle configuration factors.</E> This unit must provide classroom instruction addressing the key vehicle components used in the configuration of longer combination vehicles. It also must familiarize the driver-trainee with various vehicle combinations, as well as provide instruction about unique characteristics and factors associated with LCV configurations.</P> <HD SOURCE="HD1">Section 2—Basic Operation</HD> <P>The units in this section must cover the interaction between the driver and the vehicle. They must teach driver-trainees how to couple and uncouple LCVs, ensure the vehicles are in proper operating condition, and control the motion of LCVs under various road and traffic conditions.</P> <P>During the driving exercises at off-highway locations required by this section, the driver-trainee must first familiarize himself/herself with basic operating characteristics of an LCV. Utilizing an LCV, students must be able to perform the skills learned in each unit to a level of proficiency required to permit safe transition to on-street driving.</P> <P> <E T="03">Unit 2.1—Coupling and uncoupling.</E> This unit must provide instruction addressing the procedures for coupling and uncoupling LCVs. While vehicle coupling and uncoupling procedures are common to all truck-tractor/semi-trailer operations, some factors are peculiar to LCVs. Emphasis must be placed upon preplanning and safe operating procedures.</P> <P> <E T="03">Unit 2.2—Basic control and handling.</E> This unit must provide an introduction to basic vehicular control and handling as it applies <PRTPAGE P="151"/>to LCVs. This must include instruction addressing brake performance, handling characteristics and factors affecting LCV stability while braking, turning, and cornering. Emphasis must be placed upon safe operating procedures.</P> <P> <E T="03">Unit 2.3—Basic maneuvers.</E> This unit must provide instruction addressing the basic vehicular maneuvers that will be encountered by LCV drivers. This must include instruction relative to backing, lane positioning and path selection, merging situations, and parking LCVs. Emphasis must be placed upon safe operating procedures as they apply to brake performance and directional stability while accelerating, braking, merging, cornering, turning, and parking.</P> <P> <E T="03">Unit 2.4—Turning, steering, and tracking.</E> This unit must provide instruction addressing turning situations, steering maneuvers, and the tracking of LCV trailers. This must include instruction related to trailer sway and off-tracking. Emphasis must be placed on maintaining directional stability.</P> <P> <E T="03">Unit 2.5—Proficiency development: basic operations.</E> The purpose of this unit is to enable driver-students to gain the proficiency in basic operation needed to safely undertake on-street instruction in the Safe Operations Practices section of the curriculum.</P> <P>The activities of this unit must consist of driving exercises that provide practice for the development of basic control skills and mastery of basic maneuvers. Driver-students practice skills and maneuvers learned in the Basic Control and Handling; Basic Maneuvers; and Turning, Steering and Tracking units. A series of basic exercises is practiced at off-highway locations until students develop sufficient proficiency for transition to on-street driving.</P> <P>Once the driver-student's skills have been measured and found adequate, the driver-student must be allowed to move to on-the-street driving.</P> <P>Nearly all activity in this unit will take place on the driving range or on streets or roads that have low-density traffic conditions.</P> <HD SOURCE="HD1">Section 3—Safe Operating Practices</HD> <P>The units in this section must cover the interaction between student drivers, the vehicle, and the traffic environment. They must teach driver-students how to apply their basic operating skills in a way that ensures their safety and that of other road users under various road, weather, and traffic conditions.</P> <P> <E T="03">Unit 3.1—Interacting with traffic.</E> This unit must provide instruction addressing the principles of visual search, communication, and sharing the road with other traffic. Emphasis must be placed upon visual search, mirror usage, signaling and/or positioning the vehicle to communicate, and understanding the special situations encountered by LCV drivers in various traffic situations.</P> <P> <E T="03">Unit 3.2—Speed and space management.</E> This unit must provide instruction addressing the principles of speed and space management. Emphasis must be placed upon maintaining safe vehicular speed and appropriate space surrounding the vehicle under various traffic and road conditions. Particular attention must be placed upon understanding the special situations encountered by LCVs in various traffic situations.</P> <P> <E T="03">Unit 3.3—Night operations.</E> This unit must provide instruction addressing the principles of Night Operations. Emphasis must be placed upon the factors affecting operation of LCVs at night. Night driving presents specific factors that require special attention on the part of the driver. Changes in vehicle safety inspection, vision, communications, speed management, and space management are needed to deal with the special problems night driving presents.</P> <P> <E T="03">Unit 3.4—Extreme driving conditions.</E> This unit must provide instruction addressing the driving of LCVs under extreme driving conditions. Emphasis must be placed upon the factors affecting the operation of LCVs in cold, hot, and inclement weather and in the mountains and desert. Changes in basic driving habits are needed to deal with the specific problems presented by these extreme driving conditions.</P> <P> <E T="03">Unit 3.5—Security issues.</E> This unit must include a discussion of security requirements imposed by the Department of Homeland Security, Transportation Security Administration; the U.S. Department of Transportation, Research and Special Programs Administration; and any other State or Federal agency with responsibility for highway or motor carrier security.</P> <P> <E T="03">Unit 3.6—Proficiency development.</E> This unit must provide driver-students an opportunity to refine, within the on-street traffic environment, their vehicle handling skills learned in the first three sections. Driver-student performance progress must be closely monitored to determine when the level of proficiency required for carrying out the basic traffic maneuvers of stopping, turning, merging, straight driving, curves, lane changing, passing, driving on hills, driving through traffic restrictions, and parking has been attained. The driver-student must also be assessed for regulatory compliance with all traffic laws.</P> <P>Nearly all activity in this unit will take place on public roadways in a full range of traffic environments applicable to this vehicle configuration. This must include urban and rural uncontrolled roadways, expressways or freeways, under light, moderate, and heavy traffic conditions. There must be a brief classroom session to familiarize driver-<PRTPAGE P="152"/>students with the type of on-street maneuvers they will perform and how their performance will be rated.</P> <P>The instructor must assess the level of skill development of the driver-student and must increase in difficulty, based upon the level of skill attained, the types of maneuvers, roadways and traffic conditions to which the driver-student is exposed.</P> <HD SOURCE="HD1">Section 4—Advanced Operations</HD> <P>The units in this section must introduce higher level skills that can be acquired only after the more fundamental skills and knowledge taught in sections two and three have been mastered. They must teach the perceptual skills necessary to recognize potential hazards, and must demonstrate the procedures needed to handle an LCV when faced with a hazard.</P> <P>The Maintenance and Trouble-shooting Unit must provide instruction that addresses how to keep the vehicle in safe and efficient operating condition. The purpose of this unit is to teach the correct way to perform simple maintenance tasks, and how to troubleshoot and report those vehicle discrepancies or deficiencies that must be repaired by a qualified mechanic.</P> <P> <E T="03">Unit 4.1—Hazard perception.</E> This unit must provide instruction addressing the principles of recognizing hazards in sufficient time to reduce the severity of the hazard and neutralize a possible emergency situation. While hazards are present in all motor vehicle traffic operations, some are peculiar to LCV operations. Emphasis must be placed upon hazard recognition, visual search, and response to possible emergency-producing situations encountered by LCV drivers in various traffic situations.</P> <P> <E T="03">Unit 4.2—Hazardous situations.</E> This unit must address dealing with specific procedures appropriate for LCV emergencies. These must include evasive steering, emergency braking, off-road recovery, brake failures, tire blowouts, rearward amplification, hydroplaning, skidding, jackknifing and the rollover phenomenon. The discussion must include a review of unsafe acts and the role they play in producing hazardous situations.</P> <P> <E T="03">Unit 4.3—Maintenance and trouble-shooting.</E> This unit must introduce driver-students to the basic servicing and checking procedures for the various vehicle components and provide knowledge of conducting preventive maintenance functions, making simple emergency repairs, and diagnosing and reporting vehicle malfunctions.</P> <HD SOURCE="HD1">Section 5—Non-Driving Activities</HD> <P>The units in this section must cover activities that are not directly related to the vehicle itself but must be performed by an LCV driver. The units in this section must ensure these activities are performed in a manner that ensures the safety of the driver, vehicle, cargo, and other road users.</P> <P> <E T="03">Unit 5.1—Routes and trip planning.</E> This unit must address the importance of and requirements for planning routes and trips. This must include classroom discussion of Federal and State requirements for a number of topics including permits, vehicle size and weight limitations, designated highways, local access, the reasonable access rule, staging areas, and access zones.</P> <P> <E T="03">Unit 5.2—Cargo and weight considerations.</E> This unit must address the importance of proper cargo documentation, loading, securing and unloading cargo, weight distribution, load sequencing and trailer placement. Emphasis must be placed on the importance of axle weight distribution, as well as on trailer placement and its effect on vehicle handling.</P> </APPENDIX> </SUBPART> </PART> <PART> <EAR>Pt. 381</EAR> <HD SOURCE="HED">PART 381—WAIVERS, EXEMPTIONS, AND PILOT PROGRAMS</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>381.100</SECTNO> <SUBJECT>What is the purpose of this part?</SUBJECT> <SECTNO>381.105</SECTNO> <SUBJECT>Who is required to comply with the rules in this part?</SUBJECT> <SECTNO>381.110</SECTNO> <SUBJECT>What definitions are applicable to this part?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Procedures for Requesting Waivers</HD> <SECTNO>381.200</SECTNO> <SUBJECT>What is a waiver?</SUBJECT> <SECTNO>381.205</SECTNO> <SUBJECT>How do I determine when I may request a waiver?</SUBJECT> <SECTNO>381.210</SECTNO> <SUBJECT>How do I request a waiver?</SUBJECT> <SECTNO>381.215</SECTNO> <SUBJECT>What will the FMCSA do after the agency receives my request for a waiver?</SUBJECT> <SECTNO>381.220</SECTNO> <SUBJECT>How long will it take the agency to respond to my request for a waiver?</SUBJECT> <SECTNO>381.225</SECTNO> <SUBJECT>Who should I contact if I have questions about the information I am required to submit to the FMCSA or about the status of my request for a waiver?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Procedures for Applying for Exemptions</HD> <SECTNO>381.300</SECTNO> <SUBJECT>What is an exemption?</SUBJECT> <SECTNO>381.305</SECTNO> <SUBJECT>How do I determine when I may apply for an exemption?</SUBJECT> <SECTNO>381.310</SECTNO> <SUBJECT>How do I apply for an exemption?</SUBJECT> <SECTNO>381.315</SECTNO> <SUBJECT>What will the FMCSA do after the agency receives my application for an exemption?</SUBJECT> <SECTNO>381.320</SECTNO> <SUBJECT>How long will it take the agency to respond to my application for an exemption?</SUBJECT> <SECTNO>381.325</SECTNO> <SUBJECT>Who should I contact if I have questions about the information I am required to submit to the FMCSA or about the status of my application for an exemption?<PRTPAGE P="153"/> </SUBJECT> <SECTNO>381.330</SECTNO> <SUBJECT>What am I required to do if the FMCSA grants my application for an exemption?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Initiation of Pilot Programs</HD> <SECTNO>381.400</SECTNO> <SUBJECT>What is a pilot program?</SUBJECT> <SECTNO>381.405</SECTNO> <SUBJECT>Who determines whether a pilot program should be initiated?</SUBJECT> <SECTNO>381.410</SECTNO> <SUBJECT>What may I do if I have an idea or suggestion for a pilot program?</SUBJECT> <SECTNO>381.415</SECTNO> <SUBJECT>Who should I contact if I have questions about the information to be included in my suggestion?</SUBJECT> <SECTNO>381.420</SECTNO> <SUBJECT>What will the FMCSA do after the agency receives my suggestion for a pilot program?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Administrative Procedures for Pilot Programs</HD> <SECTNO>381.500</SECTNO> <SUBJECT>What are the general requirements the agency must satisfy in conducting a pilot program?</SUBJECT> <SECTNO>381.505</SECTNO> <SUBJECT>What are the minimum elements required for a pilot program?</SUBJECT> <SECTNO>381.510</SECTNO> <SUBJECT>May the FMCSA end a pilot program before its scheduled completion date?</SUBJECT> <SECTNO>381.515</SECTNO> <SUBJECT>May the FMCSA remove approved participants from a pilot program?</SUBJECT> <SECTNO>381.520</SECTNO> <SUBJECT>What will the FMCSA do with the results from a pilot program?</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Preemption of State Rules</HD> <SECTNO>381.600</SECTNO> <SUBJECT>Do waivers, exemptions, and pilot programs preempt State laws and regulations?</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 31136(e) and 31315; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>63 FR 67608, Dec. 8, 1998, unless otherwise noted.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 381 appear at 66 FR 49872, Oct. 1, 2001.</P> </EDNOTE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 381.100</SECTNO> <SUBJECT>What is the purpose of this part?</SUBJECT> <P>This part prescribes the rules and procedures for requesting waivers and applying for exemptions from those provisions of the Federal Motor Carrier Safety Regulations (FMCSRs) which were issued on the authority of 49 U.S.C. 31136 or chapter 313, and the initiation and administration of pilot programs.</P> </SECTION> <SECTION> <SECTNO>§ 381.105</SECTNO> <SUBJECT>Who is required to comply with the rules in this part?</SUBJECT> <P>(a) You must comply with the rules in this part if you are going to request a waiver or apply for an exemption.</P> <P>(b) You should follow the instructions in subpart D of this part if you would like to recommend the agency initiate a pilot program.</P> </SECTION> <SECTION> <SECTNO>§ 381.110</SECTNO> <SUBJECT>What definitions are applicable to this part?</SUBJECT> <P> <E T="03">Commercial motor vehicle</E> means any motor vehicle that meets the definition of “commercial motor vehicle” found at 49 CFR 382.107 concerning controlled substances and alcohol use and testing, 49 CFR 383.5 concerning commercial driver's license standards, or 49 CFR 390.5 concerning parts 390 through 399 of the FMCSRs.</P> <P> <E T="03">Federal Motor Carrier Safety Administrator (the Administrator)</E> means the chief executive of the Federal Motor Carrier Safety Administration, an agency within the Department of Transportation.</P> <P> <E T="03">FMCSRs</E> means Federal Motor Carrier Safety Regulations (49 CFR parts 382 and 383, §§ 385.21 and 390.21, parts 391 through 393, 395, 396, and 399).</P> <P> <E T="03">You</E> means an individual or motor carrier or other entity that is, or will be, responsible for the operation of a CMV(s). The term includes a motor carrier's agents, officers and representatives as well as employees responsible for hiring, supervising, training, assigning, or dispatching of drivers and employees concerned with the installation, inspection, and maintenance of motor vehicle equipment and/or accessories. <E T="03">You</E> also includes any interested party who would like to suggest or recommend that the FMCSA initiate a pilot program.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Procedures for Requesting Waivers</HD> <SECTION> <SECTNO>§ 381.200</SECTNO> <SUBJECT>What is a waiver?</SUBJECT> <P>(a) A waiver is temporary regulatory relief from one or more FMCSR given to a person subject to the regulations, or a person who intends to engage in an activity that would be subject to the regulations.<PRTPAGE P="154"/> </P> <P>(b) A waiver provides the person with relief from the regulations for up to three months.</P> <P>(c) A waiver is intended for unique, non-emergency events and is subject to conditions imposed by the Administrator.</P> <P>(d) Waivers may only be granted from one or more of the requirements contained in the following parts and sections of the FMCSRs:</P> <P>(1) Part 382—Controlled Substances and Alcohol Use and Testing;</P> <P>(2) Part 383—Commercial Driver's License Standards; Requirements and Penalties;</P> <P>(3) § 390.19 Motor Carrier Identification Report;</P> <P>(4) § 390.21 Marking of commercial motor vehicles;</P> <P>(5) Part 391—Qualifications of Drivers;</P> <P>(6) Part 392—Driving of Commercial Motor Vehicles;</P> <P>(7) Part 393—Parts and Accessories Necessary for Safe Operation;</P> <P>(8) Part 395—Hours of Service of Drivers;</P> <P>(9) Part 396—Inspection, Repair, and Maintenance (except § 396.25); and</P> <P>(10) Part 399—Step, Handhold and Deck Requirements.</P> </SECTION> <SECTION> <SECTNO>§ 381.205</SECTNO> <SUBJECT>How do I determine when I may request a waiver?</SUBJECT> <P>(a) You may request a waiver if one or more FMCSR would prevent you from using or operating CMVs, or make it unreasonably difficult to do so, during a unique, non-emergency event that will take no more than three months to complete.</P> <P>(b) Before you decide to request a waiver, you should carefully review the regulation to determine whether there are any practical alternatives already available that would allow your use or operation of CMVs during the event. You should also determine whether you need a waiver from all of the requirements in one or more parts of the regulations, or whether a more limited waiver of certain sections within one or more of the parts of the regulations would provide an acceptable level of regulatory relief. For example, if you need relief from one of the recordkeeping requirements concerning driver qualifications, you should not request relief from all of the requirements of part 391.</P> </SECTION> <SECTION> <SECTNO>§ 381.210</SECTNO> <SUBJECT>How do I request a waiver?</SUBJECT> <P>(a) You must send a written request (for example, a typed or handwritten (printed) letter), which includes all of the information required by this section, to the Federal Motor Carrier Safety Administrator, U.S. Department of Transportation, 400 Seventh Street, SW., Washington, DC 20590.</P> <P>(b) You must identify the person who would be covered by the waiver. The application for a waiver must include:</P> <P>(1) Your name, job title, mailing address, and daytime telephone number;</P> <P>(2) The name of the individual, motor carrier, or other entity that would be responsible for the use or operation of CMVs during the unique, non-emergency event;</P> <P>(3) Principal place of business for the motor carrier or other entity (street address, city, State, and zip code); and</P> <P>(4) The USDOT identification number for the motor carrier, if applicable.</P> <P>(c) You must provide a written statement that:</P> <P>(1) Describes the unique, non-emergency event for which the waiver would be used, including the time period during which the waiver is needed;</P> <P>(2) Identifies the regulation that you believe needs to be waived;</P> <P>(3) Provides an estimate of the total number of drivers and CMVs that would be operated under the terms and conditions of the waiver; and</P> <P>(4) Explains how you would ensure that you could achieve a level of safety that is equivalent to, or greater than, the level of safety that would be obtained by complying with the regulation.</P> </SECTION> <SECTION> <SECTNO>§ 381.215</SECTNO> <SUBJECT>What will the FMCSA do after the agency receives my request for a waiver?</SUBJECT> <P>(a) The Federal Motor Carrier Safety Administration will review your request and make a recommendation to the Administrator. The final decision whether to grant or deny the application for a waiver will be made by the Administrator.</P> <P>(b) After a decision is signed by the Administrator, you will be sent a copy of the document, which will include the <PRTPAGE P="155"/>terms and conditions for the waiver or the reason for denying the application for a waiver.</P> </SECTION> <SECTION> <SECTNO>§ 381.220</SECTNO> <SUBJECT>How long will it take the agency to respond to my request for a waiver?</SUBJECT> <P>You should receive a response from the agency within 60 calendar days from the date the Administrator receives your request. However, depending on the complexity of the issues discussed in your application, and the availability of staff to review the material, a final decision may take up to 120 days.</P> </SECTION> <SECTION> <SECTNO>§ 381.225</SECTNO> <SUBJECT>Who should I contact if I have questions about the information I am required to submit to the FMCSA or about the status of my request for a waiver?</SUBJECT> <P>You should contact the Office of Bus and Truck Standards and Operations, Federal Motor Carrier Safety Administration, 400 Seventh Street, SW., Washington, DC 20590. The telephone number is (202) 366-1790.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Procedures for Applying for Exemptions</HD> <SECTION> <SECTNO>§ 381.300</SECTNO> <SUBJECT>What is an exemption?</SUBJECT> <P>(a) An exemption is temporary regulatory relief from one or more FMCSR given to a person or class of persons subject to the regulations, or who intend to engage in an activity that would make them subject to the regulations.</P> <P>(b) An exemption provides the person or class of persons with relief from the regulations for up to two years, and may be renewed.</P> <P>(c) Exemptions may only be granted from one or more of the requirements contained in the following parts and sections of the FMCSRs:</P> <P>(1) Part 382—Controlled Substances and Alcohol Use and Testing;</P> <P>(2) Part 383—Commercial Driver's License Standards; Requirements and Penalties;</P> <P>(3) Part 391—Qualifications of Drivers;</P> <P>(4) Part 392—Driving of Commercial Motor Vehicles;</P> <P>(5) Part 393—Parts and Accessories Necessary for Safe Operation;</P> <P>(6) Part 395—Hours of Service of Drivers;</P> <P>(7) Part 396—Inspection, Repair, and Maintenance (except for § 396.25); and</P> <P>(8) Part 399—Step, Handhold and Deck Requirements.</P> </SECTION> <SECTION> <SECTNO>§ 381.305</SECTNO> <SUBJECT>How do I determine when I may apply for an exemption?</SUBJECT> <P>(a) You may apply for an exemption if one or more FMCSR prevents you from implementing more efficient or effective operations that would maintain a level of safety equivalent to, or greater than, the level achieved without the exemption.</P> <P>(b) Before you decide to apply for an exemption you should carefully review the regulation to determine whether there are any practical alternatives already available that would allow you to conduct your motor carrier operations. You should also determine whether you need an exemption from all of the requirements in one or more parts of the regulations, or whether a more limited exemption from certain sections within one or more parts of the regulations would provide an acceptable level of regulatory relief. For example, if you need regulatory relief from one of the recordkeeping requirements concerning driver qualifications, you should not request regulatory relief from all of the requirements of part 391.</P> </SECTION> <SECTION> <SECTNO>§ 381.310</SECTNO> <SUBJECT>How do I apply for an exemption?</SUBJECT> <P>(a) You must send a written request (for example, a typed or handwritten (printed) letter), which includes all of the information required by this section, to the Federal Motor Carrier Safety Administrator, U.S. Department of Transportation, Federal Motor Carrier Safety Administration, 400 Seventh Street, SW., Washington, DC 20590.</P> <P>(b) You must identify the person or class of persons who would be covered by the exemption. The application for an exemption must include:</P> <P>(1) Your name, job title, mailing address, and daytime telephone number;</P> <P>(2) The name of the individual or motor carrier that would be responsible for the use or operation of CMVs;<PRTPAGE P="156"/> </P> <P>(3) Principal place of business for the motor carrier (street address, city, State, and zip code); and</P> <P>(4) The USDOT identification number for the motor carrier.</P> <P>(c) You must provide a written statement that:</P> <P>(1) Describes the reason the exemption is needed, including the time period during which it is needed;</P> <P>(2) Identifies the regulation from which you would like to be exempted;</P> <P>(3) Provides an estimate of the total number of drivers and CMVs that would be operated under the terms and conditions of the exemption;</P> <P>(4) Assesses the safety impacts the exemption may have;</P> <P>(5) Explains how you would ensure that you could achieve a level a safety that is equivalent to, or greater than, the level of safety that would be obtained by complying with the regulation; and</P> <P>(6) Describes the impacts (e.g., inability to test innovative safety management control systems, etc.) you could experience if the exemption is not granted by the FMCSA.</P> <P>(d) Your application must include a copy of all research reports, technical papers, and other publications and documents you reference.</P> </SECTION> <SECTION> <SECTNO>§ 381.315</SECTNO> <SUBJECT>What will the FMCSA do after the agency receives my application for an exemption?</SUBJECT> <P>(a) The Federal Motor Carrier Safety Administration will review your application and prepare, for the Administrator's signature, a <E T="04">Federal Register</E> notice requesting public comment on your application for an exemption. The notice will give the public an opportunity to review your request and your safety assessment or analysis (required by § 381.310) and any other relevant information known to the agency.</P> <P>(b) After a review of the comments received in response to the <E T="04">Federal Register</E> notice described in paragraph (a) of this section, the Federal Motor Carrier Safety Administration will make a recommendation(s) to the Administrator to either to grant or deny the exemption. Notice of the Administrator's decision will be published in the <E T="04">Federal Register</E>.</P> <P>(c)(1) If the exemption is granted, the notice will identify the provisions of the FMCSRs from which you will be exempt, the effective period, and all terms and conditions of the exemption.</P> <P>(2) If the exemption is denied, the notice will explain the reason for the denial.</P> <P>(d) A copy of your application for an exemption and all comments received in response to the <E T="04">Federal Register</E> notice will be included in a public docket and be available for review by interested parties.</P> <P>(1) Interested parties may view the information contained in the docket by visiting the Department of Transportation, U.S. DOT Dockets, Room PL-401, 400 Seventh Street, SW., Washington DC. All information in the exemption docket will be available for examination at this address from 10 a.m. to 5 p.m., e.t., Monday through Friday, except Federal holidays.</P> <P>(2) Internet users can access all information received by the U.S. DOT Dockets, Room PL-401, by using the universal resources locator (URL): http://dms.dot.gov. It is available 24 hours each day, 365 days each year. Please follow the instructions online for more information and help.</P> </SECTION> <SECTION> <SECTNO>§ 381.320</SECTNO> <SUBJECT>How long will it take the agency to respond to my application for an exemption?</SUBJECT> <P>The agency will attempt to issue a final decision within 180 days of the date it receives your application. However, if you leave out important details or other information necessary for the FMCSA to prepare a meaningful request for public comments, the agency will attempt to issue a final decision within 180 days of the date it receives the additional information.</P> </SECTION> <SECTION> <SECTNO>§ 381.325</SECTNO> <SUBJECT>Who should I contact if I have questions about the information I am required to submit to the FMCSA or about the status of my application for an exemption?</SUBJECT> <P>You should contact the Office of Bus and Truck Standards and Operations, Federal Motor Carrier Safety Administration, 400 Seventh Street, SW., Washington, DC 20590. The telephone number is (202) 366-1790.</P> </SECTION> <SECTION> <PRTPAGE P="157"/> <SECTNO>§ 381.330</SECTNO> <SUBJECT>What am I required to do if the FMCSA grants my application for an exemption?</SUBJECT> <P>(a) You must comply with all the terms and conditions of the exemption.</P> <P>(b) The FMCSA will immediately revoke your exemption if:</P> <P>(1) You fail to comply with the terms and conditions of the exemption;</P> <P>(2) The exemption has resulted in a lower level of safety than was maintained before the exemption was granted; or</P> <P>(3) Continuation of the exemption is determined by the FMCSA to be inconsistent with the goals and objectives of the FMCSRs.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Initiation of Pilot Programs</HD> <SECTION> <SECTNO>§ 381.400</SECTNO> <SUBJECT>What is a pilot program?</SUBJECT> <P>(a) A pilot program is a study in which temporary regulatory relief from one or more FMCSR is given to a person or class of persons subject to the regulations, or a person or class of persons who intend to engage in an activity that would be subject to the regulations.</P> <P>(b) During a pilot program, the participants would be given an exemption from one or more sections or parts of the regulations for a period of up to three years.</P> <P>(c) A pilot program is intended for use in collecting specific data for evaluating alternatives to the regulations or innovative approaches to safety while ensuring that the safety performance goals of the regulations are satisfied.</P> <P>(d) The number of participants in the pilot program must be large enough to ensure statistically valid findings.</P> <P>(e) Pilot programs must include an oversight plan to ensure that participants comply with the terms and conditions of participation, and procedures to protect the health and safety of study participants and the general public.</P> <P>(f) Exemptions for pilot programs may be granted only from one or more of the requirements contained in the following parts and sections of the FMCSRs:</P> <P>(1) Part 382—Controlled Substances and Alcohol Use and Testing;</P> <P>(2) Part 383—Commercial Driver's License Standards; Requirements and Penalties;</P> <P>(3) Part 391—Qualifications of Drivers;</P> <P>(4) Part 392—Driving of Commercial Motor Vehicles;</P> <P>(5) Part 393—Parts and Accessories Necessary for Safe Operation;</P> <P>(6) Part 395—Hours of Service of Drivers;</P> <P>(7) Part 396—Inspection, Repair, and Maintenance (except for § 396.25); and</P> <P>(8) Part 399—Step, Handhold and Deck Requirements.</P> </SECTION> <SECTION> <SECTNO>§ 381.405</SECTNO> <SUBJECT>Who determines whether a pilot program should be initiated?</SUBJECT> <P>(a) Generally, pilot programs are initiated by the FMCSA when the agency determines that there may be an effective alternative to one or more of the requirements in the FMCSRs, but does not have sufficient research data to support the development of a notice of proposed rulemaking to change the regulation.</P> <P>(b) You may request the FMCSA to initiate a pilot program. However, the decision of whether to propose a pilot program will be made at the discretion of the FMCSA. The FMCSA is not required to publish a notice in the <E T="04">Federal Register</E> requesting public comment on your ideas or suggestions for pilot programs.</P> </SECTION> <SECTION> <SECTNO>§ 381.410</SECTNO> <SUBJECT>What may I do if I have an idea or suggestion for a pilot program?</SUBJECT> <P>(a) You may send a written statement (for example, a typed or handwritten (printed) letter) to the Federal Motor Carrier Safety Administrator, U.S. Department of Transportation, 400 Seventh Street, SW., Washington, DC 20590.</P> <P>(b) You should identify the persons or class of persons who would be covered by the pilot program exemptions. Your letter should include:</P> <P>(1) Your name, job title, mailing address, and daytime telephone number;</P> <P>(2) The name of the individuals or motor carrier that would be responsible for the use or operation of CMVs covered by the pilot program, if there are motor carriers that have expressed <PRTPAGE P="158"/>an interest in participating in the program;</P> <P>(3) Principal place of business for the motor carrier (street address, city, State, and zip code); and</P> <P>(4) The USDOT identification number for the motor carrier.</P> <P>(c) You should provide a written statement that:</P> <P>(1) Presents your estimate of the potential benefits to the motor carrier industry, the FMCSA, and the general public if the pilot program is conducted, and describes how you developed your estimate;</P> <P>(2) Estimates of the amount of time that would be needed to conduct the pilot program (e.g., the time needed to complete the collection and analysis of data);</P> <P>(3) Identifies the regulation from which the participants would need to be exempted;</P> <P>(4) Recommends a reasonable number of participants necessary to yield statistically valid findings;</P> <P>(5) Provides ideas or suggestions for a monitoring plan to ensure that participants comply with the terms and conditions of participation;</P> <P>(6) Provides ideas or suggestions for a plan to protect the health and safety of study participants and the general public.</P> <P>(7) Assesses the safety impacts the pilot program exemption may have; and</P> <P>(8) Provides recommendations on how the safety measures in the pilot project would be designed to achieve a level a safety that is equivalent to, or greater than, the level of safety that would be obtained by complying with the regulation.</P> <P>(d) Your recommendation should include a copy of all research reports, technical papers, publications and other documents you reference.</P> </SECTION> <SECTION> <SECTNO>§ 381.415</SECTNO> <SUBJECT>Who should I contact if I have questions about the information to be included in my suggestion?</SUBJECT> <P>You should contact the Office of Bus and Truck Standards and Operations, Federal Motor Carrier Safety Administration, 400 Seventh Street, SW., Washington, DC 20590. The telephone number is (202) 366-1790.</P> </SECTION> <SECTION> <SECTNO>§ 381.420</SECTNO> <SUBJECT>What will the FMCSA do after the agency receives my suggestion for a pilot program?</SUBJECT> <P>(a) The Federal Motor Carrier Safety Administration will review your suggestion for a pilot program and make a recommendation to the Administrator. The final decision whether to propose the development of a pilot program based upon your recommendation will be made by the Administrator.</P> <P>(b) You will be sent a copy of the Administrator's decision. If the pilot program is approved, the agency will follow the administrative procedures contained in subpart E of this part.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Administrative Procedures for Pilot Programs</HD> <SECTION> <SECTNO>§ 381.500</SECTNO> <SUBJECT>What are the general requirements the agency must satisfy in conducting a pilot program?</SUBJECT> <P>(a) The FMCSA may conduct pilot programs to evaluate alternatives to regulations, or innovative approaches, concerning motor carrier, CMV, and driver safety.</P> <P>(b) Pilot programs may include exemptions from the regulations listed in § 381.400(f) of this part.</P> <P>(c) Pilot programs must, at a minimum, include all of the program elements listed in § 381.505.</P> <P>(d) The FMCSA will publish in the <E T="04">Federal Register</E> a detailed description of each pilot program, including the exemptions to be considered, and provide notice and an opportunity for public comment before the effective date of the pilot program.</P> </SECTION> <SECTION> <SECTNO>§ 381.505</SECTNO> <SUBJECT>What are the minimum elements required for a pilot program?</SUBJECT> <P>(a) <E T="03">Safety measures.</E> Before granting exemptions for a pilot program, the FMCSA will ensure that the safety measures in a pilot program are designed to achieve a level of safety that is equivalent to, or greater than, the level of safety that would be achieved by complying with the regulations.</P> <P>(b) <E T="03">Pilot program plan.</E> Before initiating a pilot program, the FMCSA will ensure that there is a pilot program plan which includes the following elements:</P> <P>(1) A scheduled duration of three years or less;<PRTPAGE P="159"/> </P> <P>(2) A specific data collection and safety analysis plan that identifies a method of comparing the safety performance for motor carriers, CMVs, and drivers operating under the terms and conditions of the pilot program, with the safety performance of motor carriers, CMVs, and drivers that comply with the regulation;</P> <P>(3) A reasonable number of participants necessary to yield statistically valid findings;</P> <P>(4) A monitoring plan to ensure that participants comply with the terms and conditions of participation in the pilot program;</P> <P>(5) Adequate safeguards to protect the health and safety of study participants and the general public; and</P> <P>(6) A plan to inform the States and the public about the pilot program and to identify approved participants to enforcement personnel and the general public.</P> </SECTION> <SECTION> <SECTNO>§ 381.510</SECTNO> <SUBJECT>May the FMCSA end a pilot program before its scheduled completion date?</SUBJECT> <P>The FMCSA will immediately terminate a pilot program if there is reason to believe the program is not achieving a level of safety that is at least equivalent to the level of safety that would be achieved by complying with the regulations.</P> </SECTION> <SECTION> <SECTNO>§ 381.515</SECTNO> <SUBJECT>May the FMCSA remove approved participants from a pilot program?</SUBJECT> <P>The Administrator will immediately revoke participation in a pilot program of a motor carrier, CMV, or driver for failure to comply with the terms and conditions of the pilot program, or if continued participation is inconsistent with the goals and objectives of the safety regulations.</P> </SECTION> <SECTION> <SECTNO>§ 381.520</SECTNO> <SUBJECT>What will the FMCSA do with the results from a pilot program?</SUBJECT> <P>At the conclusion of each pilot program, the FMCSA will report to Congress the findings and conclusions of the program and any recommendations it considers appropriate, including suggested amendments to laws and regulations that would enhance motor carrier, CMV, and driver safety and improve compliance with the FMCSRs.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Preemption of State Rules</HD> <SECTION> <SECTNO>§ 381.600</SECTNO> <SUBJECT>Do waivers, exemptions, and pilot programs preempt State laws and regulations?</SUBJECT> <P>Yes. During the time period that a waiver, exemption, or pilot program authorized by this part is in effect, no State shall enforce any law or regulation that conflicts with or is inconsistent with the waiver, exemption, or pilot program with respect to a person operating under the waiver or exemption or participating in the pilot program.</P> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 382</EAR> <HD SOURCE="HED">PART 382—CONTROLLED SUBSTANCES AND ALCOHOL USE AND TESTING</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>382.101</SECTNO> <SUBJECT>Purpose</SUBJECT> <SECTNO>382.103</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>382.105</SECTNO> <SUBJECT>Testing procedures.</SUBJECT> <SECTNO>382.107</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>382.109</SECTNO> <SUBJECT>Preemption of State and local laws.</SUBJECT> <SECTNO>382.111</SECTNO> <SUBJECT>Other requirements imposed by employers.</SUBJECT> <SECTNO>382.113</SECTNO> <SUBJECT>Requirements for notice.</SUBJECT> <SECTNO>382.115</SECTNO> <SUBJECT>Starting date for testing programs.</SUBJECT> <SECTNO>382.117</SECTNO> <SUBJECT>Public interest exclusion.</SUBJECT> <SECTNO>382.119</SECTNO> <SUBJECT>Stand-down waiver provision.</SUBJECT> <SECTNO>382.121</SECTNO> <SUBJECT>Employee admission of alcohol and controlled substances use.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Prohibitions</HD> <SECTNO>382.201</SECTNO> <SUBJECT>Alcohol concentration.</SUBJECT> <SECTNO>382.205</SECTNO> <SUBJECT>On-duty use.</SUBJECT> <SECTNO>382.207</SECTNO> <SUBJECT>Pre-duty use.</SUBJECT> <SECTNO>382.209</SECTNO> <SUBJECT>Use following an accident.</SUBJECT> <SECTNO>382.211</SECTNO> <SUBJECT>Refusal to submit to a required alcohol or controlled substances test.</SUBJECT> <SECTNO>382.213</SECTNO> <SUBJECT>Controlled substances use.</SUBJECT> <SECTNO>382.215</SECTNO> <SUBJECT>Controlled substances testing.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Tests Required</HD> <SECTNO>382.301</SECTNO> <SUBJECT>Pre-employment testing.</SUBJECT> <SECTNO>382.303</SECTNO> <SUBJECT>Post-accident testing.</SUBJECT> <SECTNO>382.305</SECTNO> <SUBJECT>Random testing.</SUBJECT> <SECTNO>382.307</SECTNO> <SUBJECT>Reasonable suspicion testing.</SUBJECT> <SECTNO>382.309</SECTNO> <SUBJECT>Return-to-duty testing.</SUBJECT> <SECTNO>382.311</SECTNO> <SUBJECT>Follow-up testing.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Handling of Test Results, Record Retention, and Confidentiality</HD> <SECTNO>382.401</SECTNO> <SUBJECT>Retention of records.</SUBJECT> <SECTNO>382.403</SECTNO> <SUBJECT>Reporting of results in a management information system.<PRTPAGE P="160"/> </SUBJECT> <SECTNO>382.405</SECTNO> <SUBJECT>Access to facilities and records.</SUBJECT> <SECTNO>382.407</SECTNO> <SUBJECT>Medical review officer notifications to the employer.</SUBJECT> <SECTNO>382.409</SECTNO> <SUBJECT>Medical review officer record retention for controlled substances.</SUBJECT> <SECTNO>382.411</SECTNO> <SUBJECT>Employer notifications.</SUBJECT> <SECTNO>382.413</SECTNO> <SUBJECT>Inquiries for alcohol and controlled substances information from previous employers.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Consequences for Drivers Engaging in Substance Use-Related Conduct</HD> <SECTNO>382.501</SECTNO> <SUBJECT>Removal from safety-sensitive function.</SUBJECT> <SECTNO>382.503</SECTNO> <SUBJECT>Required evaluation and testing.</SUBJECT> <SECTNO>382.505</SECTNO> <SUBJECT>Other alcohol-related conduct.</SUBJECT> <SECTNO>382.507</SECTNO> <SUBJECT>Penalties.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Alcohol Misuse and Controlled Substances Use Information, Training, and Referral</HD> <SECTNO>382.601</SECTNO> <SUBJECT>Employer obligation to promulgate a policy on the misuse of alcohol and use of controlled substances.</SUBJECT> <SECTNO>382.603</SECTNO> <SUBJECT>Training for supervisors.</SUBJECT> <SECTNO>382.605</SECTNO> <SUBJECT>Referral, evaluation, and treatment.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 31133, 31136, 31301 <E T="03">et seq.,</E> 31502; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>66 FR 43103, Aug. 17, 2001, unless otherwise noted.</P> </SOURCE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 382.101</SECTNO> <SUBJECT>Purpose.</SUBJECT> <P>The purpose of this part is to establish programs designed to help prevent accidents and injuries resulting from the misuse of alcohol or use of controlled substances by drivers of commercial motor vehicles.</P> </SECTION> <SECTION> <SECTNO>§ 382.103</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>(a) This part applies to every person and to all employers of such persons who operate a commercial motor vehicle in commerce in any State, and is subject to:</P> <P>(1) The commercial driver's license requirements of part 383 of this subchapter;</P> <P>(2) The Licencia Federal de Conductor (Mexico) requirements; or</P> <P>(3) The commercial drivers license requirements of the Canadian National Safety Code.</P> <P>(b) An employer who employs himself/herself as a driver must comply with both the requirements in this part that apply to employers and the requirements in this part that apply to drivers. An employer who employs only himself/herself as a driver shall implement a random alcohol and controlled substances testing program of two or more covered employees in the random testing selection pool.</P> <P>(c) The exceptions contained in § 390.3(f) of this subchapter do not apply to this part. The employers and drivers identified in § 390.3(f) of this subchapter must comply with the requirements of this part, unless otherwise specifically provided in paragraph (d) of this section.</P> <P>(d) <E T="03">Exceptions.</E> This part shall not apply to employers and their drivers:</P> <P>(1) Required to comply with the alcohol and/or controlled substances testing requirements of part 655 of this title (Federal Transit Administration alcohol and controlled substances testing regulations); or</P> <P>(2) Who a State must waive from the requirements of part 383 of this subchapter. These individuals include active duty military personnel; members of the reserves; and members of the national guard on active duty, including personnel on full-time national guard duty, personnel on part-time national guard training and national guard military technicians (civilians who are required to wear military uniforms), and active duty U.S. Coast Guard personnel; or</P> <P>(3) Who a State has, at its discretion, exempted from the requirements of part 383 of this subchapter. These individuals may be:</P> <P>(i) Operators of a farm vehicle which is:</P> <P>(A) Controlled and operated by a farmer;</P> <P>(B) Used to transport either agricultural products, farm machinery, farm supplies, or both to or from a farm;</P> <P>(C) Not used in the operations of a common or contract motor carrier; and</P> <P>(D) Used within 241 kilometers (150 miles) of the farmer's farm.</P> <P>(ii) Firefighters or other persons who operate commercial motor vehicles which are necessary for the preservation of life or property or the execution of emergency governmental functions, are equipped with audible and visual signals, and are not subject to normal traffic regulation.</P> </SECTION> <SECTION> <PRTPAGE P="161"/> <SECTNO>§ 382.105</SECTNO> <SUBJECT>Testing procedures.</SUBJECT> <P>Each employer shall ensure that all alcohol or controlled substances testing conducted under this part complies with the procedures set forth in part 40 of this title. The provisions of part 40 of this title that address alcohol or controlled substances testing are made applicable to employers by this part.</P> </SECTION> <SECTION> <SECTNO>§ 382.107</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>Words or phrases used in this part are defined in §§ 386.2 and 390.5 of this subchapter, and § 40.3 of this title, except as provided in this section—</P> <P> <E T="03">Actual knowledge</E> for the purpose of subpart B of this part, means actual knowledge by an employer that a driver has used alcohol or controlled substances based on the employer's direct observation of the employee, information provided by the driver's previous employer(s), a traffic citation for driving a CMV while under the influence of alcohol or controlled substances or an employee's admission of alcohol or controlled substance use, except as provided in § 382.121. Direct observation as used in this definition means observation of alcohol or controlled substances use and does not include observation of employee behavior or physical characteristics sufficient to warrant reasonable suspicion testing under § 382.307.</P> <P> <E T="03">Alcohol</E> means the intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular weight alcohols including methyl and isopropyl alcohol.</P> <P> <E T="03">Alcohol concentration</E> (<E T="03">or content</E>) means the alcohol in a volume of breath expressed in terms of grams of alcohol per 210 liters of breath as indicated by an evidential breath test under this part.</P> <P> <E T="03">Alcohol use</E> means the drinking or swallowing of any beverage, liquid mixture or preparation (including any medication), containing alcohol.</P> <P> <E T="03">Commerce</E> means:</P> <P>(1) Any trade, traffic or transportation within the jurisdiction of the United States between a place in a State and a place outside of such State, including a place outside of the United States; and</P> <P>(2) Trade, traffic, and transportation in the United States which affects any trade, traffic, and transportation described in paragraph (1) of this definition.</P> <P> <E T="03">Commercial motor vehicle</E> means a motor vehicle or combination of motor vehicles used in commerce to transport passengers or property if the vehicle—</P> <P>(1) Has a gross combination weight rating of 11,794 or more kilograms (26,001 or more pounds) inclusive of a towed unit with a gross vehicle weight rating of more than 4,536 kilograms (10,000 pounds); or</P> <P>(2) Has a gross vehicle weight rating of 11,794 or more kilograms (26,001 or more pounds); or</P> <P>(3) Is designed to transport 16 or more passengers, including the driver; or</P> <P>(4) Is of any size and is used in the transportation of materials found to be hazardous for the purposes of the Hazardous Materials Transportation Act (49 U.S.C. 5103(b)) and which require the motor vehicle to be placarded under the Hazardous Materials Regulations (49 CFR part 172, subpart F).</P> <P> <E T="03">Confirmation (or confirmatory) drug test</E> means a second analytical procedure performed on a urine specimen to identify and quantify the presence of a specific drug or drug metabolite.</P> <P> <E T="03">Confirmation (or confirmatory) validity test</E> means a second test performed on a urine specimen to further support a validity test result.</P> <P> <E T="03">Confirmed drug test</E> means a confirmation test result received by an MRO from a laboratory.</P> <P> <E T="03">Consortium/Third party administrator (C/TPA)</E> means a service agent that provides or coordinates one or more drug and/or alcohol testing services to DOT-regulated employers. C/TPAs typically provide or coordinate the provision of a number of such services and perform administrative tasks concerning the operation of the employers' drug and alcohol testing programs. This term includes, but is not limited to, groups of employers who join together to administer, as a single entity, the DOT drug and alcohol testing programs of its members (e.g., having a combined random testing pool). C/TPAs are not “employers” for purposes of this part.</P> <P> <E T="03">Controlled substances</E> mean those substances identified in § 40.85 of this title.<PRTPAGE P="162"/> </P> <P> <E T="03">Designated employer representative (DER)</E> is an individual identified by the employer as able to receive communications and test results from service agents and who is authorized to take immediate actions to remove employees from safety-sensitive duties and to make required decisions in the testing and evaluation processes. The individual must be an employee of the company. Service agents cannot serve as DERs.</P> <P> <E T="03">Disabling damage</E> means damage which precludes departure of a motor vehicle from the scene of the accident in its usual manner in daylight after simple repairs.</P> <P>(1) <E T="03">Inclusions.</E> Damage to motor vehicles that could have been driven, but would have been further damaged if so driven.</P> <P>(2) <E T="03">Exclusions.</E> (i) Damage which can be remedied temporarily at the scene of the accident without special tools or parts.</P> <P>(ii) Tire disablement without other damage even if no spare tire is available.</P> <P>(iii) Headlight or taillight damage.</P> <P>(iv) Damage to turn signals, horn, or windshield wipers which make them inoperative.</P> <P> <E T="03">DOT Agency</E> means an agency (or “operating administration”) of the United States Department of Transportation administering regulations requiring alcohol and/or drug testing (14 CFR parts 61, 63, 65, 121, and 135; 49 CFR parts 199, 219, 382, and 655), in accordance with part 40 of this title.</P> <P> <E T="03">Driver</E> means any person who operates a commercial motor vehicle. This includes, but is not limited to: Full time, regularly employed drivers; casual, intermittent or occasional drivers; leased drivers and independent owner-operator contractors.</P> <P> <E T="03">Employer</E> means a person or entity employing one or more employees (including an individual who is self-employed) that is subject to DOT agency regulations requiring compliance with this part. The term, as used in this part, means the entity responsible for overall implementation of DOT drug and alcohol program requirements, including individuals employed by the entity who take personnel actions resulting from violations of this part and any applicable DOT agency regulations. Service agents are not employers for the purposes of this part.</P> <P> <E T="03">Licensed medical practitioner</E> means a person who is licensed, certified, and/or registered, in accordance with applicable Federal, State, local, or foreign laws and regulations, to prescribe controlled substances and other drugs.</P> <P> <E T="03">Performing (a safety-sensitive function)</E> means a driver is considered to be performing a safety-sensitive function during any period in which he or she is actually performing, ready to perform, or immediately available to perform any safety-sensitive functions.</P> <P> <E T="03">Positive rate for random drug testing</E> means the number of verified positive results for random drug tests conducted under this part plus the number of refusals of random drug tests required by this part, divided by the total number of random drug tests results (<E T="03">i.e.,</E> positives, negatives, and refusals) under this part.</P> <P> <E T="03">Refuse to submit (to an alcohol or controlled substances test)</E> means that a driver:</P> <P>(1) Fail to appear for any test (except a pre-employment test) within a reasonable time, as determined by the employer, consistent with applicable DOT agency regulations, after being directed to do so by the employer. This includes the failure of an employee (including an owner-operator) to appear for a test when called by a C/TPA (see § 40.61(a) of this title);</P> <P>(2) Fail to remain at the testing site until the testing process is complete. Provided, that an employee who leaves the testing site before the testing process commences (see § 40.63(c) of this title) a pre-employment test is not deemed to have refused to test;</P> <P>(3) Fail to provide a urine specimen for any drug test required by this part or DOT agency regulations. Provided, that an employee who does not provide a urine specimen because he or she has left the testing site before the testing process commences (see § 40.63(c) of this title) for a pre-employment test is not deemed to have refused to test;</P> <P>(4) In the case of a directly observed or monitored collection in a drug test, fails to permit the observation or monitoring of the driver's provision of a <PRTPAGE P="163"/>specimen (see §§ 40.67(l) and 40.69(g) of this title);</P> <P>(5) Fail to provide a sufficient amount of urine when directed, and it has been determined, through a required medical evaluation, that there was no adequate medical explanation for the failure (see § 40.193(d)(2) of this title);</P> <P>(6) Fail or declines to take a second test the employer or collector has directed the driver to take;</P> <P>(7) Fail to undergo a medical examination or evaluation, as directed by the MRO as part of the verification process, or as directed by the DER under § 40.193(d) of this title. In the case of a pre-employment drug test, the employee is deemed to have refused to test on this basis only if the pre-employment test is conducted following a contingent offer of employment;</P> <P>(8) Fail to cooperate with any part of the testing process (e.g., refuse to empty pockets when so directed by the collector, behave in a confrontational way that disrupts the collection process); or</P> <P>(9) Is reported by the MRO as having a verified adulterated or substituted test result.</P> <P> <E T="03">Safety-sensitive function</E> means all time from the time a driver begins to work or is required to be in readiness to work until the time he/she is relieved from work and all responsibility for performing work. Safety-sensitive functions shall include:</P> <P>(1) All time at an employer or shipper plant, terminal, facility, or other property, or on any public property, waiting to be dispatched, unless the driver has been relieved from duty by the employer;</P> <P>(2) All time inspecting equipment as required by §§ 392.7 and 392.8 of this subchapter or otherwise inspecting, servicing, or conditioning any commercial motor vehicle at any time;</P> <P>(3) All time spent at the driving controls of a commercial motor vehicle in operation;</P> <P>(4) All time, other than driving time, in or upon any commercial motor vehicle except time spent resting in a sleeper berth (a berth conforming to the requirements of § 393.76 of this subchapter);</P> <P>(5) All time loading or unloading a vehicle, supervising, or assisting in the loading or unloading, attending a vehicle being loaded or unloaded, remaining in readiness to operate the vehicle, or in giving or receiving receipts for shipments loaded or unloaded; and</P> <P>(6) All time repairing, obtaining assistance, or remaining in attendance upon a disabled vehicle.</P> <P> <E T="03">Screening test (or initial test)</E> means:</P> <P>(1) In drug testing, a test to eliminate “negative” urine specimens from further analysis or to identify a specimen that requires additional testing for the presence of drugs.</P> <P>(2) In alcohol testing, an analytical procedure to determine whether an employee may have a prohibited concentration of alcohol in a breath or saliva specimen.</P> <P> <E T="03">Stand-down</E> means the practice of temporarily removing an employee from the performance of safety-sensitive functions based only on a report from a laboratory to the MRO of a confirmed positive test for a drug or drug metabolite, an adulterated test, or a substituted test, before the MRO has completed verification of the test results.</P> <P> <E T="03">Violation rate for random alcohol testing</E> means the number of 0.04 and above random alcohol confirmation test results conducted under this part plus the number of refusals of random alcohol tests required by this part, divided by the total number of random alcohol screening tests (including refusals) conducted under this part.</P> <CITA>[66 FR 43103, Aug. 17, 2001, as amended at 68 FR 75458, Dec. 31, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 382.109</SECTNO> <SUBJECT>Preemption of State and local laws.</SUBJECT> <P>(a) Except as provided in paragraph (b) of this section, this part preempts any State or local law, rule, regulation, or order to the extent that:</P> <P>(1) Compliance with both the State or local requirement in this part is not possible; or</P> <P>(2) Compliance with the State or local requirement is an obstacle to the accomplishment and execution of any requirement in this part.<PRTPAGE P="164"/> </P> <P>(b) This part shall not be construed to preempt provisions of State criminal law that impose sanctions for reckless conduct leading to actual loss of life, injury, or damage to property, whether the provisions apply specifically to transportation employees, employers, or the general public.</P> </SECTION> <SECTION> <SECTNO>§ 382.111</SECTNO> <SUBJECT>Other requirements imposed by employers.</SUBJECT> <P>Except as expressly provided in this part, nothing in this part shall be construed to affect the authority of employers, or the rights of drivers, with respect to the use of alcohol, or the use of controlled substances, including authority and rights with respect to testing and rehabilitation.</P> </SECTION> <SECTION> <SECTNO>§ 382.113</SECTNO> <SUBJECT>Requirement for notice.</SUBJECT> <P>Before performing each alcohol or controlled substances test under this part, each employer shall notify a driver that the alcohol or controlled substances test is required by this part. No employer shall falsely represent that a test is administered under this part.</P> </SECTION> <SECTION> <SECTNO>§ 382.115</SECTNO> <SUBJECT>Starting date for testing programs.</SUBJECT> <P>(a) All domestic-domiciled employers must implement the requirements of this part on the date the employer begins commercial motor vehicle operations.</P> <P>(b) All foreign-domiciled employers must implement the requirements of this part on the date the employer begins commercial motor vehicle operations in the United States.</P> </SECTION> <SECTION> <SECTNO>§ 382.117</SECTNO> <SUBJECT>Public interest exclusion.</SUBJECT> <P>No employer shall use the services of a service agent who is subject to public interest exclusion in accordance with 49 CFR part 40, Subpart R.</P> </SECTION> <SECTION> <SECTNO>§ 382.119</SECTNO> <SUBJECT>Stand-down waiver provision.</SUBJECT> <P>(a) Employers are prohibited from standing employees down, except consistent with a waiver from the Federal Motor Carrier Safety Administration as required under this section.</P> <P>(b) An employer subject to this part who seeks a waiver from the prohibition against standing down an employee before the MRO has completed the verification process shall follow the procedures in 49 CFR 40.21. The employer must send a written request, which includes all of the information required by that section to the Federal Motor Carrier Safety Administrator (or the Administrator's designee), U.S. Department of Transportation, 400 Seventh Street, SW., Washington, DC 20590.</P> <P>(c) The final decision whether to grant or deny the application for a waiver will be made by the Administrator or the Administrator's designee.</P> <P>(d) After a decision is signed by the Administrator or the Administrator's designee, the employer will be sent a copy of the decision, which will include the terms and conditions for the waiver or the reason for denying the application for a waiver.</P> <P>(e) Questions regarding waiver applications should be directed to the Office of Enforcement and Compliance, Federal Motor Carrier Safety Administration, 400 Seventh Street, SW., Washington, DC 20590. The telephone number is (202) 366-5720.</P> </SECTION> <SECTION> <SECTNO>§ 382.121</SECTNO> <SUBJECT>Employee admission of alcohol and controlled substances use.</SUBJECT> <P>(a) Employees who admit to alcohol misuse or controlled substances use are not subject to the referral, evaluation and treatment requirements of this part and part 40 of this title, provided that:</P> <P>(1) The admission is in accordance with a written employer-established voluntary self-identification program or policy that meets the requirements of paragraph (b) of this section;</P> <P>(2) The driver does not self-identify in order to avoid testing under the requirements of this part;</P> <P>(3) The driver makes the admission of alcohol misuse or controlled substances use prior to performing a safety sensitive function (i.e., prior to reporting for duty); and</P> <P>(4) The driver does not perform a safety sensitive function until the employer is satisfied that the employee has been evaluated and has successfully completed education or treatment requirements in accordance with the self-identification program guidelines.<PRTPAGE P="165"/> </P> <P>(b) A qualified voluntary self-identification program or policy must contain the following elements:</P> <P>(1) It must prohibit the employer from taking adverse action against an employee making a voluntary admission of alcohol misuse or controlled substances use within the parameters of the program or policy and paragraph (a) of this section;</P> <P>(2) It must allow the employee sufficient opportunity to seek evaluation, education or treatment to establish control over the employee's drug or alcohol problem;</P> <P>(3) It must permit the employee to return to safety sensitive duties only upon successful completion of an educational or treatment program, as determined by a drug and alcohol abuse evaluation expert, i.e., employee assistance professional, substance abuse professional, or qualified drug and alcohol counselor;</P> <P>(4) It must ensure that:</P> <P>(i) Prior to the employee participating in a safety sensitive function, the employee shall undergo a return to duty test with a result indicating an alcohol concentration of less than 0.02; and/or</P> <P>(ii) Prior to the employee participating in a safety sensitive function, the employee shall undergo a return to duty controlled substance test with a verified negative test result for controlled substances use; and</P> <P>(5) It may incorporate employee monitoring and include non-DOT follow-up testing.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Prohibitions</HD> <SECTION> <SECTNO>§ 382.201</SECTNO> <SUBJECT>Alcohol concentration.</SUBJECT> <P>No driver shall report for duty or remain on duty requiring the performance of safety-sensitive functions while having an alcohol concentration of 0.04 or greater. No employer having actual knowledge that a driver has an alcohol concentration of 0.04 or greater shall permit the driver to perform or continue to perform safety-sensitive functions.</P> </SECTION> <SECTION> <SECTNO>§ 382.205</SECTNO> <SUBJECT>On-duty use.</SUBJECT> <P>No driver shall use alcohol while performing safety-sensitive functions. No employer having actual knowledge that a driver is using alcohol while performing safety-sensitive functions shall permit the driver to perform or continue to perform safety-sensitive functions.</P> </SECTION> <SECTION> <SECTNO>§ 382.207</SECTNO> <SUBJECT>Pre-duty use.</SUBJECT> <P>No driver shall perform safety-sensitive functions within four hours after using alcohol. No employer having actual knowledge that a driver has used alcohol within four hours shall permit a driver to perform or continue to perform safety-sensitive functions.</P> </SECTION> <SECTION> <SECTNO>§ 382.209</SECTNO> <SUBJECT>Use following an accident.</SUBJECT> <P>No driver required to take a post-accident alcohol test under § 382.303 shall use alcohol for eight hours following the accident, or until he/she undergoes a post-accident alcohol test, whichever occurs first.</P> </SECTION> <SECTION> <SECTNO>§ 382.211</SECTNO> <SUBJECT>Refusal to submit to a required alcohol or controlled substances test.</SUBJECT> <P>No driver shall refuse to submit to a post-accident alcohol or controlled substances test required under § 382.303, a random alcohol or controlled substances test required under § 382.305, a reasonable suspicion alcohol or controlled substances test required under § 382.307, or a follow-up alcohol or controlled substances test required under § 382.311. No employer shall permit a driver who refuses to submit to such tests to perform or continue to perform safety-sensitive functions.</P> </SECTION> <SECTION> <SECTNO>§ 382.213</SECTNO> <SUBJECT>Controlled substances use.</SUBJECT> <P>(a) No driver shall report for duty or remain on duty requiring the performance of safety-sensitive functions when the driver uses any controlled substance, except when the use is pursuant to the instructions of a licensed medical practitioner, as defined in § 382.107, who has advised the driver that the substance will not adversely affect the driver's ability to safely operate a commercial motor vehicle.</P> <P>(b) No employer having actual knowledge that a driver has used a controlled substance shall permit the driver to perform or continue to perform a safety-sensitive function.<PRTPAGE P="166"/> </P> <P>(c) An employer may require a driver to inform the employer of any therapeutic drug use.</P> </SECTION> <SECTION> <SECTNO>§ 382.215</SECTNO> <SUBJECT>Controlled substances testing.</SUBJECT> <P>No driver shall report for duty, remain on duty or perform a safety-sensitive function, if the driver tests positive or has adulterated or substituted a test specimen for controlled substances. No employer having actual knowledge that a driver has tested positive or has adulterated or substituted a test specimen for controlled substances shall permit the driver to perform or continue to perform safety-sensitive functions.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Tests Required</HD> <SECTION> <SECTNO>§ 382.301</SECTNO> <SUBJECT>Pre-employment testing.</SUBJECT> <P>(a) Prior to the first time a driver performs safety-sensitive functions for an employer, the driver shall undergo testing for controlled substances as a condition prior to being used, unless the employer uses the exception in paragraph (b) of this section. No employer shall allow a driver, who the employer intends to hire or use, to perform safety-sensitive functions unless the employer has received a controlled substances test result from the MRO or C/TPA indicating a verified negative test result for that driver.</P> <P>(b) An employer is not required to administer a controlled substances test required by paragraph (a) of this section if:</P> <P>(1) The driver has participated in a controlled substances testing program that meets the requirements of this part within the previous 30 days; and</P> <P>(2) While participating in that program, either:</P> <P>(i) Was tested for controlled substances within the past 6 months (from the date of application with the employer), or</P> <P>(ii) Participated in the random controlled substances testing program for the previous 12 months (from the date of application with the employer); and</P> <P>(3) The employer ensures that no prior employer of the driver of whom the employer has knowledge has records of a violation of this part or the controlled substances use rule of another DOT agency within the previous six months.</P> <P>(c)(1) An employer who exercises the exception in paragraph (b) of this section shall contact the controlled substances testing program(s) in which the driver participates or participated and shall obtain and retain from the testing program(s) the following information:</P> <P>(i) Name(s) and address(es) of the program(s).</P> <P>(ii) Verification that the driver participates or participated in the program(s).</P> <P>(iii) Verification that the program(s) conforms to part 40 of this title.</P> <P>(iv) Verification that the driver is qualified under the rules of this part, including that the driver has not refused to be tested for controlled substances.</P> <P>(v) The date the driver was last tested for controlled substances.</P> <P>(vi) The results of any tests taken within the previous six months and any other violations of subpart B of this part.</P> <P>(2) An employer who uses, but does not employ a driver more than once a year to operate commercial motor vehicles must obtain the information in paragraph (c)(1) of this section at least once every six months. The records prepared under this paragraph shall be maintained in accordance with § 382.401. If the employer cannot verify that the driver is participating in a controlled substances testing program in accordance with this part and part 40 of this title, the employer shall conduct a pre-employment controlled substances test.</P> <P>(d) An employer may, but is not required to, conduct pre-employment alcohol testing under this part. If an employer chooses to conduct pre-employment alcohol testing, it must comply with the following requirements:</P> <P>(1) It must conduct a pre-employment alcohol test before the first performance of safety-sensitive functions by every covered employee (whether a new employee or someone who has transferred to a position involving the performance of safety-sensitive functions).</P> <P>(2) It must treat all safety-sensitive employees performing safety-sensitive <PRTPAGE P="167"/>functions the same for the purpose of pre-employment alcohol testing (i.e., it must not test some covered employees and not others).</P> <P>(3) It must conduct the pre-employment tests after making a contingent offer of employment or transfer, subject to the employee passing the pre-employment alcohol test.</P> <P>(4) It must conduct all pre-employment alcohol tests using the alcohol testing procedures of 49 CFR part 40 of this title.</P> <P>(5) It must not allow a covered employee to begin performing safety-sensitive functions unless the result of the employee's test indicates an alcohol concentration of less than 0.04.</P> </SECTION> <SECTION> <SECTNO>§ 382.303</SECTNO> <SUBJECT>Post-accident testing.</SUBJECT> <P>(a) As soon as practicable following an occurrence involving a commercial motor vehicle operating on a public road in commerce, each employer shall test for alcohol for each of its surviving drivers:</P> <P>(1) Who was performing safety-sensitive functions with respect to the vehicle, if the accident involved the loss of human life; or</P> <P>(2) Who receives a citation within 8 hours of the occurrence under State or local law for a moving traffic violation arising from the accident, if the accident involved:</P> <P>(i) Bodily injury to any person who, as a result of the injury, immediately receives medical treatment away from the scene of the accident; or</P> <P>(ii) One or more motor vehicles incurring disabling damage as a result of the accident, requiring the motor vehicle to be transported away from the scene by a tow truck or other motor vehicle.</P> <P>(b) As soon as practicable following an occurrence involving a commercial motor vehicle operating on a public road in commerce, each employer shall test for controlled substances for each of its surviving drivers:</P> <P>(1) Who was performing safety-sensitive functions with respect to the vehicle, if the accident involved the loss of human life; or</P> <P>(2) Who receives a citation within thirty-two hours of the occurrence under State or local law for a moving traffic violation arising from the accident, if the accident involved:</P> <P>(i) Bodily injury to any person who, as a result of the injury, immediately receives medical treatment away from the scene of the accident; or</P> <P>(ii) One or more motor vehicles incurring disabling damage as a result of the accident, requiring the motor vehicle to be transported away from the scene by a tow truck or other motor vehicle.</P> <P>(c) The following table notes when a post-accident test is required to be conducted by paragraphs (a)(1), (a)(2), (b)(1), and (b)(2) of this section:</P> <GPOTABLE CDEF="s100,xs75,xs75" COLS="3" OPTS="L4,p8,8/9,g1,t1,i1"> <TTITLE>Table for § 382.303(a) and (b)</TTITLE> <BOXHD> <CHED H="1">Type of accident involved</CHED> <CHED H="1">Citation issued to the CMV driver</CHED> <CHED H="1">Test must be performed by employer</CHED> </BOXHD> <ROW> <ENT I="01">i. Human fatality</ENT> <ENT>YES<LI>NO</LI> </ENT> <ENT>YES.<LI>YES.</LI> </ENT> </ROW> <ROW> <ENT I="01">ii. Bodily injury with immediate medical treatment away from the scene</ENT> <ENT>YES<LI>NO</LI> </ENT> <ENT>YES.<LI>NO.</LI> </ENT> </ROW> <ROW> <ENT I="01">iii. Disabling damage to any motor vehicle requiring tow away</ENT> <ENT>YES<LI>NO</LI> </ENT> <ENT>YES.<LI>NO.</LI> </ENT> </ROW> </GPOTABLE> <P>(d)(1) <E T="03">Alcohol tests.</E> If a test required by this section is not administered within two hours following the accident, the employer shall prepare and maintain on file a record stating the reasons the test was not promptly administered. If a test required by this section is not administered within eight hours following the accident, the employer shall cease attempts to administer an alcohol test and shall prepare and maintain the same record. <PRTPAGE P="168"/>Records shall be submitted to the FMCSA upon request.</P> <P>(2) <E T="03">Controlled substance tests.</E> If a test required by this section is not administered within 32 hours following the accident, the employer shall cease attempts to administer a controlled substances test, and prepare and maintain on file a record stating the reasons the test was not promptly administered. Records shall be submitted to the FMCSA upon request.</P> <P>(e) A driver who is subject to post-accident testing shall remain readily available for such testing or may be deemed by the employer to have refused to submit to testing. Nothing in this section shall be construed to require the delay of necessary medical attention for injured people following an accident or to prohibit a driver from leaving the scene of an accident for the period necessary to obtain assistance in responding to the accident, or to obtain necessary emergency medical care.</P> <P>(f) An employer shall provide drivers with necessary post-accident information, procedures and instructions, prior to the driver operating a commercial motor vehicle, so that drivers will be able to comply with the requirements of this section.</P> <P>(g)(1) The results of a breath or blood test for the use of alcohol, conducted by Federal, State, or local officials having independent authority for the test, shall be considered to meet the requirements of this section, provided such tests conform to the applicable Federal, State or local alcohol testing requirements, and that the results of the tests are obtained by the employer.</P> <P>(2) The results of a urine test for the use of controlled substances, conducted by Federal, State, or local officials having independent authority for the test, shall be considered to meet the requirements of this section, provided such tests conform to the applicable Federal, State or local controlled substances testing requirements, and that the results of the tests are obtained by the employer.</P> <P>(h) <E T="03">Exception.</E> This section does not apply to:</P> <P>(1) An occurrence involving only boarding or alighting from a stationary motor vehicle; or</P> <P>(2) An occurrence involving only the loading or unloading of cargo; or</P> <P>(3) An occurrence in the course of the operation of a passenger car or a multipurpose passenger vehicle (as defined in § 571.3 of this title) by an employer unless the motor vehicle is transporting passengers for hire or hazardous materials of a type and quantity that require the motor vehicle to be marked or placarded in accordance with § 177.823 of this title.</P> </SECTION> <SECTION> <SECTNO>§ 382.305</SECTNO> <SUBJECT>Random testing.</SUBJECT> <P>(a) Every employer shall comply with the requirements of this section. Every driver shall submit to random alcohol and controlled substance testing as required in this section.</P> <P>(b)(1) Except as provided in paragraphs (c) through (e) of this section, the minimum annual percentage rate for random alcohol testing shall be 10 percent of the average number of driver positions.</P> <P>(2) Except as provided in paragraphs (f) through (h) of this section, the minimum annual percentage rate for random controlled substances testing shall be 50 percent of the average number of driver positions.</P> <P>(c) The FMCSA Administrator's decision to increase or decrease the minimum annual percentage rate for alcohol testing is based on the reported violation rate for the entire industry. All information used for this determination is drawn from the alcohol management information system reports required by § 382.403. In order to ensure reliability of the data, the FMCSA Administrator considers the quality and completeness of the reported data, may obtain additional information or reports from employers, and may make appropriate modifications in calculating the industry violation rate. In the event of a change in the annual percentage rate, the FMCSA Administrator will publish in the <E T="04">Federal Register</E> the new minimum annual percentage rate for random alcohol testing of drivers. The new minimum annual percentage rate for random alcohol testing will be applicable starting January 1 of the calendar year following publication in the <E T="04">Federal Register</E>.<PRTPAGE P="169"/> </P> <P>(d)(1) When the minimum annual percentage rate for random alcohol testing is 25 percent or more, the FMCSA Administrator may lower this rate to 10 percent of all driver positions if the FMCSA Administrator determines that the data received under the reporting requirements of § 382.403 for two consecutive calendar years indicate that the violation rate is less than 0.5 percent.</P> <P>(2) When the minimum annual percentage rate for random alcohol testing is 50 percent, the FMCSA Administrator may lower this rate to 25 percent of all driver positions if the FMCSA Administrator determines that the data received under the reporting requirements of § 382.403 for two consecutive calendar years indicate that the violation rate is less than 1.0 percent but equal to or greater than 0.5 percent.</P> <P>(e)(1) When the minimum annual percentage rate for random alcohol testing is 10 percent, and the data received under the reporting requirements of § 382.403 for that calendar year indicate that the violation rate is equal to or greater than 0.5 percent, but less than 1.0 percent, the FMCSA Administrator will increase the minimum annual percentage rate for random alcohol testing to 25 percent for all driver positions.</P> <P>(2) When the minimum annual percentage rate for random alcohol testing is 25 percent or less, and the data received under the reporting requirements of § 382.403 for that calendar year indicate that the violation rate is equal to or greater than 1.0 percent, the FMCSA Administrator will increase the minimum annual percentage rate for random alcohol testing to 50 percent for all driver positions.</P> <P>(f) The FMCSA Administrator's decision to increase or decrease the minimum annual percentage rate for controlled substances testing is based on the reported positive rate for the entire industry. All information used for this determination is drawn from the controlled substances management information system reports required by § 382.403. In order to ensure reliability of the data, the FMCSA Administrator considers the quality and completeness of the reported data, may obtain additional information or reports from employers, and may make appropriate modifications in calculating the industry positive rate. In the event of a change in the annual percentage rate, the FMCSA Administrator will publish in the <E T="04">Federal Register</E> the new minimum annual percentage rate for controlled substances testing of drivers. The new minimum annual percentage rate for random controlled substances testing will be applicable starting January 1 of the calendar year following publication in the <E T="04">Federal Register</E>.</P> <P>(g) When the minimum annual percentage rate for random controlled substances testing is 50 percent, the FMCSA Administrator may lower this rate to 25 percent of all driver positions if the FMCSA Administrator determines that the data received under the reporting requirements of § 382.403 for two consecutive calendar years indicate that the positive rate is less than 1.0 percent.</P> <P>(h) When the minimum annual percentage rate for random controlled substances testing is 25 percent, and the data received under the reporting requirements of § 382.403 for any calendar year indicate that the reported positive rate is equal to or greater than 1.0 percent, the FMCSA Administrator will increase the minimum annual percentage rate for random controlled substances testing to 50 percent of all driver positions.</P> <P>(i)(1) The selection of drivers for random alcohol and controlled substances testing shall be made by a scientifically valid method, such as a random number table or a computer-based random number generator that is matched with drivers' Social Security numbers, payroll identification numbers, or other comparable identifying numbers.</P> <P>(2) Each driver selected for random alcohol and controlled substances testing under the selection process used, shall have an equal chance of being tested each time selections are made.</P> <P>(3) Each driver selected for testing shall be tested during the selection period.</P> <P>(j)(1)To calculate the total number of covered drivers eligible for random testing throughout the year, as an employer, you must add the total number of covered drivers eligible for testing <PRTPAGE P="170"/>during each random testing period for the year and divide that total by the number of random testing periods. Covered employees, and only covered employees, are to be in an employer's random testing pool, and all covered drivers must be in the random pool. If you are an employer conducting random testing more often than once per month (<E T="03">e.g.,</E> daily, weekly, bi-weekly) you do not need to compute this total number of covered drivers rate more than on a once per month basis.</P> <P>(2) As an employer, you may use a service agent (<E T="03">e.g.,</E> a C/TPA) to perform random selections for you, and your covered drivers may be part of a larger random testing pool of covered employees. However, you must ensure that the service agent you use is testing at the appropriate percentage established for your industry and that only covered employees are in the random testing pool.</P> <P>(k)(1) Each employer shall ensure that random alcohol and controlled substances tests conducted under this part are unannounced.</P> <P>(2) Each employer shall ensure that the dates for administering random alcohol and controlled substances tests conducted under this part are spread reasonably throughout the calendar year.</P> <P>(l) Each employer shall require that each driver who is notified of selection for random alcohol and/or controlled substances testing proceeds to the test site immediately; provided, however, that if the driver is performing a safety-sensitive function, other than driving a commercial motor vehicle, at the time of notification, the employer shall instead ensure that the driver ceases to perform the safety-sensitive function and proceeds to the testing site as soon as possible.</P> <P>(m) A driver shall only be tested for alcohol while the driver is performing safety-sensitive functions, just before the driver is to perform safety-sensitive functions, or just after the driver has ceased performing such functions.</P> <P>(n) If a given driver is subject to random alcohol or controlled substances testing under the random alcohol or controlled substances testing rules of more than one DOT agency for the same employer, the driver shall be subject to random alcohol and/or controlled substances testing at the annual percentage rate established for the calendar year by the DOT agency regulating more than 50 percent of the driver's function.</P> <P>(o) If an employer is required to conduct random alcohol or controlled substances testing under the alcohol or controlled substances testing rules of more than one DOT agency, the employer may—</P> <P>(1) Establish separate pools for random selection, with each pool containing the DOT-covered employees who are subject to testing at the same required minimum annual percentage rate; or</P> <P>(2) Randomly select such employees for testing at the highest minimum annual percentage rate established for the calendar year by any DOT agency to which the employer is subject.</P> <CITA>[66 FR 43103, Aug. 17, 2001, as amended at 67 FR 61821, Oct. 2, 2002; 68 FR 75459, Dec. 31, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 382.307</SECTNO> <SUBJECT>Reasonable suspicion testing.</SUBJECT> <P>(a) An employer shall require a driver to submit to an alcohol test when the employer has reasonable suspicion to believe that the driver has violated the prohibitions of subpart B of this part concerning alcohol. The employer's determination that reasonable suspicion exists to require the driver to undergo an alcohol test must be based on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors of the driver.</P> <P>(b) An employer shall require a driver to submit to a controlled substances test when the employer has reasonable suspicion to believe that the driver has violated the prohibitions of subpart B of this part concerning controlled substances. The employer's determination that reasonable suspicion exists to require the driver to undergo a controlled substances test must be based on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors of the driver. The observations may include indications of the chronic and withdrawal effects of controlled substances.<PRTPAGE P="171"/> </P> <P>(c) The required observations for alcohol and/or controlled substances reasonable suspicion testing shall be made by a supervisor or company official who is trained in accordance with § 382.603. The person who makes the determination that reasonable suspicion exists to conduct an alcohol test shall not conduct the alcohol test of the driver.</P> <P>(d) Alcohol testing is authorized by this section only if the observations required by paragraph (a) of this section are made during, just preceding, or just after the period of the work day that the driver is required to be in compliance with this part. A driver may be directed by the employer to only undergo reasonable suspicion testing while the driver is performing safety-sensitive functions, just before the driver is to perform safety-sensitive functions, or just after the driver has ceased performing such functions.</P> <P>(e)(1) If an alcohol test required by this section is not administered within two hours following the determination under paragraph (a) of this section, the employer shall prepare and maintain on file a record stating the reasons the alcohol test was not promptly administered. If an alcohol test required by this section is not administered within eight hours following the determination under paragraph (a) of this section, the employer shall cease attempts to administer an alcohol test and shall state in the record the reasons for not administering the test.</P> <P>(2) Notwithstanding the absence of a reasonable suspicion alcohol test under this section, no driver shall report for duty or remain on duty requiring the performance of safety-sensitive functions while the driver is under the influence of or impaired by alcohol, as shown by the behavioral, speech, and performance indicators of alcohol misuse, nor shall an employer permit the driver to perform or continue to perform safety-sensitive functions, until:</P> <P>(i) An alcohol test is administered and the driver's alcohol concentration measures less than 0.02; or</P> <P>(ii) Twenty four hours have elapsed following the determination under paragraph (a) of this section that there is reasonable suspicion to believe that the driver has violated the prohibitions in this part concerning the use of alcohol.</P> <P>(3) Except as provided in paragraph (e)(2) of this section, no employer shall take any action under this part against a driver based solely on the driver's behavior and appearance, with respect to alcohol use, in the absence of an alcohol test. This does not prohibit an employer with independent authority of this part from taking any action otherwise consistent with law.</P> <P>(f) A written record shall be made of the observations leading to an alcohol or controlled substances reasonable suspicion test, and signed by the supervisor or company official who made the observations, within 24 hours of the observed behavior or before the results of the alcohol or controlled substances tests are released, whichever is earlier.</P> </SECTION> <SECTION> <SECTNO>§ 382.309</SECTNO> <SUBJECT>Return-to-duty testing.</SUBJECT> <P>The requirements for return-to-duty testing must be performed in accordance with 49 CFR part 40, Subpart O.</P> </SECTION> <SECTION> <SECTNO>§ 382.311</SECTNO> <SUBJECT>Follow-up testing.</SUBJECT> <P>The requirements for follow-up testing must be performed in accordance with 49 CFR part 40, Subpart O.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Handling of Test Results, Records Retention, and Confidentiality</HD> <SECTION> <SECTNO>§ 382.401</SECTNO> <SUBJECT>Retention of records.</SUBJECT> <P>(a) <E T="03">General requirement.</E> Each employer shall maintain records of its alcohol misuse and controlled substances use prevention programs as provided in this section. The records shall be maintained in a secure location with controlled access.</P> <P>(b) <E T="03">Period of retention.</E> Each employer shall maintain the records in accordance with the following schedule:</P> <P>(1) <E T="03">Five years.</E> The following records shall be maintained for a minimum of five years:</P> <P>(i) Records of driver alcohol test results indicating an alcohol concentration of 0.02 or greater,</P> <P>(ii) Records of driver verified positive controlled substances test results,</P> <P>(iii) Documentation of refusals to take required alcohol and/or controlled substances tests,<PRTPAGE P="172"/> </P> <P>(iv) Driver evaluation and referrals,</P> <P>(v) Calibration documentation,</P> <P>(vi) Records related to the administration of the alcohol and controlled substances testing programs, and</P> <P>(vii) A copy of each annual calendar year summary required by § 382.403.</P> <P>(2) <E T="03">Two years.</E> Records related to the alcohol and controlled substances collection process (except calibration of evidential breath testing devices).</P> <P>(3) <E T="03">One year.</E> Records of negative and canceled controlled substances test results (as defined in part 40 of this title) and alcohol test results with a concentration of less than 0.02 shall be maintained for a minimum of one year.</P> <P>(4) <E T="03">Indefinite period.</E> Records related to the education and training of breath alcohol technicians, screening test technicians, supervisors, and drivers shall be maintained by the employer while the individual performs the functions which require the training and for two years after ceasing to perform those functions.</P> <P>(c) <E T="03">Types of records.</E> The following specific types of records shall be maintained. “Documents generated” are documents that may have to be prepared under a requirement of this part. If the record is required to be prepared, it must be maintained.</P> <P>(1) Records related to the collection process:</P> <P>(i) Collection logbooks, if used;</P> <P>(ii) Documents relating to the random selection process;</P> <P>(iii) Calibration documentation for evidential breath testing devices;</P> <P>(iv) Documentation of breath alcohol technician training;</P> <P>(v) Documents generated in connection with decisions to administer reasonable suspicion alcohol or controlled substances tests;</P> <P>(vi) Documents generated in connection with decisions on post-accident tests;</P> <P>(vii) Documents verifying existence of a medical explanation of the inability of a driver to provide adequate breath or to provide a urine specimen for testing; and</P> <P>(viii) A copy of each annual calendar year summary as required by § 382.403.</P> <P>(2) Records related to a driver's test results:</P> <P>(i) The employer's copy of the alcohol test form, including the results of the test;</P> <P>(ii) The employer's copy of the controlled substances test chain of custody and control form;</P> <P>(iii) Documents sent by the MRO to the employer, including those required by part 40, subpart G, of this title;</P> <P>(iv) Documents related to the refusal of any driver to submit to an alcohol or controlled substances test required by this part;</P> <P>(v) Documents presented by a driver to dispute the result of an alcohol or controlled substances test administered under this part; and</P> <P>(vi) Documents generated in connection with verifications of prior employers' alcohol or controlled substances test results that the employer:</P> <P>(A) Must obtain in connection with the exception contained in § 382.301, and</P> <P>(B) Must obtain as required by § 382.413.</P> <P>(3) Records related to other violations of this part.</P> <P>(4) Records related to evaluations:</P> <P>(i) Records pertaining to a determination by a substance abuse professional concerning a driver's need for assistance; and</P> <P>(ii) Records concerning a driver's compliance with recommendations of the substance abuse professional.</P> <P>(5) Records related to education and training:</P> <P>(i) Materials on alcohol misuse and controlled substance use awareness, including a copy of the employer's policy on alcohol misuse and controlled substance use;</P> <P>(ii) Documentation of compliance with the requirements of § 382.601, including the driver's signed receipt of education materials;</P> <P>(iii) Documentation of training provided to supervisors for the purpose of qualifying the supervisors to make a determination concerning the need for alcohol and/or controlled substances testing based on reasonable suspicion;</P> <P>(iv) Documentation of training for breath alcohol technicians as required by § 40.213(a) of this title; and</P> <P>(v) Certification that any training conducted under this part complies with the requirements for such training.<PRTPAGE P="173"/> </P> <P>(6) Administrative records related to alcohol and controlled substances testing:</P> <P>(i) Agreements with collection site facilities, laboratories, breath alcohol technicians, screening test technicians, medical review officers, consortia, and third party service providers;</P> <P>(ii) Names and positions of officials and their role in the employer's alcohol and controlled substances testing program(s);</P> <P>(iii) Semi-annual laboratory statistical summaries of urinalysis required by § 40.111(a) of this title; and</P> <P>(iv) The employer's alcohol and controlled substances testing policy and procedures.</P> <P>(d) <E T="03">Location of records.</E> All records required by this part shall be maintained as required by § 390.31 of this subchapter and shall be made available for inspection at the employer's principal place of business within two business days after a request has been made by an authorized representative of the Federal Motor Carrier Safety Administration.</P> <P>(e) <E T="03">OMB control number.</E> (1) The information collection requirements of this part have been reviewed by the Office of Management and Budget pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) and have been assigned OMB control number 2126-0012.</P> <P>(2) The information collection requirements of this part are found in the following sections: Sections 382.105, 382.113, 382.301, 382.303, 382.305, 382.307, 382.401, 382.403, 382.405, 382.409, 382.411, 382.601, 382.603.</P> <CITA>[66 FR 43103, Aug. 17, 2001, as amended at 67 FR 61821, Oct. 2, 2002; 68 FR 75459, Dec. 31, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 382.403</SECTNO> <SUBJECT>Reporting of results in a management information system.</SUBJECT> <P>(a) An employer shall prepare and maintain a summary of the results of its alcohol and controlled substances testing programs performed under this part during the previous calendar year, when requested by the Secretary of Transportation, any DOT agency, or any State or local officials with regulatory authority over the employer or any of its drivers.</P> <P>(b) If an employer is notified, during the month of January, of a request by the Federal Motor Carrier Safety Administration to report the employer's annual calendar year summary information, the employer shall prepare and submit the report to the FMCSA by March 15 of that year. The employer shall ensure that the annual summary report is accurate and received by March 15 at the location that the FMCSA specifies in its request. The employer must use the Management Information System (MIS) form and instructions as required by 49 CFR part 40 (at § 40.26 and appendix H to part 40). The employer may also use the electronic version of the MIS form provided by the DOT. The Administrator may designate means (<E T="03">e.g.,</E> electronic program transmitted via the Internet), other than hard-copy, for MIS form submission. For information on the electronic version of the form, see: <E T="03">http://www.fmcsa.dot.gov/safetyprogs/drugs/engtesting.htm.</E> </P> <P>(c) When the report is submitted to the FMCSA by mail or electronic transmission, the information requested shall be typed, except for the signature of the certifying official. Each employer shall ensure the accuracy and timeliness of each report submitted by the employer or a consortium.</P> <P>(d) If you have a covered employee who performs multi-DOT agency functions (<E T="03">e.g.,</E> an employee drives a commercial motor vehicle and performs pipeline maintenance duties for the same employer), count the employee only on the MIS report for the DOT agency under which he or she is randomly tested. Normally, this will be the DOT agency under which the employee performs more than 50% of his or her duties. Employers may have to explain the testing data for these employees in the event of a DOT agency inspection or audit.</P> <P>(e) A service agent (<E T="03">e.g., Consortia/Third party administrator</E> as defined in 49 CFR 382.107) may prepare the MIS report on behalf of an employer. However, a company official (<E T="03">e.g., Designated employer representative</E>) must certify the accuracy and completeness <PRTPAGE P="174"/>of the MIS report, no matter who prepares it.</P> <CITA>[66 FR 43103, Aug. 17, 2001, as amended at 68 FR 75459, Dec. 31, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 382.405</SECTNO> <SUBJECT>Access to facilities and records.</SUBJECT> <P>(a) Except as required by law or expressly authorized or required in this section, no employer shall release driver information that is contained in records required to be maintained under § 382.401.</P> <P>(b) A driver is entitled, upon written request, to obtain copies of any records pertaining to the driver's use of alcohol or controlled substances, including any records pertaining to his or her alcohol or controlled substances tests. The employer shall promptly provide the records requested by the driver. Access to a driver's records shall not be contingent upon payment for records other than those specifically requested.</P> <P>(c) Each employer shall permit access to all facilities utilized in complying with the requirements of this part to the Secretary of Transportation, any DOT agency, or any State or local officials with regulatory authority over the employer or any of its drivers.</P> <P>(d) Each employer shall make available copies of all results for employer alcohol and/or controlled substances testing conducted under this part and any other information pertaining to the employer's alcohol misuse and/or controlled substances use prevention program, when requested by the Secretary of Transportation, any DOT agency, or any State or local officials with regulatory authority over the employer or any of its drivers.</P> <P>(e) When requested by the National Transportation Safety Board as part of an accident investigation, employers shall disclose information related to the employer's administration of a post-accident alcohol and/or controlled substance test administered following the accident under investigation.</P> <P>(f) Records shall be made available to a subsequent employer upon receipt of a written request from a driver. Disclosure by the subsequent employer is permitted only as expressly authorized by the terms of the driver's request.</P> <P>(g) An employer may disclose information required to be maintained under this part pertaining to a driver to the decision maker in a lawsuit, grievance, or administrative proceeding initiated by or on behalf of the individual, and arising from a positive DOT drug or alcohol test or a refusal to test (including, but not limited to, adulterated or substituted test results) of this part (including, but not limited to, a worker's compensation, unemployment compensation, or other proceeding relating to a benefit sought by the driver). Additionally, an employer may disclose information in criminal or civil actions in accordance with § 40.323(a)(2) of this title.</P> <P>(h) An employer shall release information regarding a driver's records as directed by the specific written consent of the driver authorizing release of the information to an identified person. Release of such information by the person receiving the information is permitted only in accordance with the terms of the employee's specific written consent as outlined in § 40.321(b) of this title.</P> </SECTION> <SECTION> <SECTNO>§ 382.407</SECTNO> <SUBJECT>Medical review officer notifications to the employer.</SUBJECT> <P>Medical review officers shall report the results of controlled substances tests to employers in accordance with the requirements of part 40, Subpart G, of this title.</P> </SECTION> <SECTION> <SECTNO>§ 382.409</SECTNO> <SUBJECT>Medical review officer record retention for controlled substances.</SUBJECT> <P>(a) A medical review officer or third party administrator shall maintain all dated records and notifications, identified by individual, for a minimum of five years for verified positive controlled substances test results.</P> <P>(b) A medical review officer or third party administrator shall maintain all dated records and notifications, identified by individual, for a minimum of one year for negative and canceled controlled substances test results.</P> <P>(c) No person may obtain the individual controlled substances test results retained by a medical review officer or third party administrator, and no medical review officer or third party administrator shall release the individual controlled substances test <PRTPAGE P="175"/>results of any driver to any person, without first obtaining a specific, written authorization from the tested driver. Nothing in this paragraph (c) shall prohibit a medical review officer or third party administrator from releasing, to the employer or to officials of the Secretary of Transportation, any DOT agency, or any State or local officials with regulatory authority over the controlled substances testing program under this part, the information delineated in part 40, Subpart G, of this title.</P> </SECTION> <SECTION> <SECTNO>§ 382.411</SECTNO> <SUBJECT>Employer notifications.</SUBJECT> <P>(a) An employer shall notify a driver of the results of a pre-employment controlled substances test conducted under this part, if the driver requests such results within 60 calendar days of being notified of the disposition of the employment application. An employer shall notify a driver of the results of random, reasonable suspicion and post-accident tests for controlled substances conducted under this part if the test results are verified positive. The employer shall also inform the driver which controlled substance or substances were verified as positive.</P> <P>(b) The designated employer representative shall make reasonable efforts to contact and request each driver who submitted a specimen under the employer's program, regardless of the driver's employment status, to contact and discuss the results of the controlled substances test with a medical review officer who has been unable to contact the driver.</P> <P>(c) The designated employer representative shall immediately notify the medical review officer that the driver has been notified to contact the medical review officer within 72 hours.</P> </SECTION> <SECTION> <SECTNO>§ 382.413</SECTNO> <SUBJECT>Inquiries for alcohol and controlled substances information from previous employers.</SUBJECT> <P>Employers shall request alcohol and controlled substances information from previous employers in accordance with the requirements of § 40.25 of this title.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Consequences for Drivers Engaging in Substance Use-Related Conduct</HD> <SECTION> <SECTNO>§ 382.501</SECTNO> <SUBJECT>Removal from safety-sensitive function.</SUBJECT> <P>(a) Except as provided in subpart F of this part, no driver shall perform safety-sensitive functions, including driving a commercial motor vehicle, if the driver has engaged in conduct prohibited by subpart B of this part or an alcohol or controlled substances rule of another DOT agency.</P> <P>(b) No employer shall permit any driver to perform safety-sensitive functions; including driving a commercial motor vehicle, if the employer has determined that the driver has violated this section.</P> <P>(c) For purposes of this subpart, commercial motor vehicle means a commercial motor vehicle in commerce as defined in § 382.107, and a commercial motor vehicle in interstate commerce as defined in part 390 of this subchapter.</P> </SECTION> <SECTION> <SECTNO>§ 382.503</SECTNO> <SUBJECT>Required evaluation and testing.</SUBJECT> <P>No driver who has engaged in conduct prohibited by subpart B of this part shall perform safety-sensitive functions, including driving a commercial motor vehicle, unless the driver has met the requirements of part 40, subpart O, of this title. No employer shall permit a driver who has engaged in conduct prohibited by subpart B of this part to perform safety-sensitive functions, including driving a commercial motor vehicle, unless the driver has met the requirements of part 40, subpart O, of this title.</P> </SECTION> <SECTION> <SECTNO>§ 382.505</SECTNO> <SUBJECT>Other alcohol-related conduct.</SUBJECT> <P>(a) No driver tested under the provisions of subpart C of this part who is found to have an alcohol concentration of 0.02 or greater but less than 0.04 shall perform or continue to perform safety-sensitive functions for an employer, including driving a commercial motor vehicle, nor shall an employer permit the driver to perform or continue to perform safety-sensitive functions, until the start of the driver's next regularly scheduled duty period, <PRTPAGE P="176"/>but not less than 24 hours following administration of the test.</P> <P>(b) Except as provided in paragraph (a) of this section, no employer shall take any action under this part against a driver based solely on test results showing an alcohol concentration less than 0.04. This does not prohibit an employer with authority independent of this part from taking any action otherwise consistent with law.</P> </SECTION> <SECTION> <SECTNO>§ 382.507</SECTNO> <SUBJECT>Penalties.</SUBJECT> <P>Any employer or driver who violates the requirements of this part shall be subject to the civil and/or criminal penalty provisions of 49 U.S.C. 521(b). In addition, any employer or driver who violates the requirements of 49 CFR part 40 shall be subject to the civil and/or criminal penalty provisions of 49 U.S.C. 521(b).</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Alcohol Misuse and Controlled Substances Use Information, Training, and Referral</HD> <SECTION> <SECTNO>§ 382.601</SECTNO> <SUBJECT>Employer obligation to promulgate a policy on the misuse of alcohol and use of controlled substances.</SUBJECT> <P>(a) <E T="03">General requirements.</E> Each employer shall provide educational materials that explain the requirements of this part and the employer's policies and procedures with respect to meeting these requirements.</P> <P>(1) The employer shall ensure that a copy of these materials is distributed to each driver prior to the start of alcohol and controlled substances testing under this part and to each driver subsequently hired or transferred into a position requiring driving a commercial motor vehicle.</P> <P>(2) Each employer shall provide written notice to representatives of employee organizations of the availability of this information.</P> <P>(b) <E T="03">Required content.</E> The materials to be made available to drivers shall include detailed discussion of at least the following:</P> <P>(1) The identity of the person designated by the employer to answer driver questions about the materials;</P> <P>(2) The categories of drivers who are subject to the provisions of this part;</P> <P>(3) Sufficient information about the safety-sensitive functions performed by those drivers to make clear what period of the work day the driver is required to be in compliance with this part;</P> <P>(4) Specific information concerning driver conduct that is prohibited by this part;</P> <P>(5) The circumstances under which a driver will be tested for alcohol and/or controlled substances under this part, including post-accident testing under § 382.303(d);</P> <P>(6) The procedures that will be used to test for the presence of alcohol and controlled substances, protect the driver and the integrity of the testing processes, safeguard the validity of the test results, and ensure that those results are attributed to the correct driver, including post-accident information, procedures and instructions required by § 382.303(d);</P> <P>(7) The requirement that a driver submit to alcohol and controlled substances tests administered in accordance with this part;</P> <P>(8) An explanation of what constitutes a refusal to submit to an alcohol or controlled substances test and the attendant consequences;</P> <P>(9) The consequences for drivers found to have violated subpart B of this part, including the requirement that the driver be removed immediately from safety-sensitive functions, and the procedures under part 40, subpart O, of this title;</P> <P>(10) The consequences for drivers found to have an alcohol concentration of 0.02 or greater but less than 0.04;</P> <P>(11) Information concerning the effects of alcohol and controlled substances use on an individual's health, work, and personal life; signs and symptoms of an alcohol or a controlled substances problem (the driver's or a co-worker's); and available methods of intervening when an alcohol or a controlled substances problem is suspected, including confrontation, referral to any employee assistance program and or referral to management.</P> <P>(c) <E T="03">Optional provision.</E> The materials supplied to drivers may also include information on additional employer policies with respect to the use of alcohol or controlled substances, including any <PRTPAGE P="177"/>consequences for a driver found to have a specified alcohol or controlled substances level, that are based on the employer's authority independent of this part. Any such additional policies or consequences must be clearly and obviously described as being based on independent authority.</P> <P>(d) <E T="03">Certificate of receipt.</E> Each employer shall ensure that each driver is required to sign a statement certifying that he or she has received a copy of these materials described in this section. Each employer shall maintain the original of the signed certificate and may provide a copy of the certificate to the driver.</P> </SECTION> <SECTION> <SECTNO>§ 382.603</SECTNO> <SUBJECT>Training for supervisors.</SUBJECT> <P>Each employer shall ensure that all persons designated to supervise drivers receive at least 60 minutes of training on alcohol misuse and receive at least an additional 60 minutes of training on controlled substances use. The training will be used by the supervisors to determine whether reasonable suspicion exists to require a driver to undergo testing under § 382.307. The training shall include the physical, behavioral, speech, and performance indicators of probable alcohol misuse and use of controlled substances. Recurrent training for supervisory personnel is not required.</P> </SECTION> <SECTION> <SECTNO>§ 382.605</SECTNO> <SUBJECT>Referral, evaluation, and treatment.</SUBJECT> <P>The requirements for referral, evaluation, and treatment must be performed in accordance with 49 CFR part 40, Subpart O.</P> </SECTION> </SUBPART> </PART> <PART> <EAR>Pt. 383</EAR> <HD SOURCE="HED">PART 383—COMMERCIAL DRIVER'S LICENSE STANDARDS; REQUIREMENTS AND PENALTIES</HD> <CONTENTS> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECHD>Sec.</SECHD> <SECTNO>383.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <SECTNO>383.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <SECTNO>383.5</SECTNO> <SUBJECT>Definitions.</SUBJECT> <SECTNO>383.7</SECTNO> <SUBJECT>XXX</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Single License Requirement</HD> <SECTNO>383.21</SECTNO> <SUBJECT>Number of drivers' licenses.</SUBJECT> <SECTNO>383.23</SECTNO> <SUBJECT>Commercial driver's license.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Notification Requirements and Employer Responsibilities</HD> <SECTNO>383.31</SECTNO> <SUBJECT>Notification of convictions for driver violations.</SUBJECT> <SECTNO>383.33</SECTNO> <SUBJECT>Notification of driver's license suspensions.</SUBJECT> <SECTNO>383.35</SECTNO> <SUBJECT>Notification of previous employment.</SUBJECT> <SECTNO>383.37</SECTNO> <SUBJECT>Employer responsibilities.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Driver Disqualifications and Penalties</HD> <SECTNO>383.51</SECTNO> <SUBJECT>Disqualification of drivers.</SUBJECT> <SECTNO>383.52</SECTNO> <SUBJECT>Disqualification of drivers determined to constitute an imminent hazard.</SUBJECT> <SECTNO>383.53</SECTNO> <SUBJECT>Penalties.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Testing and Licensing Procedures</HD> <SECTNO>383.71</SECTNO> <SUBJECT>Driver application procedures.</SUBJECT> <SECTNO>383.72</SECTNO> <SUBJECT>Implied consent to alcohol testing.</SUBJECT> <SECTNO>383.73</SECTNO> <SUBJECT>State procedures.</SUBJECT> <SECTNO>383.75</SECTNO> <SUBJECT>Third party testing.</SUBJECT> <SECTNO>383.77</SECTNO> <SUBJECT>Substitute for driving skills tests.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Vehicle Groups and Endorsements</HD> <SECTNO>383.91</SECTNO> <SUBJECT>Commercial motor vehicle groups.</SUBJECT> <SECTNO>383.93</SECTNO> <SUBJECT>Endorsements.</SUBJECT> <SECTNO>383.95</SECTNO> <SUBJECT>Air brake restrictions.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Required Knowledge and Skills</HD> <SECTNO>383.110</SECTNO> <SUBJECT>General requirement.</SUBJECT> <SECTNO>383.111</SECTNO> <SUBJECT>Required knowledge.</SUBJECT> <SECTNO>383.113</SECTNO> <SUBJECT>Required skills.</SUBJECT> <SECTNO>383.115</SECTNO> <SUBJECT>Requirements for double/triple trailers endorsement.</SUBJECT> <SECTNO>383.117</SECTNO> <SUBJECT>Requirements for passenger endorsement.</SUBJECT> <SECTNO>383.119</SECTNO> <SUBJECT>Requirements for tank vehicle endorsement.</SUBJECT> <SECTNO>383.121</SECTNO> <SUBJECT>Requirements for hazardous materials endorsement.</SUBJECT> <SECTNO>383.123</SECTNO> <SUBJECT> Requirements for a school bus endorsement.</SUBJECT> <APP>Appendix to Subpart G—Required Knowledge and Skills—Sample Guidelines</APP> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Tests</HD> <SECTNO>383.131</SECTNO> <SUBJECT>Test procedures.</SUBJECT> <SECTNO>383.133</SECTNO> <SUBJECT>Testing methods.</SUBJECT> <SECTNO>383.135</SECTNO> <SUBJECT>Minimum passing scores.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart I—Requirement for Transportation Security Administration approval of hazardous materials endorsement issuances</HD> <SECTNO>383.141</SECTNO> <SUBJECT>General.</SUBJECT> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart J—Commercial Driver's License Document</HD> <SECTNO>383.151</SECTNO> <SUBJECT>General.<PRTPAGE P="178"/> </SUBJECT> <SECTNO>383.153</SECTNO> <SUBJECT>Information on the document and application.</SUBJECT> <SECTNO>383.155</SECTNO> <SUBJECT>Tamperproofing requirements.</SUBJECT> </SUBPART> </CONTENTS> <AUTH> <HD SOURCE="HED">Authority:</HD> <P>49 U.S.C. 521, 31136, 31301 <E T="03">et seq.</E>, 31502; sec. 214 of Pub. L. 106-159, 113 Stat. 1766, 1767; sec. 1012(b) of Pub. L. 107-56, 115 Stat. 397; sec. 4140 of Pub. L. 10-59, 119 Stat. 1144; and 49 CFR 1.73.</P> </AUTH> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>52 FR 20587, June 1, 1987, unless otherwise noted.</P> </SOURCE> <EDNOTE> <HD SOURCE="HED">Editorial Note:</HD> <P>Nomenclature changes to part 383 appear at 66 FR 49872, Oct. 1, 2001.</P> </EDNOTE> <SUBPART> <HD SOURCE="HED">Subpart A—General</HD> <SECTION> <SECTNO>§ 383.1</SECTNO> <SUBJECT>Purpose and scope.</SUBJECT> <P>(a) The purpose of this part is to help reduce or prevent truck and bus accidents, fatalities, and injuries by requiring drivers to have a single commercial motor vehicle driver's license and by disqualifying drivers who operate commercial motor vehicles in an unsafe manner.</P> <P>(b) This part:</P> <P>(1) Prohibits a commercial motor vehicle driver from having more than one commercial motor vehicle driver's license;</P> <P>(2) Requires a driver to notify the driver's current employer and the driver's State of domicile of certain convictions;</P> <P>(3) Requires that a driver provide previous employment information when applying for employment as an operator of a commercial motor vehicle;</P> <P>(4) Prohibits an employer from allowing a person with a suspended license to operate a commercial motor vehicle;</P> <P>(5) Establishes periods of disqualification and penalties for those persons convicted of certain criminal and other offenses and serious traffic violations, or subject to any suspensions, revocations, or cancellations of certain driving privileges;</P> <P>(6) Establishes testing and licensing requirements for commercial motor vehicle operators;</P> <P>(7) Requires States to give knowledge and skills tests to all qualified applicants for commercial drivers' licenses which meet the Federal standard;</P> <P>(8) Sets forth commercial motor vehicle groups and endorsements;</P> <P>(9) Sets forth the knowledge and skills test requirements for the motor vehicle groups and endorsements;</P> <P>(10) Sets forth the Federal standards for procedures, methods, and minimum passing scores for States and others to use in testing and licensing commercial motor vehicle operators; and</P> <P>(11) Establishes requirements for the State issued commercial license documentation.</P> <CITA>[52 FR 20587, June 1, 1987, as amended at 53 FR 27648, July 21, 1988; 54 FR 40787, Oct. 3, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 383.3</SECTNO> <SUBJECT>Applicability.</SUBJECT> <P>(a) The rules in this part apply to every person who operates a commercial motor vehicle (CMV) in interstate, foreign, or intrastate commerce, to all employers of such persons, and to all States.</P> <P>(b) The exceptions contained in §390.3(f) of this subchapter do not apply to this part. The employers and drivers identified in §390.3(f) must comply with the requirements of this part, unless otherwise provided in this section.</P> <P>(c) <E T="03">Exception for certain military drivers.</E> Each State must exempt from the requirements of this part individuals who operate CMVs for military purposes. This exception is applicable to active duty military personnel; members of the military reserves; member of the national guard on active duty, including personnel on full-time national guard duty, personnel on part-time national guard training, and national guard military technicians (civilians who are required to wear military uniforms); and active duty U.S. Coast Guard personnel. This exception is not applicable to U.S. Reserve technicians.</P> <P>(d) <E T="03">Exception for farmers, firefighters, emergency response vehicle drivers, and drivers removing snow and ice.</E> A State may, at its discretion, exempt individuals identified in paragraphs (d)(1), (d)(2), and (d)(3) of this section from the requirements of this part. The use of this waiver is limited to the driver's home State unless there is a reciprocity agreement with adjoining States.</P> <P>(1) Operators of a farm vehicle which is:</P> <P>(i) Controlled and operated by a farmer, including operation by employees or family members;<PRTPAGE P="179"/> </P> <P>(ii) Used to transport either agricultural products, farm machinery, farm supplies, or both to or from a farm;</P> <P>(iii) Not used in the operations of a common or contract motor carrier; and</P> <P>(iv) Used within 241 kilometers (150 miles) of the farmer's farm.</P> <P>(2) Firefighters and other persons who operate CMVs which are necessary to the preservation of life or property or the execution of emergency governmental functions, are equipped with audible and visual signals and are not subject to normal traffic regulation. These vehicles include fire trucks, hook and ladder trucks, foam or water transport trucks, police SWAT team vehicles, ambulances, or other vehicles that are used in response to emergencies.</P> <P>(3)(i) A driver, employed by an eligible unit of local government, operating a commercial motor vehicle within the boundaries of that unit for the purpose of removing snow or ice from a roadway by plowing, sanding, or salting, if</P> <P>(A) The properly licensed employee who ordinarily operates a commercial motor vehicle for these purposes is unable to operate the vehicle; or</P> <P>(B) The employing governmental entity determines that a snow or ice emergency exists that requires additional assistance.</P> <P>(ii) This exemption shall not preempt State laws and regulations concerning the safe operation of commercial motor vehicles.</P> <P>(e) <E T="03">Restricted commercial drivers license (CDL) for certain drivers in the State of Alaska.</E> (1) The State of Alaska may, at its discretion, waive only the following requirements of this part and issue a CDL to each driver that meets the conditions set forth in paragraphs (e) (2) and (3) of this section:</P> <P>(i) The knowledge tests standards for testing procedures and methods of subpart H, but must continue to administer knowledge tests that fulfill the content requirements of subpart G for <E T="03">all</E> applicants;</P> <P>(ii) All the skills test requirements; and</P> <P>(iii) The requirement under § 383.153(a)(4) to have a photograph on the license document.</P> <P>(2) Drivers of CMVs in the State of Alaska must operate exclusively over roads that meet <E T="03">both</E> of the following criteria to be eligible for the exception in paragraph (e)(1) of this section:</P> <P>(i) Such roads are not connected by land highway or vehicular way to the land-connected State highway system; and</P> <P>(ii) Such roads are not connected to any highway or vehicular way with an average daily traffic volume greater than 499.</P> <P>(3) Any CDL issued under the terms of this paragraph must carry two restrictions:</P> <P>(i) Holders may not operate CMVs over roads other than those specified in paragraph (e)(2) of this section; and</P> <P>(ii) The license is not valid for CMV operation outside the State of Alaska.</P> <P>(f) <E T="03">Restricted CDL for certain drivers in farm-related service industries.</E> (1) A State may, at its discretion, waive the required knowledge and skills tests of subpart H of this part and issue restricted CDLs to employees of these designated farm-related service industries:</P> <P>(i) Agri-chemical businesses;</P> <P>(ii) Custom harvesters;</P> <P>(iii) Farm retail outlets and suppliers;</P> <P>(iv) Livestock feeders.</P> <P>(2) A restricted CDL issued pursuant to this paragraph shall meet all the requirements of this part, except subpart H of this part. A restricted CDL issued pursuant to this paragraph shall be accorded the same reciprocity as a CDL meeting all of the requirements of this part. The restrictions imposed upon the issuance of this restricted CDL shall not limit a person's use of the CDL in a non-CMV during either validated or non-validated periods, nor shall the CDL affect a State's power to administer its driver licensing program for operators of vehicles other than CMVs.</P> <P>(3) A State issuing a CDL under the terms of this paragraph must restrict issuance as follows:</P> <P>(i) Applicants must have a good driving record as defined in this paragraph. Drivers who have not held any motor vehicle operator's license for at least one year shall not be eligible for this CDL. Drivers who have between one and two years of driving experience must demonstrate a good driving <PRTPAGE P="180"/>record for their entire driving history. Drivers with more than two years of driving experience must have a good driving record for the two most recent years. For the purposes of this paragraph, the term <E T="03">good driving record</E> means that an applicant:</P> <P>(A) Has not had more than one license (except in the instances specified in § 383.21);</P> <P>(B) Has not had <E T="03">any</E> license suspended, revoked, or canceled;</P> <P>(C) Has not had <E T="03">any</E> conviction for any type of motor vehicle for the disqualifying offenses contained in § 383.51(b);</P> <P>(D) Has not had <E T="03">any</E> conviction for any type of motor vehicle for serious traffic violations; and</P> <P>(E) Has not had <E T="03">any</E> conviction for a violation of State or local law relating to motor vehicle traffic control (other than a parking violation) arising in connection with any traffic accident, and has no record of an accident in which he/she was at fault.</P> <P>(ii) Restricted CDLs shall have the same renewal cycle as unrestricted CDLs, but shall be limited to the seasonal period or periods as defined by the State of licensure, provided that the total number of calendar days in any 12-month period for which the restricted CDL is valid does not exceed 180. If a State elects to provide for more than one seasonal period, the restricted CDL is valid for commercial motor vehicle operation only during the currently approved season, and must be revalidated for each successive season. Only one seasonal period of validity may appear on the license document at a time. The good driving record must be confirmed prior to any renewal or revalidation.</P> <P>(iii) Restricted CDL holders are limited to operating Group B and C vehicles, as described in subpart F of this part.</P> <P>(iv) Restricted CDLs shall not be issued with <E T="03">any</E> endorsements on the license document. Only the limited tank vehicle and hazardous materials endorsement privileges that the restricted CDL automatically confers and are described in paragraph (f)(3)(v) of this section are permitted.</P> <P>(v) Restricted CDL holders may not drive vehicles carrying any placardable quantities of hazardous materials, except for diesel fuel in quantities of 3,785 liters (1,000 gallons) or less; liquid fertilizers (i.e., plant nutrients) in vehicles or implements of husbandry in total quantities of 11,355 liters (3,000 gallons) or less; and solid fertilizers (i.e., solid plant nutrients) that are not transported with any organic substance.</P> <P>(vi) Restricted CDL holders may not hold an unrestricted CDL at the same time.</P> <P>(vii) Restricted CDL holders may not operate a commercial motor vehicle beyond 241 kilometers (150 miles) from the place of business or the farm currently being served.</P> <P>(g) <E T="03">Restricted CDL for certain drivers in the pyrotechnic industry.</E> (1) A State may, at its discretion, waive the required hazardous materials knowledge tests of subpart H of this part and issue restricted CDLs to part-time drivers operating commercial motor vehicles transporting less than 227 kilograms (500 pounds) of fireworks classified as DOT Class 1.3G explosives.</P> <P>(2) A State issuing a CDL under the terms of this paragraph must restrict issuance as follows:</P> <P>(i) The GVWR of the vehicle to be operated must be less than 4,537 kilograms (10,001 pounds);</P> <P>(ii) If a State believes, at its discretion, that the training required by § 172.704 of this title adequately prepares part-time drivers meeting the other requirements of this paragraph to deal with fireworks and the other potential dangers posed by fireworks transportation and use, the State may waive the hazardous materials knowledge tests of subpart H of this part. The State may impose any requirements it believes is necessary to ensure itself that a driver is properly trained pursuant to § 172.704 of this title.</P> <P>(iii) A restricted CDL document issued pursuant to this paragraph shall have a statement clearly imprinted on the face of the document that is substantially similar as follows: “For use as a CDL only during the period from June 30 through July 6 for purposes of transporting less than 227 kilograms (500 pounds) of fireworks classified as DOT Class 1.3G explosives in a vehicle <PRTPAGE P="181"/>with a GVWR of less than 4,537 kilograms (10,001 pounds).</P> <P>(3) A restricted CDL issued pursuant to this paragraph shall meet all the requirements of this part, except those specifically identified. A restricted CDL issued pursuant to this paragraph shall be accorded the same reciprocity as a CDL meeting all of the requirements of this part. The restrictions imposed upon the issuance of this restricted CDL shall not limit a person's use of the CDL in a non-CMV during either validated or non-validated periods, nor shall the CDL affect a State's power to administer its driver licensing program for operators of vehicles other than CMVs.</P> <P>(4) Restricted CDLs shall have the same renewal cycle as unrestricted CDLs, but shall be limited to the seasonal period of June 30 through July 6 of each year or a lesser period as defined by the State of licensure.</P> <P>(5) Persons who operate commercial motor vehicles during the period from July 7 through June 29 for purposes of transporting less than 227 kilograms (500 pounds) of fireworks classified as DOT Class 1.3G explosives in a vehicle with a GVWR of less than 4,537 kilograms (10,001 pounds) and who also operate such vehicles for the same purposes during the period June 30 through July 6 shall not be issued a restricted CDL pursuant to this paragraph.</P> <CITA>[61 FR 9564, Mar. 8, 1996, as amended at 61 FR 14679, Apr. 3, 1996; 62 FR 1296, Jan. 9, 1997; 67 FR 49755, July 31, 2002; 67 FR 61821, Oct. 2, 2002]</CITA> </SECTION> <SECTION> <SECTNO>§ 383.5</SECTNO> <SUBJECT>Definitions.</SUBJECT> <P>As used in this part:</P> <P> <E T="03">Administrator</E> means the Federal Motor Carrier Safety Administrator, the chief executive of the Federal Motor Carrier Safety Administration, an agency within the Department of Transportation.</P> <P> <E T="03">Alcohol</E> or <E T="03">alcoholic beverage</E> means: (a) Beer as defined in 26 U.S.C. 5052(a), of the Internal Revenue Code of 1954, (b) wine of not less than one-half of one per centum of alcohol by volume, or (c) distilled spirits as defined in section 5002(a)(8), of such Code.</P> <P> <E T="03">Alcohol concentration</E> (AC) means the concentration of alcohol in a person's blood or breath. When expressed as a percentage it means grams of alcohol per 100 milliliters of blood or grams of alcohol per 210 liters of breath.</P> <P> <E T="03">Alien</E> means any person not a citizen or national of the United States.</P> <P> <E T="03">Commerce</E> means (a) any trade, traffic or transportation within the jurisdiction of the United States between a place in a State and a place outside of such State, including a place outside of the United States and (b) trade, traffic, and transportation in the United States which affects any trade, traffic, and transportation described in paragraph (a) of this definition.</P> <P> <E T="03">Commercial driver's license (CDL)</E> means a license issued by a State or other jurisdiction, in accordance with the standards contained in 49 CFR part 383, to an individual which authorizes the individual to operate a class of a commercial motor vehicle.</P> <P> <E T="03">Commercial driver's license information system (CDLIS)</E> means the CDLIS established by FMCSA pursuant to section 12007 of the Commercial Motor Vehicle Safety Act of 1986.</P> <P> <E T="03">Commercial motor vehicle</E> (CMV) means a motor vehicle or combination of motor vehicles used in commerce to transport passengers or property if the motor vehicle—</P> <P>(a) Has a gross combination weight rating of 11,794 kilograms or more (26,001 pounds or more) inclusive of a towed unit(s) with a gross vehicle weight rating of more than 4,536 kilograms (10,000 pounds); or</P> <P>(b) Has a gross vehicle weight rating of 11,794 or more kilograms (26,001 pounds or more); or</P> <P>(c) Is designed to transport 16 or more passengers, including the driver; or</P> <P>(d) Is of any size and is used in the transportation of <E T="03">hazardous materials</E> as defined in this section.</P> <P> <E T="03">Controlled substance</E> has the meaning such term has under 21 U.S.C. 802(6) and includes all substances listed on schedules I through V of 21 CFR 1308 (§§ 1308.11 through 1308.15), as they may be amended by the United States Department of Justice.</P> <P> <E T="03">Conviction</E> means an unvacated adjudication of guilt, or a determination that a person has violated or failed to <PRTPAGE P="182"/>comply with the law in a court of original jurisdiction or by an authorized administrative tribunal, an unvacated forfeiture of bail or collateral deposited to secure the person's appearance in court, a plea of guilty or nolo contendere accepted by the court, the payment of a fine or court cost, or violation of a condition of release without bail, regardless of whether or not the penalty is rebated, suspended, or probated.”</P> <P> <E T="03">Disqualification</E> means any of the following three actions:</P> <P>(a) The suspension, revocation, or cancellation of a CDL by the State or jurisdiction of issuance.</P> <P>(b) Any withdrawal of a person's privileges to drive a CMV by a State or other jurisdiction as the result of a violation of State or local law relating to motor vehicle traffic control (other than parking, vehicle weight or vehicle defect violations).</P> <P>(c) A determination by the FMCSA that a person is not qualified to operate a commercial motor vehicle under part 391 of this chapter.</P> <P> <E T="03">Driver applicant</E> means an individual who applies to a State to obtain, transfer, upgrade, or renew a CDL.</P> <P> <E T="03">Driver's license</E> means a license issued by a State or other jurisdiction, to an individual which authorizes the individual to operate a motor vehicle on the highways.</P> <P> <E T="03">Driving a commercial motor vehicle while under the influence of alcohol</E> means committing any one or more of the following acts in a CMV—</P> <P>(a) Driving a CMV while the person's alcohol concentration is 0.04 or more;</P> <P>(b) Driving under the influence of alcohol, as prescribed by State law; or</P> <P>(c) Refusal to undergo such testing as is required by any State or jurisdiction in the enforcement of § 383.51(b) or § 392.5(a)(2) of this subchapter.</P> <P> <E T="03">Eligible unit of local government</E> means a city, town, borough, county, parish, district, or other public body created by or pursuant to State law which has a total population of 3,000 individuals or less.</P> <P> <E T="03">Employee</E> means any operator of a commercial motor vehicle, including full time, regularly employed drivers; casual, intermittent or occasional drivers; leased drivers and independent, owner-operator contractors (while in the course of operating a commercial motor vehicle) who are either directly employed by or under lease to an employer.</P> <P> <E T="03">Employer</E> means any person (including the United States, a State, District of Columbia or a political subdivision of a State) who owns or leases a commercial motor vehicle or assigns employees to operate such a vehicle.</P> <P> <E T="03">Endorsement</E> means an authorization to an individual's CDL required to permit the individual to operate certain types of commercial motor vehicles.</P> <P> <E T="03">Fatality</E> means the death of a person as a result of a motor vehicle accident.</P> <P> <E T="03">Felony</E> means an offense under State or Federal law that is punishable by death or imprisonment for a term exceeding 1 year.</P> <P> <E T="03">Foreign</E> means outside the fifty United States and the District of Columbia.</P> <P> <E T="03">Gross combination weight rating (GCWR)</E> means the value specified by the manufacturer as the loaded weight of a combination (articulated) vehicle. In the absence of a value specified by the manufacturer, GCWR will be determined by adding the GVWR of the power unit and the total weight of the towed unit and any load thereon.</P> <P> <E T="03">Gross vehicle weight rating (GVWR)</E> means the value specified by the manufacturer as the loaded weight of a single vehicle.</P> <P> <E T="03">Hazardous materials</E> means any material that has been designated as hazardous under 49 U.S.C. 5103 and is required to be placarded under subpart F of 49 CFR part 172 or any quantity of a material listed as a select agent or toxin in 42 CFR part 73.</P> <P> <E T="03">Imminent hazard</E> means the existence of a condition that presents a substantial likelihood that death, serious illness, severe personal injury, or a substantial endangerment to health, property, or the environment may occur before the reasonably foreseeable completion date of a formal proceeding begun to lessen the risk of that death, illness, injury or endangerment.</P> <P> <E T="03">Motor vehicle</E> means a vehicle, machine, tractor, trailer, or semitrailer propelled or drawn by mechanical power used on highways, except that such term does not include a vehicle, <PRTPAGE P="183"/>machine, tractor, trailer, semitrailer operated exclusively on a rail.</P> <P> <E T="03">Nonresident CDL</E> means a CDL issued by a State under either of the following two conditions:</P> <P>(a) To an individual domiciled in a foreign country meeting the requirements of § 383.23(b)(1).</P> <P>(b) To an individual domiciled in another State meeting the requirements of § 383.23(b)(2).</P> <P> <E T="03">Non-CMV</E> means a motor vehicle or combination of motor vehicles not defined by the term “commercial motor vehicle (CMV)” in this section.</P> <P> <E T="03">Out-of-service order</E> means a declaration by an authorized enforcement officer of a Federal, State, Canadian, Mexican, or local jurisdiction that a driver, a commercial motor vehicle, or a motor carrier operation, is out-of-service pursuant to §§ 386.72, 392.5, 395.13, 396.9, or compatible laws, or the North American Uniform Out-of-Service Criteria.</P> <P> <E T="03">Representative vehicle</E> means a motor vehicle which represents the type of motor vehicle that a driver applicant operates or expects to operate.</P> <P> <E T="03">School bus</E> means a CMV used to transport pre-primary, primary, or secondary school students from home to school, from school to home, or to and from school-sponsored events. School bus does not include a bus used as a common carrier.</P> <P> <E T="03">Serious traffic violation</E> means conviction of any of the following offenses when operating a CMV, except weight, defect and parking violations:</P> <P>(a) Excessive speeding, involving any single offense for any speed of 15 miles per hour or more above the posted speed limit;</P> <P>(b) Reckless driving, as defined by State or local law or regulation, including but not limited to offenses of driving a CMV in willful or wanton disregard for the safety of persons or property;</P> <P>(c) Improper or erratic traffic lane changes;</P> <P>(d) Following the vehicle ahead too closely;</P> <P>(e) A violation, arising in connection with a fatal accident, of State or local law relating to motor vehicle traffic control;</P> <P>(f) Driving a CMV without obtaining a CDL;</P> <P>(g) Driving a CMV without a CDL in the driver's possession. Any individual who provides proof to the enforcement authority that issued the citation, by the date the individual must appear in court or pay any fine for such a violation, that the individual held a valid CDL on the date the citation was issued, shall not be guilty of this offense; or</P> <P>(h) Driving a CMV without the proper class of CDL and/or endorsements for the specific vehicle group being operated or for the passengers or type of cargo being transported.</P> <P> <E T="03">State</E> means a State of the United States and the District of Columbia.</P> <P> <E T="03">State of domicile</E> means that State where a person has his/her true, fixed, and permanent home and principal residence and to which he/she has the intention of returning whenever he/she is absent.</P> <P> <E T="03">Tank vehicle</E> means any commercial motor vehicle that is designed to transport any liquid or gaseous materials within a tank that is either permanently or temporarily attached to the vehicle or the chassis. Such vehicles include, but are not limited to, cargo tanks and portable tanks, as defined in part 171 of this title. However, this definition does not include portable tanks having a rated capacity under 1,000 gallons.</P> <P> <E T="03">United States</E> the term United States means the 50 States and the District of Columbia.</P> <P> <E T="03">Vehicle</E> means a motor vehicle unless otherwise specified.</P> <P> <E T="03">Vehicle group</E> means a class or type of vehicle with certain operating characteristics.</P> <CITA>[52 FR 20587, June 1, 1987, as amended at 53 FR 27648, July 21, 1988; 53 FR 39050, Oct. 4, 1988; 54 FR 40787, Oct. 3, 1989; 59 FR 26028, May 18, 1994; 61 FR 9566, Mar. 8, 1996; 61 FR 14679, Apr. 3, 1996; 62 FR 37151, July 11, 1997; 67 FR 49756, July 31, 2002; 68 FR 23849, May 5, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 383.7</SECTNO> <SUBJECT>Validity of CDL issued by decertified State.</SUBJECT> <P>A CDL issued by a State prior to the date the State is notified by the Administrator, in accordance with the <PRTPAGE P="184"/>provisions of § 384.405 of this subchapter, that the State is prohibited from issuing CDLs, will remain valid until its stated expiration date.</P> <CITA>[67 FR 49756, July 31, 2002]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart B—Single License Requirement</HD> <SECTION> <SECTNO>§ 383.21</SECTNO> <SUBJECT>Number of drivers' licenses.</SUBJECT> <P>No person who operates a commercial motor vehicle shall at any time have more than one driver's license.</P> <CITA>[64 FR 48110, Sept. 2, 1999]</CITA> </SECTION> <SECTION> <SECTNO>§ 383.23</SECTNO> <SUBJECT>Commercial driver's license.</SUBJECT> <P>(a) <E T="03">General rule.</E> (1) Effective April 1, 1992, no person shall operate a commercial motor vehicle unless such person has taken and passed written and driving tests which meet the Federal standards contained in subparts F, G, and H of this part for the commercial motor vehicle that person operates or expects to operate.</P> <P>(2) Except as provided in paragraph (b) of this section, no person may legally operate a CMV unless such person possesses a CDL which meets the standards contained in subpart J of this part, issued by his/her State or jurisdiction of domicile.</P> <P>(b) <E T="03">Exception.</E> (1) If a CMV operator is not domiciled in a foreign jurisdiction which the Administrator has determined tests drivers and issues CDLs in accordance with, or under standards similar to, the standards contained in subparts F, G, and H of this part, the person may obtain a Nonresident CDL from a State which does comply with the testing and licensing standards contained in such subparts F, G, and H of this part.<SU>1</SU> <FTREF/> </P> <FTNT> <P> <SU>1</SU> Effective December 29, 1988, the Administrator determined that commercial drivers' licensees issued by Canadian Provinces and Territories in conformity with the Canadian National Safety Code are in accordance with the standards of this part. Effective November 21, 1991, the Administrator determined that the new Licencias Federales de Conductor issued by the United Mexican States are in accordance with the standards of this part. Therefore, under the single license provision of § 383.21, a driver holding a commercial driver's license issued under the Canadian National Safety Code or a new Licencia Federal de Conductor issued by Mexico is prohibited from obtaining nonresident CDL, or any other type of driver's license, from a State or other jurisdiction in the United States.</P> </FTNT> <P>(2) If an individual is domiciled in a State while that State is prohibited from issuing CDLs in accordance with § 384.405 of this subchapter, that individual is eligible to obtain a Nonresident CDL from any State that elects to issue a Nonresident CDL and which complies with the testing and licensing standards contained in subparts F, G, and H of this part.</P> <P>(c) <E T="03">Learner's permit.</E> State learners' permits, issued for limited time periods according to State requirements, shall be considered valid commercial drivers' licenses for purposes of behind-the-wheel training on public roads or highways, if the following minimum conditions are met:</P> <P>(1) The learner's permit holder is at all times accompanied by the holder of a valid CDL;</P> <P>(2) He/she either holds a valid automobile driver's license, or has passed such vision, sign/symbol, and knowledge tests as the State issuing the learner's permit ordinarily administers to applicants for automotive drivers' licenses; and</P> <P>(3) He/she does not operate a commercial motor vehicle transporting hazardous materials as defined in § 383.5.</P> <CITA>[53 FR 27649, July 21, 1988, as amended at 54 FR 22285, May 23, 1989; 57 FR 31457, July 16, 1992; 67 FR 49756, July 31, 2002; 68 FR 23849, May 5, 2003]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart C—Notification Requirements and Employer Responsibilities</HD> <SECTION> <SECTNO>§ 383.31</SECTNO> <SUBJECT>Notification of convictions for driver violations.</SUBJECT> <P>(a) Each person who operates a commercial motor vehicle, who has a commercial driver's license issued by a State or jurisdiction, and who is convicted of violating, in any type of motor vehicle, a State or local law relating to motor vehicle traffic control (other than a parking violation) in a State or jurisdiction other than the one which issued his/her license, shall notify an official designated by the <PRTPAGE P="185"/>State or jurisdiction which issued such license, of such conviction. The notification must be made within 30 days after the date that the person has been convicted.</P> <P>(b) Each person who operates a commercial motor vehicle, who has a commercial driver's license issued by a State or jurisdiction, and who is convicted of violating, in any type of motor vehicle, a State or local law relating to motor vehicle traffic control (other than a parking violation), shall notify his/her current employer of such conviction. The notification must be made within 30 days after the date that the person has been convicted. If the driver is not currently employed, he/she must notify the State or jurisdiction which issued the license according to § 383.31(a).</P> <P>(c) <E T="03">Notification.</E> The notification to the State official and employer must be made in writing and contain the following information:</P> <P>(1) Driver's full name;</P> <P>(2) Driver's license number;</P> <P>(3) Date of conviction;</P> <P>(4) The specific criminal or other offense(s), serious traffic violation(s), and other violation(s) of State or local law relating to motor vehicle traffic control, for which the person was convicted and any suspension, revocation, or cancellation of certain driving privileges which resulted from such conviction(s);</P> <P>(5) Indication whether the violation was in a commercial motor vehicle;</P> <P>(6) Location of offense; and</P> <P>(7) Driver's signature.</P> <CITA>[52 FR 20587, June 1, 1987, as amended at 54 FR 40787, Oct. 3, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 383.33</SECTNO> <SUBJECT>Notification of driver's license suspensions.</SUBJECT> <P>Each employee who has a driver's license suspended, revoked, or canceled by a State or jurisdiction, who loses the right to operate a commercial motor vehicle in a State or jurisdiction for any period, or who is disqualified from operating a commercial motor vehicle for any period, shall notify his/her current employer of such suspension, revocation, cancellation, lost privilege, or disqualification. The notification must be made before the end of the business day following the day the employee received notice of the suspension, revocation, cancellation, lost privilege, or disqualification.</P> <CITA>[54 FR 40788, Oct. 3, 1989]</CITA> </SECTION> <SECTION> <SECTNO>§ 383.35</SECTNO> <SUBJECT>Notification of previous employment.</SUBJECT> <P>(a) Any person applying for employment as an operator of a commercial motor vehicle shall provide at the time of application for employment, the information specified in paragraph (c) of this section.</P> <P>(b) All employers shall request the information specified in paragraph (c) of this section from all persons applying for employment as a commercial motor vehicle operator. The request shall be made at the time of application for employment.</P> <P>(c) The following employment history information for the 10 years preceding the date the application is submitted shall be presented to the prospective employer by the applicant:</P> <P>(1) A list of the names and addresses of the applicant's previous employers for which the applicant was an operator of a commercial motor vehicle;</P> <P>(2) The dates the applicant was employed by these employers; and</P> <P>(3) The reason for leaving such employment.</P> <P>(d) The applicant shall certify that all information furnished is true and complete.</P> <P>(e) An employer may require an applicant to provide additional information.</P> <P>(f) Before an application is submitted, the employer shall inform the applicant that the information he/she provides in accordance with paragraph (c) of this section may be used, and the applicant's previous employers may be contacted for the purpose of investigating the applicant's work history.</P> </SECTION> <SECTION> <SECTNO>§ 383.37</SECTNO> <SUBJECT>Employer responsibilities.</SUBJECT> <P>No employer may knowingly allow, require, permit, or authorize a driver to operate a CMV in the United States:</P> <P>(a) During any period in which the driver has a CMV driver's license suspended, revoked, or canceled by a State, has lost the right to operate a CMV in a State, or has been disqualified from operating a CMV;<PRTPAGE P="186"/> </P> <P>(b) During any period in which the driver has more than one CMV driver's license;</P> <P>(c) During any period in which the driver, or the CMV he or she is driving, or the motor carrier operation, is subject to an out-of-service order; or</P> <P>(d) In violation of a Federal, State, or local law or regulation pertaining to railroad-highway grade crossings.</P> <CITA>[64 FR 48110, Sept. 2, 1999]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart D—Driver Disqualifications and Penalties</HD> <SECTION> <SECTNO>§ 383.51</SECTNO> <SUBJECT>Disqualification of drivers.</SUBJECT> <P>(a) <E T="03">General.</E> (1) A driver or holder of a CDL who is disqualified must not drive a CMV.</P> <P>(2) An employer must not knowingly allow, require, permit, or authorize a driver who is disqualified to drive a CMV.</P> <P>(3) A driver is subject to disqualification sanctions designated in paragraphs (b) and (c) of this section, if the holder of a CDL drives a CMV or non-CMV and is convicted of the violations.</P> <P>(4) Determining first and subsequent violations. For purposes of determining first and subsequent violations of the offenses specified in this subpart, each conviction for any offense listed in Tables 1 through 4 to this section resulting from a separate incident, whether committed in a CMV or non-CMV, must be counted.</P> <P>(5) Reinstatement after lifetime disqualification. A State may reinstate any driver disqualified for life for offenses described in paragraphs (b)(1) through (b)(8) of this section (Table 1 to § 383.51) after 10 years if that person has voluntarily entered and successfully completed an appropriate rehabilitation program approved by the State. Any person who has been reinstated in accordance with this provision and who is subsequently convicted of a disqualifying offense described in paragraphs (b)(1) through (b)(8) of this section (Table 1 to § 383.51) must not be reinstated.</P> <P>(b) <E T="03">Disqualification for major offenses.</E> Table 1 to § 383.51 contains a list of the offenses and periods for which a driver must be disqualified, depending upon the type of vehicle the driver is operating at the time of the violation, as follows:</P> <GPOTABLE CDEF="s60,xs45,xs45,xs45,xs45,xs45" COLS="6" OPTS="L2"> <TTITLE>Table 1 to § 383.51</TTITLE> <BOXHD> <CHED H="1">If a driver operates a motor vehicle and is convicted of:</CHED> <CHED H="1">For a first conviction or refusal to be tested while operating a CMV, a person required to have a CDL and a CDL holder must be disqualified from operating a CMV for . . .</CHED> <CHED H="1">For a first conviction or refusal to be tested while operating a non-CMV, a CDL holder must be disqualified from operating a CMV for . . .</CHED> <CHED H="1">For a first conviction or refusal to be tested while operating a CMV transporting hazardous materials required to be placarded under the Hazardous Materials Regulations (49 CFR part 172, subpart F), a person required to have a CDL and CDL holder must be disqualified from operating a CMV for . . .</CHED> <CHED H="1">For a second conviction or refusal to be tested in a separate incident of any combination of offenses in this Table while operating a CMV, a person required to have a CDL and a CDL holder must be disqualified from operating a CMV for . . .</CHED> <CHED H="1">For a second conviction or refusal to be tested in a separate incident of any combination of offenses in this Table while operating a non-CMV, a CDL holder must be disqualified from operating a CMV for . . .</CHED> </BOXHD> <ROW RUL="s"> <ENT I="01">(1) Being under the influence of alcohol as prescribed by State law * * *</ENT> <ENT>1 year</ENT> <ENT>1 year</ENT> <ENT>3 years</ENT> <ENT>Life</ENT> <ENT>Life.</ENT> </ROW> <ROW RUL="s"> <ENT I="01">(2) Being under the influence of a controlled substance * * *</ENT> <ENT>1 year</ENT> <ENT>1 year</ENT> <ENT>3 years</ENT> <ENT>Life</ENT> <ENT>Life.</ENT> </ROW> <ROW RUL="s"> <ENT I="01">(3) Having an alcohol concentration of 0.04 or greater while operating a CMV * * *</ENT> <ENT>1 year</ENT> <ENT>Not applicable</ENT> <ENT>3 years</ENT> <ENT>Life</ENT> <ENT>Not applicable.</ENT> </ROW> <ROW RUL="s"> <PRTPAGE P="187"/> <ENT I="01">(4) Refusing to take an alcohol test as required by a State or jurisdiction under its implied consent laws or regulations as defined in § 383.72 of this part * * *</ENT> <ENT>1 year</ENT> <ENT>1 year</ENT> <ENT>3 years</ENT> <ENT>Life</ENT> <ENT>Life.</ENT> </ROW> <ROW RUL="s"> <ENT I="01">(5) Leaving the scene of an accident * * *</ENT> <ENT>1 year</ENT> <ENT>1 year</ENT> <ENT>3 years</ENT> <ENT>Life</ENT> <ENT>Life.</ENT> </ROW> <ROW RUL="s"> <ENT I="01">(6) Using the vehicle to commit a felony, other than a felony described in paragraph (b)(9) of this table * * *</ENT> <ENT>1 year</ENT> <ENT>1 year</ENT> <ENT>3 years</ENT> <ENT>Life</ENT> <ENT>Life.</ENT> </ROW> <ROW RUL="s"> <ENT I="01">(7) Driving a CMV when, as a result of prior violations committed operating a CMV, the driver's CDL is revoked, suspended, or canceled, or the driver is disqualified from operating a CMV</ENT> <ENT>1 year</ENT> <ENT>Not applicable</ENT> <ENT>3 years</ENT> <ENT>Life</ENT> <ENT>Not applicable.</ENT> </ROW> <ROW RUL="s"> <ENT I="01">(8) Causing a fatality through the negligent operation of a CMV, including but not limited to the crimes of motor vehicle manslaughter, homicide by motor vehicle and negligent homicide</ENT> <ENT>1 year</ENT> <ENT>Not applicable</ENT> <ENT>3 years</ENT> <ENT>Life</ENT> <ENT>Not applicable.</ENT> </ROW> <ROW> <ENT I="01">(9) Using the vehicle in the commission of a felony involving manufacturing, distributing, or dispensing a controlled substance * * *</ENT> <ENT>Life-not eligible for 10-year reinstatement</ENT> <ENT>Life-not eligible for 10-year reinstatement</ENT> <ENT>Life-not eligible for 10-year reinstatement</ENT> <ENT>Life-not eligible for 10-year reinstatement</ENT> <ENT>Life-not eligible for 10-year reinstatement</ENT> </ROW> </GPOTABLE> <P>(c) <E T="03">Disqualification for serious traffic violations.</E> Table 2 to § 383.51 contains a list of the offenses and the periods for which a driver must be disqualified, depending upon the type of vehicle the driver is operating at the time of the violation, as follows:<PRTPAGE P="188"/> </P> <GPOTABLE CDEF="s50,r50,r50,r50,r50" COLS="5" OPTS="L2"> <TTITLE>Table 2 to § 383.51</TTITLE> <BOXHD> <CHED H="1">If the driver operates a motor vehicle and is convicted of:</CHED> <CHED H="1">For a second conviction of any combination of offenses in this Table in a separate incident within a 3-year period while operating a CMV, a person required to have a CDL and a CDL holder must be disqualified from operating a CMV for . . .</CHED> <CHED H="1">For a second conviction of any combination of offenses in this Table in a separate incident within a 3-year period while operating a non-CMV, a CDL holder must be disqualified from operating a CMV, if the conviction results in the revocation, cancellation, or suspension of the CDL holder's license or non-CMV driving privileges, for . . .</CHED> <CHED H="1">For a third or subsequent conviction of any combination of offenses in this Table in a separate incident within a 3-year period while operating a CMV, a person required to have a CDL and a CDL holder must be disqualified from operating a CMV for . . .</CHED> <CHED H="1">For a third or subsequent conviction of any combination of offenses in this Table in a separate incident within a 3-year period while operating a non-CMV, a CDL holder must be disqualified from operating a CMV, if the conviction results in the revocation, cancellation, or suspension of the CDL holder's license or non-CMV driving privileges, for . . .</CHED> </BOXHD> <ROW> <ENT I="01">(1) Speeding excessively, involving any speed of 24.1 kmph (15 mph) or more above the posted speed limit</ENT> <ENT>60 days</ENT> <ENT>60 days</ENT> <ENT>120 days</ENT> <ENT>120 days.</ENT> </ROW> <ROW> <ENT I="01">(2) driving recklessly, as defined by State or local law or regulation, including but, not limited to, offenses of driving a motor vehicle in willful or wanton disregard for the safety of persons or property</ENT> <ENT>60 days</ENT> <ENT>60 days</ENT> <ENT>120 days</ENT> <ENT>120 days.</ENT> </ROW> <ROW> <ENT I="01">(3) making improper or erratic traffic lane changes</ENT> <ENT>60 days</ENT> <ENT>60 days</ENT> <ENT>120 days</ENT> <ENT>120 days.</ENT> </ROW> <ROW> <ENT I="01">(4) following the vehicle ahead too closely</ENT> <ENT>60 days</ENT> <ENT>60 days</ENT> <ENT>120 days</ENT> <ENT>120 days.</ENT> </ROW> <ROW> <ENT I="01">(5) Violating State or local law relating to motor vehicle traffic control (other than a parking violation) arising in connection with a fatal accident</ENT> <ENT>60 days</ENT> <ENT>60 days</ENT> <ENT>120 days</ENT> <ENT>120 days.</ENT> </ROW> <ROW> <ENT I="01">(6) driving a CMV without obtaining a CDL</ENT> <ENT>60 days</ENT> <ENT>Not applicable</ENT> <ENT>120 days</ENT> <ENT>Not applicable.</ENT> </ROW> <ROW> <ENT I="01">(7) driving a CMV without a CDL in the driver's possession<SU>1</SU> </ENT> <ENT>60 days</ENT> <ENT>Not applicable</ENT> <ENT>120 days</ENT> <ENT>Not applicable.</ENT> </ROW> <ROW> <ENT I="01">(8) driving a CMV without the proper class of CDL and/or endorsements for the specific vehicle group being operated or for the passengers or type of cargo being transported</ENT> <ENT>60 days</ENT> <ENT>Not applicable</ENT> <ENT>120 days</ENT> <ENT>Not applicable.</ENT> </ROW> <TNOTE> <SU>1</SU> <E T="03">Any individual who provides proof to the enforcement authority that issued the citation, by the date the individual must appear in court or pay any fine for such a violation, that the individual held a valid CDL on the date the citation was issued, shall not be guilty of this offense.</E> </TNOTE> </GPOTABLE> <P>(d) <E T="03">Disqualification for railroad-highway grade crossing offenses.</E> Table 3 to § 383.51 contains a list of the offenses and the periods for which a driver must be disqualified, when the driver is operating a CMV at the time of the violation, as follows:<PRTPAGE P="189"/> </P> <GPOTABLE CDEF="s100,xs75,xs75,xs75" COLS="4" OPTS="L2"> <TTITLE>Table 3 to § 383.51</TTITLE> <BOXHD> <CHED H="1">If the driver is convicted of operating a CMV in violation of a Federal, State or local law because . . .</CHED> <CHED H="1">For a first conviction a person required to have a CDL and a CDL holder must be disqualified from operating a CMV for . . .</CHED> <CHED H="1">For a second conviction of any combination of offenses in this Table in a separate incident within a 3-year period, a person required to have a CDL and a CDL holder must be disqualified from operating a CMV for . . .</CHED> <CHED H="1">For a third or subsequent conviction of any combination of offenses in this Table in a separate incident within a 3-year period, a person required to have a CDL and a CDL holder must be disqualified from operating a CMV for . . .</CHED> </BOXHD> <ROW RUL="s"> <ENT I="01">(1) The driver is not required to always stop, but fails to slow down and check that tracks are clear of an approaching train * * *</ENT> <ENT>No less than 60 days</ENT> <ENT>No less than 120 days</ENT> <ENT>No less than 1 year.</ENT> </ROW> <ROW RUL="s"> <ENT I="01">(2) The driver is not required to always stop, but fails to stop before reaching the crossing, if the tracks are not clear * * *</ENT> <ENT>No less than 60 days</ENT> <ENT>No less than 120 days</ENT> <ENT>No less than 1 year.</ENT> </ROW> <ROW RUL="s"> <ENT I="01">(3) The driver is always required to stop, but fails to stop before driving onto the crossing * * *</ENT> <ENT>No less than 60 days</ENT> <ENT>No less than 120 days</ENT> <ENT>No less than 1 year.</ENT> </ROW> <ROW RUL="s"> <ENT I="01">(4) The driver fails to have sufficient space to drive completely through the crossing without stopping * * *</ENT> <ENT>No less than 60 days</ENT> <ENT>No less than 120 days</ENT> <ENT>No less than 1 year.</ENT> </ROW> <ROW RUL="s"> <ENT I="01">(5) The driver fails to obey a traffic control device or the directions of an enforcement official at the crossing * * *</ENT> <ENT>No less than 60 days</ENT> <ENT>No less than 120 days</ENT> <ENT>No less than 1 year.</ENT> </ROW> <ROW> <ENT I="01">(6) The driver fails to negotiate a crossing because of insufficient undercarriage clearance * * *</ENT> <ENT>No less than 60 days</ENT> <ENT>No less than 120 days</ENT> <ENT>No less than 1 year.</ENT> </ROW> </GPOTABLE> <P>(e) <E T="03">Disqualification for violating out-of-service orders.</E> Table 4 to § 383.51 contains a list of the offenses and periods for which a driver must be disqualified when the driver is operating a CMV at the time of the violation, as follows:</P> <GPOTABLE CDEF="s100,xs75,xs75,xs75" COLS="4" OPTS="L2"> <TTITLE>Table 4 to § 383.51</TTITLE> <BOXHD> <CHED H="1">If the driver operates a CMV and is convicted of . . .</CHED> <CHED H="1">For a first conviction while operating a CMV, a person required to have a CDL and a CDL holder must be disqualified from operating a CMV for . . .</CHED> <CHED H="1">For a second conviction in a separate incident within a 10-year period while operating a CMV, a person required to have a CDL and a CDL holder must be disqualified from operating a CMV for . . .</CHED> <CHED H="1">For a third or subsequent conviction in a separate incident within a 10-year period while operating a CMV, a person required to have a CDL and a CDL holder must be disqualified from operating a CMV for . . .</CHED> </BOXHD> <ROW RUL="s"> <ENT I="01">(1) Violating a driver or vehicle out-of-service order while transporting nonhazardous materials . . </ENT> <ENT>No less than 90 days or more than 1 year</ENT> <ENT>No less than 1 year or more than 5 years</ENT> <ENT>No less than 3 years or more than 5 years.</ENT> </ROW> <ROW> <ENT I="01">(2) Violating a driver or vehicle out-of-service order while transporting hazardous materials required to be placarded under part 172, subpart F of this title, or while operating a vehicle designed to transport 16 or more passengers, including the driver . . </ENT> <ENT>No less than 180 days or more than 2 years</ENT> <ENT>No less than 3 years or more than 5 years</ENT> <ENT>No less than 3 years or more than 5 years.</ENT> </ROW> </GPOTABLE> <CITA>[67 FR 49756, July 31, 2002, as amended at 68 FR 4396, Jan. 29, 2003]</CITA> </SECTION> <SECTION> <PRTPAGE P="190"/> <SECTNO>§ 383.52</SECTNO> <SUBJECT>Disqualification of drivers determined to constitute an imminent hazard.</SUBJECT> <P>(a) The Assistant Administrator or his/her designee must disqualify from operating a CMV any driver whose driving is determined to constitute an imminent hazard, as defined in § 383.5.</P> <P>(b) The period of the disqualification may not exceed 30 days unless the FMCSA complies with the provisions of paragraph (c) of this section.</P> <P>(c) The Assistant Administrator or his/her delegate may provide the driver an opportunity for a hearing after issuing a disqualification for a period of 30 days or less. The Assistant Administrator or his/her delegate must provide the driver notice of a proposed disqualification period of more than 30 days and an opportunity for a hearing to present a defense to the proposed disqualification. A disqualification imposed under this paragraph may not exceed one year in duration. The driver, or a representative on his/her behalf, may file an appeal of the disqualification issued by the Assistant Administrator's delegate with the Assistant Administrator, Adjudications Counsel, Federal Motor Carrier Safety Administration (Room 8217), 400 Seventh Street, SW., Washington, DC 20590.</P> <P>(d) Any disqualification imposed in accordance with the provisions of this section must be transmitted by the FMCSA to the jurisdiction where the driver is licensed and must become a part of the driver's record maintained by that jurisdiction.</P> <P>(e) A driver who is simultaneously disqualified under this section and under other provisions of this subpart, or under State law or regulation, shall serve those disqualification periods concurrently.</P> <CITA>[67 FR 49759, July 31, 2002]</CITA> </SECTION> <SECTION> <SECTNO>§ 383.53</SECTNO> <SUBJECT>Penalties.</SUBJECT> <P>(a) <E T="03">General rule.</E> Any person who violates the rules set forth in subparts B and C of this part may be subject to civil or criminal penalties as provided for in 49 U.S.C. 521(b).</P> <P>(b) <E T="03">Special penalties pertaining to violation of out-of-service orders—</E> </P> <P>(b) <E T="03">Special penalties pertaining to violation of out-of-service orders</E>—(1) <E T="03">Driver violations.</E> A driver who is convicted of violating an out-of-service order shall be subject to a civil penalty of not less than $1,100 nor more than $2,750, in addition to disqualification under § 383.51(e).</P> <P>(2) <E T="03">Employer violations.</E> An employer who is convicted of a violation of § 383.37(c) shall be subject to a civil penalty of not less than $2,750 nor more than $11,000.</P> <P>(c) <E T="03">Special penalties pertaining to railroad-highway grade crossing violations.</E> An employer who is convicted of a violation of § 383.37(d) must be subject to a civil penalty of not more than $10,000.</P> <CITA>[59 FR 26028, May 18, 1994, as amended at 64 FR 48111, Sept. 2, 1999; 67 FR 49759, July 31, 2002]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart E—Testing and Licensing Procedures</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>53 FR 27649, July 21, 1988, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 383.71</SECTNO> <SUBJECT>Driver application procedures.</SUBJECT> <P>(a) <E T="03">Initial Commercial Driver's License.</E> Prior to obtaining a CDL, a person must meet the following requirements:</P> <P>(1) A person who operates or expects to operate in interstate or foreign commerce, or is otherwise subject to part 391 of this title, shall certify that he/she meets the qualification requirements contained in part 391 of this title. A person who operates or expects to operate entirely in intrastate commerce and is not subject to part 391, is subject to State driver qualification requirements and must certify that he/she is not subject to part 391;</P> <P>(2) Pass a knowledge test in accordance with the standards contained in subparts G and H of this part for the type of motor vehicle the person operates or expects to operate;</P> <P>(3) Pass a driving or skills test in accordance with the standards contained in subparts G and H of this part taken in a motor vehicle which is representative of the type of motor vehicle the person operates or expects to operate; or provide evidence that he/she has successfully passed a driving test administered by an authorized third party;</P> <P>(4) Certify that the motor vehicle in which the person takes the driving <PRTPAGE P="191"/>skills test is representative of the type of motor vehicle that person operates or expects to operate;</P> <P>(5) Provide to the State of issuance the information required to be included on the CDL as specified in subpart J of this part;</P> <P>(6) Certify that he/she is not subject to any disqualification under § 383.51, or any license suspension, revocation, or cancellation under State law, and that he/she does not have a driver's license from more than one State or jurisdiction;</P> <P>(7) Surrender the applicant's non-CDL driver's licenses to the State; and</P> <P>(8) Provide the names of all States where the applicant has previously been licensed to drive any type of motor vehicle during the previous 10 years.</P> <P>(9) If applying for a hazardous materials endorsement, comply with Transportation Security Administration requirements codified in 49 CFR Part 1572, and provide proof of citizenship or immigration status as specified in Table 1 to this section. A lawful permanent resident of the United States requesting a hazardous materials endorsement must additionally provide his or her Bureau of Citizenship and Immigration Services (BCIS) Alien registration number.</P> <GPOTABLE CDEF="s55,r95" COLS="2" OPTS="L2"> <TTITLE>Table 1 to § 383.71—List of Acceptable Proofs of Citizenship or Immigration</TTITLE> <BOXHD> <CHED H="1">Status</CHED> <CHED H="1">Proof of status</CHED> </BOXHD> <ROW> <ENT I="01">U.S. Citizen</ENT> <ENT>• U.S. Passport<LI>• Certificate of birth that bears an official seal and was issued by a State, county, municipal authority, or outlying possession of the United States</LI> <LI>• Certification of Birth Abroad issued by the U.S. Department of State (Form FS-545 or DS 1350)</LI> <LI>• Certificate of Naturalization (Form N-550 or N-570)</LI> <LI>• Certificate of U.S. Citizenship (Form N-560 or N-561)</LI> </ENT> </ROW> <ROW> <ENT I="01">Lawful Permanent Resident</ENT> <ENT>• Permanent Resident Card, Alien Registration Receipt Card (Form I-551)<LI>• Temporary I-551 stamp in foreign passport</LI> <LI>• Temporary I-551 stamp on Form I-94, Arrival/Departure Record, with photograph of the bearer</LI> <LI>• Reentry Permit (Form I-327)</LI> </ENT> </ROW> </GPOTABLE> <P>(b) <E T="03">License transfer.</E> When applying to transfer a CDL from one State of domicile to a new State domicile, an applicant shall apply for a CDL from the new State of domicile within no more than 30 days after establishing his/her new domicile. The applicant shall:</P> <P>(1) Provide to the new State of domicile the certifications contained in § 383.71(a) (1) and (6):</P> <P>(2) Provide to the new State of domicile updated information as specified in subpart J of this part;</P> <P>(3) If the applicant wishes to retain a hazardous materials endorsement, he/she must comply with the requirements for such endorsement specified in § 383.71(a)(9) and State requirements as specified in § 383.73(b)(4);</P> <P>(4) Surrender the CDL from the old State of domicile to the new State of domicile; and</P> <P>(5) Provide the names of all States where the applicant has previously been licensed to drive any type of motor vehicle during the previous 10 years.</P> <P>(c) <E T="03">License renewal.</E> When applying for a renewal of a CDL, all applicants shall:</P> <P>(1) Provide certification contained in § 383.71(a)(1);</P> <P>(2) Provide update information as specified in subpart J of this part; and</P> <P>(3) If a person wishes to retain a hazardous materials endorsement, he/she must comply with the requirements specified in § 383.71(a)(9) and pass the test specified in § 383.121 for such endorsement.</P> <P>(4) Provide the names of all States where the applicant has previously been licensed to drive any type of motor vehicle during the previous 10 years.</P> <P>(d) <E T="03">License upgrades.</E> When applying to operate a commercial motor vehicle in a different group or endorsement from the group or endorsement in which the applicant already has a CDL, all persons shall:</P> <P>(1) Provide the necessary certifications as specified in § 383.71(a)(1) and (a)(4);</P> <P>(2) Pass all tests specified in § 383.71(a)(2) and (a)(3) for the new vehicle group and/or different endorsements; and<PRTPAGE P="192"/> </P> <P>(3) To obtain a hazardous materials endorsement, comply with the requirements for such endorsement specified in § 383.71(a)(9).</P> <P>(e) <E T="03">Nonresident CDL.</E> When an applicant is domiciled in a foreign jurisdiction, as defined in § 383.5, where the commercial motor vehicle operator testing and licensing standards do not meet the standards contained in subparts G and H of this part, as determined by the Administrator, such applicant shall obtain a Nonresident CDL from a State which meets such standards. Such applicant shall:</P> <P>(1) Complete the requirements to obtain a CDL contained in § 383.71(a); and</P> <P>(2) After receipt of the CDL, and for as long as it is valid, notify the State which issued the CDL of any adverse action taken by any jurisdiction or governmental agency, foreign or domestic, against his/her driving privileges. Such adverse actions would include but not be limited to license suspension or revocation, or disqualification from operating a commercial motor vehicle for the convictions described in § 383.51. Notifications shall be made within the time periods specified in § 383.33.</P> <P>(f) If a State uses the alternative method described in § 383.73(i) to achieve the objectives of the certifications in § 383.71(a), then the driver applicant shall satisfy such alternative methods as are applicable to him/her with respect to initial licensing, license transfer, license renewal, and license upgrades.</P> <CITA>[53 FR 27649, July 21, 1988, as amended at 67 FR 49759, July 31, 2002; 68 FR 23849, May 5, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 383.72</SECTNO> <SUBJECT>Implied consent to alcohol testing.</SUBJECT> <P>Any person who holds a CDL is considered to have consented to such testing as is required by any State or jurisdiction in the enforcement of § § 383.51(b)(2)(i) and 392.5(a)(2) of this chapter. Consent is implied by driving a commercial motor vehicle.</P> <CITA>[66 FR 49872, Oct. 1, 2001]</CITA> </SECTION> <SECTION> <SECTNO>§ 383.73</SECTNO> <SUBJECT>State procedures.</SUBJECT> <P>(a) <E T="03">Initial licensure.</E> Prior to issuing a CDL to a person, a State shall:</P> <P>(1) Require the driver applicant to certify, pass tests, and provide information as described in §§ 383.71(a) (1) through (6);</P> <P>(2) Check that the vehicle in which the applicant takes his/her test is representative of the vehicle group the applicant has certified that he/she operates or expects to operate;</P> <P>(3) Initiate and complete a check of the applicant's driving record to ensure that the person is not subject to any disqualification under § 383.51, or any license suspension, revocation, or cancellation under State law, and that the person does not have a driver's license from more than one State or jurisdiction. The record check must include, but is not limited to, the following:</P> <P>(i) A check of the applicant's driving record as maintained by his/her current State of licensure, if any;</P> <P>(ii) A check with the CDLIS to determine whether the driver applicant already has been issued a CDL, whether the applicant's license has been suspended, revoked, or canceled, or if the applicant has been disqualified from operating a commercial motor vehicle;</P> <P>(iii) A check with the National Driver Register (NDR) to determine whether the driver applicant has:</P> <P>(A) Been disqualified from operating a motor vehicle (other than a commercial motor vehicle);</P> <P>(B) Had a license (other than CDL) suspended, revoked, or canceled for cause in the 3-year period ending on the date of application; or</P> <P>(C) Been convicted of any offenses contained in section 205(a)(3) of the National Driver Register Act of 1982 (23 U.S.C. 401 note); and</P> <P>(iv) A request for the applicant's complete driving record from all States where the applicant was previously licensed over the last 10 years to drive any type of motor vehicle. <E T="03">Exception:</E> A State is only required to make the driving record check specified in this paragraph (a)(3) for drivers renewing a CDL for the first time after September 30, 2002, provided a notation is made on the driver's record confirming that the driver record check required by this paragraph (a)(3) has been made and noting the date it was done; and</P> <P>(4) Require the driver applicant to surrender his/her driver's license issued <PRTPAGE P="193"/>by another State, if he/she has moved from another State.</P> <P>(5) For persons applying for a hazardous materials endorsement, require compliance with the standards for such endorsement specified in § 383.71(a)(9).</P> <P>(b) <E T="03">License transfers.</E> Prior to issuing a CDL to a person who has a CDL from another State, a State shall:</P> <P>(1) Require the driver applicant to make the certifications contained in § 383.71(a);</P> <P>(2) Complete a check of the driver applicant's record as contained in § 383.73(a)(3);</P> <P>(3) Request and receive updates of information specified in subpart J of this part;</P> <P>(4) If such applicant wishes to retain a hazardous materials endorsement, require compliance with standards for such endorsement specified in § 383.71(a)(9) and ensure that the driver has, within the 2 years preceding the transfer, either:</P> <P>(i) Passed the test for such endorsement specified in § 383.121; or</P> <P>(ii) Successfully completed a hazardous materials test or training that is given by a third party and that is deemed by the State to substantially cover the same knowledge base as that described in § 383.121; and</P> <P>(5) Obtain the CDL issued by the applicant's previous State of domicile.</P> <P>(c) <E T="03">License Renewals.</E> Prior to renewing any CDL a State shall:</P> <P>(1) Require the driver applicant to make the certifications contained in § 383.71(a);</P> <P>(2) Complete a check of the driver applicant's record as contained in § 383.73(a)(3);</P> <P>(3) Request and receive updates of information specified in subpart J of this part; and</P> <P>(4) If such applicant wishes to retain a hazardous materials endorsement, require the driver to pass the test specified in § 383.121 and comply with the standards specified in § 383.71(a)(9) for such endorsement. </P> <P>(d) <E T="03">License upgrades.</E> Prior to issuing an upgrade of a CDL, a State shall:</P> <P>(1) Require such driver applicant to provide certifications, pass tests, and meet applicable hazardous materials standards specified in § 383.71(d); and</P> <P>(2) Complete a check of the driver applicant's record as described in § 383.73(a)(3).</P> <P>(e) <E T="03">Nonresident CDL.</E> A State may issue a Nonresident CDL to a person domiciled in a foreign country if the Administrator has determined that the commercial motor vehicle testing and licensing standards in the foreign jurisdiction of domicile do not meet the standards contained in this part. State procedures for the issuance of a nonresident CDL, for any modifications thereto, and for notifications to the CDLIS shall at a minimum be identical to those pertaining to any other CDL, with the following exceptions:</P> <P>(1) If the applicant is requesting a transfer of his/her Nonresident CDL, the State shall obtain the Nonresident CDL currently held by the applicant and issued by another State;</P> <P>(2) The State shall add the word “Nonresident” to the face of the CDL, in accordance with § 383.153(b); and</P> <P>(3) The State shall have established, prior to issuing any Nonresident CDL, the practical capability of disqualifying the holder of any Nonresident CDL, by withdrawing, suspending, canceling, and revoking his/her Nonresident CDL as if the Nonresident CDL were a CDL issued to a resident of the State.</P> <P>(f) <E T="03">License issuance.</E> After the State has completed the procedures described in § 383.73 (a), (b), (c), (d) or (e), it may issue a CDL to the driver applicant. The State shall notify the operator of the CDLIS of such issuance, transfer, renewal, or upgrade within the 10-day period beginning on the date of license issuance.</P> <P>(g) <E T="03">Penalties for false information.</E> If a State determines, in its check of an applicant's license status and record prior to issuing a CDL, or at any time after the CDL is issued, that the applicant has falsified information contained in subpart J of this part or any of the certifications required in § 383.71(a), the State shall at a minimum suspend, cancel, or revoke the person's CDL or his/her pending application, or disqualify the person from operating a commercial motor vehicle for a period of at least 60 consecutive days.<PRTPAGE P="194"/> </P> <P>(h) <E T="03">Reciprocity.</E> A State shall allow any person who has a valid CDL which is not suspended, revoked, or canceled, and who is not disqualified from operating a commercial motor vehicle, to operate a commercial motor vehicle in the State.</P> <P>(i) <E T="03">Alternative procedures.</E> A State may implement alternative procedures to the certification requirements of § 383.71(a) (1), (4), and (6), provided those procedures ensure that the driver meets the requirements of those paragraphs.</P> <CITA>[53 FR 27649, July 21, 1988, as amended at 54 FR 40788, Oct. 3, 1989; 67 FR 49760, July 31, 2002; 68 FR 23850, May 5, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 383.75</SECTNO> <SUBJECT>Third party testing.</SUBJECT> <P>(a) <E T="03">Third party tests.</E> A State may authorize a person (including another State, an employer, a private driver training facility or other private institution, or a department, agency or instrumentality of a local government) to administer the skills tests as specified in subparts G and H of this part, if the following conditions are met:</P> <P>(1) The tests given by the third party are the same as those which would otherwise be given by the State; and</P> <P>(2) The third party as an agreement with the State containing, at a minimum, provisions that:</P> <P>(i) Allow the FMCSA, or its representative, and the State to conduct random examinations, inspections and audits without prior notice;</P> <P>(ii) Require the State to conduct on-site inspections at least annually;</P> <P>(iii) Require that all third party examiners meet the same qualification and training standards as State examiners, to the extent necessary to conduct skills tests in compliance with subparts G and H;</P> <P>(iv) Require that, at least on an annual basis, State employees take the tests actually administered by the third party as if the State employee were a test applicant, or that States test a sample of drivers who were examined by the third party to compare pass/fail results; and</P> <P>(v) Reserve unto the State the right to take prompt and appropriate remedial action against the third-party testers in the event that the third-party fails to comply with State or Federal standards for the CDL testing program, or with any other terms of the third-party contract.</P> <P>(b) <E T="03">Proof of testing by a third party.</E> A driver applicant who takes and passes driving tests administered by an authorized third party shall provide evidence to the State licensing agency that he/she has successfully passed the driving tests administered by the third party.</P> </SECTION> <SECTION> <SECTNO>§ 383.77</SECTNO> <SUBJECT>Substitute for driving skills tests.</SUBJECT> <P>At the discretion of a State, the driving skill test as specified in § 383.113 may be waived for a CMV operator who is currently licensed at the time of his/her application for a CDL, and substituted with either an applicant's driving record and previous passage of an acceptable skills test, or an applicant's driving record in combination with certain driving experience. The State shall impose conditions and limitations to restrict the applicants from whom a State may accept alternative requirements for the skills test described in § 383.113. Such conditions must require at least the following:</P> <P>(a) An applicant must certify that, during the two-year period immediately prior to applying for a CDL, he/she:</P> <P>(1) Has not had more than one license (except in the instances specified in § 383.21(b));</P> <P>(2) Has not had any license suspended, revoked, or canceled;</P> <P>(3) Has not had any convictions for any type of motor vehicle for the disqualifying offenses contained in § 383.51(b);</P> <P>(4) Has not had more than one conviction for any type of motor vehicle for serious traffic violations; and</P> <P>(5) Has not had any conviction for a violation of State or local law relating to motor vehicle traffic control (other than a parking violation) arising in connection with any traffic accident, and has no record of an accident in which he/she was at fault; and</P> <P>(b) An applicant must provide evidence and certify that:</P> <P>(1) He/she is regularly employed in a job requiring operation of a CMV, and that either:<PRTPAGE P="195"/> </P> <P>(2) He/she has previously taken and passed a skills test given by a State with a classified licensing and testing system, and that the test was behind-the-wheel in a representative vehicle for that applicant's driver's license classification; or</P> <P>(3) He/she has operated, for at least 2 years immediately preceding application for a CDL, a vehicle representative of the commercial motor vehicle the driver applicant operates or expects to operate.</P> <CITA>[53 FR 27649, July 21, 1988, as amended at 55 FR 25606, June 22, 1990; 67 FR 49760, July 31, 2002]</CITA> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart F—Vehicle Groups and Endorsements</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>53 FR 27651, July 21, 1988, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 383.91</SECTNO> <SUBJECT>Commercial motor vehicle groups.</SUBJECT> <P>(a) Vehicle group descriptions. Each driver applicant must possess and be tested on his/her knowledge and skills, described in subpart G of this part, for the commercial motor vehicle group(s) for which he/she desires a CDL. The commercial motor vehicle groups are as follows:</P> <P>(1) Combination vehicle (Group A)—Any combination of vehicles with a gross combination weight rating (GCWR) of 11,794 kilograms or more (26,001 pounds or more) provided the GVWR of the vehicle(s) being towed is in excess of 4,536 kilograms (10,000 pounds).</P> <P>(2) Heavy Straight Vehicle (Group B)—Any single vehicle with a GVWR of 11,794 kilograms or more (26,001 pounds or more), or any such vehicle towing a vehicle not in excess of 4,536 kilograms (10,000 pounds) GVWR.</P> <P>(3) Small Vehicle (Group C)—Any single vehicle, or combination of vehicles, that meets neither the definition of Group A nor that of Group B as contained in this section, but that either is designed to transport 16 or more passengers including the driver, or is used in the transportation of materials found to be hazardous for the purposes of the Hazardous Materials Transportation Act and which require the motor vehicle to be placarded under the Hazardous Materials Regulations (49 CFR part 172, subpart F).</P> <P>(b) <E T="03">Representative vehicle.</E> For purposes of taking the driving test in accordance with § 383.113, a representative vehicle for a given vehicle group contained in § 383.91(a), is any commercial motor vehicle which meets the definition of that vehicle group.</P> <P>(c) <E T="03">Relation between vehicle groups.</E> Each driver applicant who desires to operate in a different commercial motor vehicle group from the one which his/her CDL authorizes shall be required to retake and pass all related tests, except the following:</P> <P>(1) A driver who has passed the knowledge and skills tests for a combination vehicle (Group A) may operate a heavy straight vehicle (Group B) or a small vehicle (Group C), provided that he/she possesses the requisite endorsement(s); and</P> <P>(2) A driver who has passed the knowledge and skills tests for a heavy straight vehicle (Group B) may operate any small vehicle (Group C), provided that he/she possesses the requisite endorsement(s).</P> <P>(d) <E T="03">Vehicle group illustration.</E> Figure 1 illustrates typical vehicles within each of the vehicle groups defined in this section.</P> <GPH DEEP="470" SPAN="2"> <PRTPAGE P="196"/> <GID>EC01AP91.039</GID> </GPH> <CITA>[53 FR 27651, July 21, 1988, as amended at 54 FR 47989, Nov. 20, 1989; 61 FR 9566, Mar. 8, 1996]</CITA> </SECTION> <SECTION> <PRTPAGE P="197"/> <SECTNO>§ 383.93</SECTNO> <SUBJECT>Endorsements.</SUBJECT> <P>(a) <E T="03">General.</E> In addition to taking and passing the knowledge and skills tests described in subpart G of this part, all persons who operate or expect to operate the type(s) of motor vehicles described in paragraph (b) of this section shall take and pass specialized tests to obtain each endorsement. The State shall issue CDL endorsements only to drivers who successfully complete the tests.</P> <P>(b) <E T="03">Endorsement descriptions.</E> An operator must obtain State-issued endorsements to his/her CDL to operate commercial motor vehicles which are:</P> <P>(1) Double/triple trailers;</P> <P>(2) Passenger vehicles;</P> <P>(3) Tank vehicles;</P> <P>(4) Used to transport hazardous materials as defined in § 383.5, or</P> <P>(5) School buses.</P> <P>(c) <E T="03">Endorsement testing requirements.</E> The following tests are required for the endorsements contained in paragraph (b) of this section:</P> <P>(1) <E T="03">Double/Triple Trailers</E>—a knowledge test;</P> <P>(2) <E T="03">Passenger</E>—a knowledge and a skills test;</P> <P>(3) <E T="03">Tank vehicle</E>—a knowledge test;</P> <P>(4) <E T="03">Hazardous Materials</E>—a knowledge test; and</P> <P>(5) <E T="03">School bus</E>—a knowledge and a skills test.</P> <CITA>[53 FR 27651, July 21, 1988, as amended at 67 FR 49760, July 31, 2002; 68 FR 23850, May 5, 2003]</CITA> </SECTION> <SECTION> <SECTNO>§ 383.95</SECTNO> <SUBJECT>Air brake restrictions.</SUBJECT> <P>(a) If an applicant either fails the air brake component of the knowledge test, or performs the skills test in a vehicle not equipped with air brakes, the State shall indicate on the CDL, if issued, that the person is restricted from operating a CMV equipped with air brakes.</P> <P>(b) For the purposes of the skills test and the restriction, air brakes shall include any braking system operating fully or partially on the air brake principle.</P> </SECTION> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart G—Required Knowledge and Skills</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>53 FR 27654, July 21, 1988, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 383.110</SECTNO> <SUBJECT>General requirement.</SUBJECT> <P>All drivers of commercial motor vehicles shall have knowledge and skills necessary to operate a commercial motor vehicle safely as contained in this subpart. A sample of the specific types of items which a State may wish to include in the knowledge and skills tests that it administers to CDL applicants is included in the appendix to this subpart G.</P> </SECTION> <SECTION> <SECTNO>§ 383.111</SECTNO> <SUBJECT>Required knowledge.</SUBJECT> <P>All commercial motor vehicle operators must have knowledge of the following general areas:</P> <P>(a) <E T="03">Safe operations regulations.</E> Driver-related elements of the regulations contained in 49 CFR parts 382, 391, 392, 393, 395, 396, and 397, such as: Motor vehicle inspection, repair, and maintenance requirements; procedures for safe vehicle operations; the effects of fatigue, poor vision, hearing, and general health upon safe commercial motor vehicle operation; the types of motor vehicles and cargoes subject to the requirements; and the effects of alcohol and drug use upon safe commercial motor vehicle operations.</P> <P>(b) <E T="03">Commercial motor vehicle safety control systems.</E> Proper use of the motor vehicle's safety system, including lights, horns, side and rear-view mirrors, proper mirror adjustments, fire extinguishers, symptoms of improper operation revealed through instruments, motor vehicle operation characteristics, and diagnosing malfunctions. Commercial motor vehicle drivers shall have knowledge on the correct procedures needed to use these safety systems in an emergency situation, e.g., skids and loss of brakes.</P> <P>(c) <E T="03">Safe vehicle control—</E>(1) <E T="03">Control systems</E> The purpose and function of the controls and instruments commonly found on commercial motor vehicles.</P> <P>(2) <E T="03">Basic control.</E> The proper procedures for performing various basic maneuvers.<PRTPAGE P="198"/> </P> <P>(3) <E T="03">Shifting.</E> The basic shifting rules and terms, as well as shift patterns and procedures for common transmissions.</P> <P>(4) <E T="03">Backing.</E> The procedures and rules for various backing maneuvers.</P> <P>(5) <E T="03">Visual search.</E> The importance of proper visual search, and proper visual search methods.</P> <P>(6) <E T="03">Communication.</E> The principles and procedures for proper communications and the hazards of failure to signal properly.</P> <P>(7) <E T="03">Speed management.</E> The importance of understanding the effects of speed.</P> <P>(8) <E T="03">Space management.</E> The procedures and techniques for controlling the space around the vehicle.</P> <P>(9) <E T="03">Night operation.</E> Preparations and procedures for night driving.</P> <P>(10) <E T="03">Extreme driving conditions.</E> The basic information on operating in extreme driving conditions and the hazards that are encountered in extreme conditions.</P> <P>(11) <E T="03">Hazard perceptions.</E> The basic information on hazard perception and clues for recognition of hazards.</P> <P>(12) <E T="03">Emergency maneuvers.</E> The basic information concerning when and how to make emergency maneuvers.</P> <P>(13) <E T="03">Skid control and recovery.</E> The information on the causes and major types of skids, as well as the procedures for recovering from skids.</P> <P>(d) <E T="03">Relationship of cargo to vehicle control.</E> The principles and procedures for the proper handling of cargo.</P> <P>(e) <E T="03">Vehicle inspections:</E> The objectives and proper procedures for performing vehicle safety inspections, as follows:</P> <P>(1) The importance of periodic inspection and repair to vehicle safety.</P> <P>(2) The effect of undiscovered malfunctions upon safety.</P> <P>(3) What safety-related parts to look for when inspecting vehicles.</P> <P>(4) Pre-trip/enroute/post-trip inspection procedures.</P> <P>(5) Reporting findings.</P> <P>(f) <E T="03">Hazardous materials knowledge, such as:</E> What constitutes hazardous material requiring an endorsement to transport; classes of hazardous materials; labeling/placarding requirements; and the need for specialized training as a prerequisite to receiving the endorsement and transporting hazardous cargoes.</P> <P>(g) <E T="03">Air brake knowledge as follows:</E> </P> <P>(1) Air brake system nomenclature;</P> <P>(2) The dangers of contaminated air supply;</P> <P>(3) Implications of severed or disconnected air lines between the power unit and the trailer(s);</P> <P>(4) Implications of low air pressure readings;</P> <P>(5) Procedures to conduct safe and accurate pre-trip inspections.</P> <P>(6) Procedures for conducting enroute and post-trip inspections of air actuated brake systems, including ability to detect defects which may cause the system to fail.</P> <P>(h) <E T="03">Operators for the combination vehicle group shall also have knowledge of:</E> </P> <P>(1) Coupling and uncoupling—The procedures for proper coupling and uncoupling a tractor to semi-trailer.</P> <P>(2) Vehicle inspection—The objectives and proper procedures that are <E T="03">unique</E> for performing vehicle safety inspections on combination vehicles.</P> <CITA>[53 FR 27654, July 21, 1988, as amended at 62 FR 37151, July 11, 1997]</CITA> </SECTION> <SECTION> <SECTNO>§ 383.113</SECTNO> <SUBJECT>Required skills.</SUBJECT> <P>(a) <E T="03">Basic vehicle control skills.</E> All applicants for a CDL must possess and demonstrate basic motor vehicle control skills for each vehicle group which the driver operates or expects to operate. These skills should include the ability to start, to stop, and to move the vehicle forward and backward in a safe manner.</P> <P>(b) <E T="03">Safe driving skills.</E> All applicants for a CDL must possess and demonstrate the safe driving skills for their vehicle group. These skills should include proper visual search methods, appropriate use of signals, speed control for weather and traffic conditions, and ability to position the motor vehicle correctly when changing lanes or turning.</P> <P>(c) <E T="03">Air brake skills.</E> Except as provided in § 393.95, all applicants shall demonstrate the following skills with respect to inspection and operation of air brakes:</P> <P>(1) <E T="03">Pre-trip inspection skills.</E> Applicants shall demonstrate the skills necessary to conduct a pre-trip inspection which includes the ability to:<PRTPAGE P="199"/> </P> <P>(i) Locate and verbally identify air brake operating controls and monitoring devices;</P> <P>(ii) Determine the motor vehicle's brake system condition for proper adjustments and that air system connections between motor vehicles have been properly made and secured;</P> <P>(iii) Inspect the low pressure warning device(s) to ensure that they will activate in emergency situations;</P> <P>(iv) Ascertain, with the engine running, that the system maintains an adequate supply of compressed air;</P> <P>(v) Determine that required minimum air pressure build up time is within acceptable limits and that required alarms and emergency devices automatically deactivate at the proper pressure level; and</P> <P>(vi) Operationally check the brake system for proper performance.</P> <P>(2) <E T="03">Driving skills.</E> Applicants shall successfully complete the skills tests contained in § 383.113 in a representative vehicle equipped with air brakes.</P> <P>(d) <E T="03">Test area.</E> Skills tests shall be conducted in on-street conditions or under a combination of on-street and off-street conditions.</P> <P>(e) <E T="03">Simulation technology.</E> A State may utilize simulators to perform skills testing, but under no circumstances as a substitute for the required testing in on-street conditions.</P> </SECTION> <SECTION> <SECTNO>§ 383.115</SECTNO> <SUBJECT>Requirements for double/triple trailers endorsement.</SUBJECT> <P>In order to obtain a Double/Triple Trailers endorsement each applicant must have knowledge covering:</P> <P>(a) Procedures for assembly and hookup of the units;</P> <P>(b) Proper placement of heaviest trailer;</P> <P>(c) Handling and stability characteristics including off-tracking, response to steering, sensory feedback, braking, oscillatory sway, rollover in steady turns, yaw stability in steady turns; and</P> <P>(d) Potential problems in traffic operations, including problems the motor vehicle creates for other motorists due to slower speeds on steep grades, longer passing times, possibility for blocking entry of other motor vehicles on freeways, splash and spray impacts, aerodynamic buffeting, view blockages, and lateral placement.</P> </SECTION> <SECTION> <SECTNO>§ 383.117</SECTNO> <SUBJECT>Requirements for passenger endorsement.</SUBJECT> <P>An applicant for the passenger endorsement must satisfy both of the following additional knowledge and skills test requirements.</P> <P>(a) <E T="03">Knowledge test.</E> All applicants for the passenger endorsement must have knowledge covering at least the following topics:</P> <P>(1) Proper procedures for loading/unloading passengers;</P> <P>(2) Proper use of emergency exits, including push-out windows;</P> <P>(3) Proper responses to such emergency situations as fires and unruly passengers;</P> <P>(4) Proper procedures at railroad crossings and drawbridges; and</P> <P>(5) Proper braking procedures.</P> <P>(b) <E T="03">Skills test.</E> To obtain a passenger endorsement applicable to a specific vehicle group, an applicant must take his/her skills test in a passenger vehicle satisfying the requirements of that group as defined in § 383.91.</P> </SECTION> <SECTION> <SECTNO>§ 383.119</SECTNO> <SUBJECT>Requirements for tank vehicle endorsement.</SUBJECT> <P>In order to obtain a Tank Vehicle Endorsement, each applicant must have knowledge covering the following:</P> <P>(a) Causes, prevention, and effects of cargo surge on motor vehicle handling;</P> <P>(b) Proper braking procedures for the motor vehicle when it is empty, full and partially full;</P> <P>(c) Differences in handling of baffled/compartmental tank interiors versus non-baffled motor vehicles;</P> <P>(d) Differences in tank vehicle type and construction;</P> <P>(e) Differences in cargo surge for liquids of varying product densities;</P> <P>(f) Effects of road grade and curvature on motor vehicle handling with filled, half-filled and empty tanks;</P> <P>(g) Proper use of emergency systems; and</P> <P>(h) For drivers of DOT specification tank vehicles, retest and marking requirements.</P> </SECTION> <SECTION> <PRTPAGE P="200"/> <SECTNO>§ 383.121</SECTNO> <SUBJECT>Requirements for hazardous materials endorsement.</SUBJECT> <P>In order to obtain a Hazardous Material Endorsement each applicant must have such knowledge as is required of a driver of a hazardous materials laden vehicle, from information contained in 49 CFR parts 171, 172, 173, 177, 178, and 397 on the following:</P> <P>(a) Hazardous materials regulations including:</P> <P>(1) Hazardous materials table;</P> <P>(2) Shipping paper requirements;</P> <P>(3) Marking;</P> <P>(4) Labeling;</P> <P>(5) Placarding requirements;</P> <P>(6) Hazardous materials packaging;</P> <P>(7) Hazardous materials definitions and preparation;</P> <P>(8) Other regulated material (e.g., ORM-D);</P> <P>(9) Reporting hazardous materials accidents; and</P> <P>(10) Tunnels and railroad crossings.</P> <P>(b) Hazardous materials handling including:</P> <P>(1) Forbidden Materials and Packages;</P> <P>(2) Loading and Unloading Materials;</P> <P>(3) Cargo Segregation;</P> <P>(4) Passenger Carrying Buses and Hazardous Materials;</P> <P>(5) Attendance of Motor Vehicles;</P> <P>(6) Parking;</P> <P>(7) Routes;</P> <P>(8) Cargo Tanks; and</P> <P>(9) “Safe Havens.”</P> <P>(c) Operation of emergency equipment including:</P> <P>(1) Use of equipment to protect the public;</P> <P>(2) Special precautions for equipment to be used in fires;</P> <P>(3) Special precautions for use of emergency equipment when loading or unloading a hazardous materials laden motor vehicle; and</P> <P>(4) Use of emergency equipment for tank vehicles.</P> <P>(d) Emergency response procedures including:</P> <P>(1) Special care and precautions for different types of accidents;</P> <P>(2) Special precautions for driving near a fire and carrying hazardous materials, and smoking and carrying hazardous materials;</P> <P>(3) Emergency procedures; and</P> <P>(4) Existence of special requirements for transporting Class A and B explosives.</P> </SECTION> <SECTION> <SECTNO>§ 383.123</SECTNO> <SUBJECT>Requirements for a school bus endorsement.</SUBJECT> <P>(a) An applicant for a school bus endorsement must satisfy the following three requirements:</P> <P>(1) Qualify for passenger vehicle endorsement. Pass the knowledge and skills test for obtaining a passenger vehicle endorsement.</P> <P>(2) Knowledge test. Must have knowledge covering at least the following three topics:</P> <P>(i) Loading and unloading children, including the safe operation of stop signal devices, external mirror systems, flashing lights and other warning and passenger safety devices required for school buses by State or Federal law or regulation.</P> <P>(ii) Emergency exits and procedures for safely evacuating passengers in an emergency.</P> <P>(iii) State and Federal laws and regulations related to safely traversing highway rail grade crossings.</P> <P>(3) Skills test. Must take a driving skills test in a school bus of the same vehicle group (see § 383.91(a)) as the school bus applicant will drive.</P> <P>(4) <E T="03">Exception.</E> Knowledge and skills tests administered before September 30, 2002 and approved by FMCSA as meeting the requirements of this section, meet the requirements of paragraphs (a)(2) and (a)(3) of this section.</P> <P>(b) <E T="03">Substitute for driving skills test.</E> (1) At the discretion of a State, the driving skills test required in paragraph (a)(3) of this section may be waived for an applicant who is currently licensed, has experience driving a school bus, has a good driving record, and meets the conditions set forth in paragraph (b)(2) of this section.</P> <P>(2) An applicant must certify and the State must verify that, during the two-year period immediately prior to applying for the school bus endorsement, the applicant:</P> <P>(i) Held a valid CDL with a passenger vehicle endorsement to operate a school bus representative of the group he or she will be driving;</P> <P>(ii) Has not had his or her driver's license or CDL suspended, revoked or <PRTPAGE P="201"/>canceled or been disqualified from operating a CMV;</P> <P>(iii) Has not been convicted of any of the disqualifying offenses in § 383.51(b) while operating a CMV or of any offense in a non-CMV that would be disqualifying under § 383.51(b) if committed in a CMV;</P> <P>(iv) Has not had more than one conviction of any of the serious traffic violations defined in § 383.5, while operating any type motor vehicle;</P> <P>(v) Has not had any conviction for a violation of State or local law relating to motor vehicle traffic control (other than a parking violation) arising in connection with any traffic accident;</P> <P>(vi) Has not been convicted of any motor vehicle traffic violation that resulted in an accident; and</P> <P>(vii) Has been regularly employed as a school bus driver, has operated a school bus representative of the group the applicant seeks to drive, and provides evidence of such employment.</P> <P>(3) After September 30, 2006, the provisions in paragraph (b) of this section do not apply.</P> <CITA>[67 FR 49760, July 31, 2002, as amended at 70 FR 56593, Sept. 28, 2005]</CITA> </SECTION> <APPENDIX> <EAR>Pt. 383, Subpt. G, App.</EAR> <HD SOURCE="HED">Appendix to Subpart G of Part 383—Required Knowledge and Skills—Sample Guidelines</HD> <P>The following is a sample of the specific types of items which a State may wish to include in the knowledge and skills tests that it administers to CDL applicants. This appendix closely follows the framework of §§ 383.111 and 383.113. It is intended to provide more specific guidance and suggestion to States. Additional detail in this appendix is not binding and States may depart from it at their discretion provided their CDL program tests for the general areas of knowledge and skill specified in §§ 383.111 and 383.113.</P> <HD SOURCE="HD1">Examples of specific knowledge elements</HD> <P>(a) <E T="03">Safe operations regulations.</E> Driver-related elements of the following regulations:</P> <P>(1) Motor vehicle inspection, repair, and maintenance requirements as contained in parts 393 and 396 of this title;</P> <P>(2) Procedures for safe vehicle operations as contained in part 392 of this title;</P> <P>(3) The effects of fatigue, poor vision, hearing, and general health upon safe commercial motor vehicle operation as contained in parts 391, 392, and 395 of this title;</P> <P>(4) The types of motor vehicles and cargoes subject to the requirements contained in part 397 of this title; and</P> <P>(5) The effects of alcohol and drug use upon safe commercial motor vehicle operations as contained in parts 391 and 395 of this title.</P> <P>(b) <E T="03">Commercial motor vehicle safety control systems.</E> Proper use of the motor vehicle's safety system, including lights, horns, side and rear-view mirrors, proper mirror adjustments, fire extinguishers, symptoms of improper operation revealed through instruments, motor vehicle operation characteristics, and diagnosing malfunctions. Commercial motor vehicle drivers shall have knowledge on the correct procedures needed to use these safety systems in an emergency situation, e.g., skids and loss of brakes.</P> <P>(c) <E T="03">Safe vehicle control—</E>(1) <E T="03">Control systems.</E> The purpose and function of the controls and instruments commonly found on commercial motor vehicles.</P> <P>(2) <E T="03">Basic control.</E> The proper procedures for performing various basic maneuvers, including:</P> <P>(i) Starting, warming up, and shutting down the engine;</P> <P>(ii) Putting the vehicle in motion and stopping;</P> <P>(iii) Backing in a straight line; and</P> <P>(iv) Turning the vehicle, e.g., basic rules, off-tracking, right/left turns and right curves.</P> <P>(3) <E T="03">Shifting.</E> The basic shifting rules and terms, as well as shift patterns and procedures for common transmissions, including:</P> <P>(i) Key elements of shifting, e.g., controls, when to shift and double clutching;</P> <P>(ii) Shift patterns and procedures; and</P> <P>(iii) Consequences of improper shifting.</P> <P>(4) <E T="03">Backing.</E> The procedures and rules for various backing maneuvers, including:</P> <P>(i) Backing principles and rules; and</P> <P>(ii) Basic backing maneuvers, e.g., straight-line backing, and backing on a curved path.</P> <P>(5) <E T="03">Visual search.</E> The importance of proper visual search, and proper visual search methods, including:</P> <P>(i) Seeing ahead and to the sides;</P> <P>(ii) Use of mirrors; and</P> <P>(iii) Seeing to the rear.</P> <P>(6) <E T="03">Communication.</E> The principles and procedures for proper communications and the hazards of failure to signal properly, including:</P> <P>(i) Signaling intent, e.g., signaling when changing speed or direction in traffic;</P> <P>(ii) Communicating presence, e.g., using horn or lights to signal presence; and</P> <P>(iii) Misuse of communications.</P> <P>(7) <E T="03">Speed management.</E> The importance of understanding the effects of speed, including:</P> <P>(i) Speed and stopping distance;</P> <P>(ii) Speed and surface conditions;</P> <P>(iii) Speed and the shape of the road;</P> <P>(iv) Speed and visibility; and<PRTPAGE P="202"/> </P> <P>(v) Speed and traffic flow.</P> <P>(8) <E T="03">Space management.</E> The procedures and techniques for controlling the space around the vehicle, including:</P> <P>(i) The importance of space management;</P> <P>(ii) Space cushions, e.g., controlling space ahead/to the rear;</P> <P>(iii) Space to the sides; and</P> <P>(iv) Space for traffic gaps.</P> <P>(9) <E T="03">Night operation.</E> Preparations and procedures for night driving, including:</P> <P>(i) Night driving factors, e.g., driver factors, (vision, glare, fatigue, inexperience), roadway factors, (low illumination, variation in illumination, familiarity with roads, other road users, especially drivers exhibiting erratic or improper driving), vehicle factors (headlights, auxiliary lights, turn signals, windshields and mirrors); and</P> <P>(ii) Night driving procedures, e.g., preparing to drive at night and driving at night.</P> <P>(10) <E T="03">Extreme driving conditions.</E> The basic information on operating in extreme driving conditions and the hazards that are encountered in extreme conditions, including:</P> <P>(i) Adverse weather;</P> <P>(ii) Hot weather; and</P> <P>(iii) Mountain driving.</P> <P>(11) <E T="03">Hazard perceptions.</E> The basic information on hazard perception and clues for recognition of hazards, including:</P> <P>(i) Importance of hazards recognition;</P> <P>(ii) Road characteristics; and</P> <P>(iii) Road user activities.</P> <P>(12) <E T="03">Emergency maneuvers.</E> The basic information concerning when and how to make emergency maneuvers, including:</P> <P>(i) Evasive steering;</P> <P>(ii) Emergency stop;</P> <P>(iii) Off-road recovery;</P> <P>(iv) Brake failure; and</P> <P>(v) Blowouts.</P> <P>(13) <E T="03">Skid control and recovery.</E> The information on the causes and major types of skids, as well as the procedures for recovering from skids.</P> <P>(d) <E T="03">Relationship of cargo to vehicle control.</E> The principles and procedures for the proper handling of cargo, including:</P> <P>(1) The importance of proper cargo handling, e.g., consequences of improperly secured cargo, drivers' responsibilities, Federal/State and local regulations.</P> <P>(2) Principles of weight distribution.</P> <P>(3) Principles and methods of cargo securement.</P> <P>(e) <E T="03">Vehicle inspections:</E> The objectives and proper procedures for performing vehicle safety inspections, as follows:</P> <P>(1) The importance of periodic inspection and repair to vehicle safety and to prevention of enroute breakdowns.</P> <P>(2) The effect of undiscovered malfunctions upon safety.</P> <P>(3) What safety-related parts to look for when inspecting vehicles, e.g., fluid leaks, interference with visibility, bad tires, wheel and rim defects, braking system defects, steering system defects, suspension system defects, exhaust system defects, coupling system defects, and cargo problems.</P> <P>(4) Pre-trip/enroute/post-trip inspection procedures.</P> <P>(5) Reporting findings.</P> <P>(f) <E T="03">Hazardous materials knowledge, as follows:</E> </P> <P>(1) What constitutes hazardous material requiring an endorsement to transport; and</P> <P>(2) Classes of hazardous materials, labeling/placarding requirements, and the need for specialized training as a prerequisite to receiving the endorsement and transporting hazardous cargoes.</P> <P>(g) <E T="03">Air brake knowledge as follows:</E> </P> <P>(1) General air brake system nomenclature;</P> <P>(2) The dangers of contaminated air (dirt, moisture and oil) supply;</P> <P>(3) Implications of severed or disconnected air lines between the power unit and the trailer(s);</P> <P>(4) Implications of low air pressure readings;</P> <P>(5) Procedures to conduct safe and accurate pre-trip inspections, including knowledge about:</P> <P>(i) Automatic fail-safe devices;</P> <P>(ii) System monitoring devices; and</P> <P>(iii) Low pressure warning alarms.</P> <P>(6) Procedures for conducting enroute and post-trip inspections of air actuated brake systems, including ability to detect defects which may cause the system to fail, including:</P> <P>(i) Tests which indicate the amount of air loss from the braking system within a specified period, with and without the engine running; and</P> <P>(ii) Tests which indicate the pressure levels at which the low air pressure warning devices and the tractor protection valve should activate.</P> <P>(h) <E T="03">Operators for the combination vehicle group shall also have knowledge of:</E> </P> <P>(1) <E T="03">Coupling and uncoupling.</E> The procedures for proper coupling and uncoupling a tractor to semi-trailer.</P> <P>(2) Vehicle inspection—The objectives and proper procedures that are <E T="03">unique</E> for performing vehicle safety inspections on combination vehicles.</P> <HD SOURCE="HD1">Examples of Specific Skills Elements</HD> <P>These examples relate to paragraphs (a) and (b) of § 383.113 only.</P> <P>(a) <E T="03">Basic vehicle control skills.</E> All applicants for a CDL must possess and demonstrate the following basic motor vehicle control skills for each vehicle group which the driver operates or expects to operate. These skills shall include:</P> <P>(1) Ability to start, warm-up, and shut down the engine;<PRTPAGE P="203"/> </P> <P>(2) Ability to put the motor vehicle in motion and accelerate smoothly, forward and backward;</P> <P>(3) Ability to bring the motor vehicle to a smooth stop;</P> <P>(4) Ability to back the motor vehicle in a straight line, and check path and clearance while backing;</P> <P>(5) Ability to position the motor vehicle to negotiate and then make left and right turns;</P> <P>(6) Ability to shift as required and select appropriate gear for speed and highway conditions;</P> <P>(7) Ability to back along a curved path; and</P> <P>(8) Ability to observe the road and the behavior of other motor vehicles, particularly before changing speed and direction.</P> <P>(b) <E T="03">Safe driving skills.</E> All applicants for a CDL must possess and demonstrate the following safe driving skills for any vehicle group. These skills shall include:</P> <P>(1) Ability to use proper visual search methods.</P> <P>(2) Ability to signal appropriately when changing speed or direction in traffic.</P> <P>(3) Ability to adjust speed to the configuration and condition of the roadway, weather and visibility conditions, traffic conditions, and motor vehicle, cargo and driver conditions;</P> <P>(4) Ability to choose a safe gap for changing lanes, passing other vehicles, as well as for crossing or entering traffic;</P> <P>(5) Ability to position the motor vehicle correctly before and during a turn to prevent other vehicles from passing on the wrong side as well as to prevent problems caused by off-tracking;</P> <P>(6) Ability to maintain a safe following distance depending on the condition of the road, on visibility, and on vehicle weight; and</P> <P>(7) Ability to adjust operation of the motor vehicle to prevailing weather conditions including speed selection, braking, direction changes and following distance to maintain control.</P> </APPENDIX> </SUBPART> <SUBPART> <HD SOURCE="HED">Subpart H—Tests</HD> <SOURCE> <HD SOURCE="HED">Source:</HD> <P>53 FR 27657, July 21, 1988, unless otherwise noted.</P> </SOURCE> <SECTION> <SECTNO>§ 383.131</SECTNO> <SUBJECT>Test procedures.</SUBJECT> <P>(a) <E T="03">Driver information manuals.</E> Information on how to obtain a CDL and endorsements shall be included in manuals and made available by States to CDL applicants. All information provided to the applicant shall include the following:</P> <P>(1) Information on the requirements described in § 383.71, the implied consent to alcohol testing described in § 383.72, the procedures and penalties, contained in § 383.51(b) to which a CDL holder is exposed for refusal to comply with such alcohol testing, State proc