[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2005 Edition]
[From the U.S. Government Printing Office]
[[Page i]]
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
Published by
Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register
[[Page ii]]
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[[Page iii]]
As of October 1, 2005
Title 49, Parts 200 to 399
Revised as of October 1, 2004
Is Replaced by
Title 49, Parts 200 to 299
And
Parts 300 to 399
[[Page v]]
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
[[Page vi]]
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 49 CFR 303.1 refers
to title 49, part 303,
section 1.
----------------------------
[[Page vii]]
EXPLANATION
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Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
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[[Page viii]]
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[[Page ix]]
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Raymond A. Mosley,
Director,
Office of the Federal Register.
October 1, 2005.
[[Page xi]]
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 Sec. 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.
[[Page 1]]
TITLE 49--TRANSPORTATION
(This book contains parts 300 to 399)
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Part
SUBTITLE B--Other Regulations Relating To Transportation--(Continued)
chapter iii--Federal Motor Carrier Safety Administration,
Department of Transportation.............................. 301
[[Page 3]]
Subtitle B--Other Regulations Relating To Transportation (Continued)
[[Page 5]]
CHAPTER III--FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION,
DEPARTMENT OF TRANSPORTATION
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Editorial Note: For nomenclature changes to chapter III see 59 FR
60323, Nov. 23, 1994, 60 FR 38742, July 28, 1995, and 69 FR 18803, Apr.
9, 2004.
SUBCHAPTER A--GENERAL REGULATIONS
Part Page
301 [Reserved]
303 Civil Rights................................ 7
325 Compliance with interstate motor carrier
noise emission standards................ 7
SUBCHAPTER B--FEDERAL MOTOR CARRIER SAFETY REGULATIONS
350 Commercial motor carrier safety assistance
program................................. 19
355 Compatibility of State laws and regulations
affecting interstate motor carrier
operations.............................. 32
356 Motor carrier routing regulations........... 35
360 Fees for motor carrier registration and
insurance............................... 37
365 Rules governing applications for operating
authority............................... 40
366 Designation of process agent................ 52
367 Standards for registration with States...... 53
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..................... 57
370 Principles and practices for the
investigation and voluntary disposition
of loss and damage claims and processing
salvage................................. 59
371 Brokers of property......................... 62
372 Exemptions, commercial zones, and terminal
areas................................... 63
373 Receipts and bills.......................... 76
374 Passenger carrier regulations............... 78
[[Page 6]]
375 Transportation of household goods in
interstate commerce; consumer protection
regulations............................. 85
376 Lease and interchange of vehicles........... 124
377 Payment of transportation charges........... 131
378 Procedures governing the processing,
investigation, and disposition of
overcharge, duplicate payment, or
overcollection claims................... 135
379 Preservation of records..................... 137
380 Special training requirements............... 142
381 Waivers, exemptions, and pilot programs..... 152
382 Controlled substances and alcohol use and
testing................................. 159
383 Commercial driver's license standards;
requirements and penalties.............. 177
384 State compliance with commercial driver's
license program......................... 206
385 Safety fitness procedures................... 215
386 Rules of practice for motor carrier, broker,
freight forwarder, and hazardous
materials proceedings................... 245
387 Minimum levels of financial responsibility
for motor carriers...................... 281
388 Cooperative agreements with States.......... 303
389 Rulemaking procedures--Federal motor carrier
safety regulations...................... 304
390 Federal motor carrier safety regulations;
general................................. 307
391 Qualifications of drivers and longer
combination vehicle (LCV) driver
instructors............................. 320
392 Driving of commercial motor vehicles........ 352
393 Parts and accessories necessary for safe
operation............................... 361
394 [Reserved]
395 Hours of service of drivers................. 450
396 Inspection, repair, and maintenance......... 463
397 Transportation of hazardous materials;
driving and parking rules............... 469
398 Transportation of migrant workers........... 486
399 Employee safety and health standards........ 493
Appendix A to Subchapter B [Reserved]
Appendix B to Subchapter B--Special Agents.................. 496
Appendixes C-E to Subchapter B [Reserved]
Appendix F to Subchapter B--Commercial Zones................ 497
Appendix G to Subchapter B--Minimum Periodic Inspection
Standards................................................. 515
[[Page 7]]
SUBCHAPTER A_GENERAL REGULATIONS
PART 301 [RESERVED]
PART 303_CIVIL RIGHTS--Table of Contents
Sec.
303.1 Purpose.
303.3 Application of this part.
Authority: Public Law 105-159, 113 Stat. 1748, Title I, sections
107(a) and 106 (Dec. 9, 1999) (49 U.S.C. 113); 42 U.S.C. 2000d, et seq.;
and 49 CFR 1.73.
Source: 70 FR 7414, Feb. 14, 2005, unless otherwise noted.
Sec. 303.1 Purpose.
The purpose of this part is to provide guidelines and procedures for
implementing the Federal Motor Carrier Safety Administration's (FMCSA)
Title VI program under Title VI of the Civil Rights Act of 1964 and
related civil rights laws and regulations. For FMCSA-only programs or
activities, Federal financial assistance recipients or grantees will
continue to apply and use the Departmental Title VI provisions at 49 CFR
part 21. For joint and multi-agency programs/projects, FMCSA Federal
assistance recipients or grantees must use the Title VI requirements at
49 CFR part 21, unless agreement is reached by the Federal funding
agencies for the recipients to use the Title VI procedures of another
agency.
Sec. 303.3 Application of this part.
The provisions of this part are applicable to all elements of the
FMCSA and to any program or activity for which Federal financial
assistance is authorized under a law administered by the FMCSA. This
part provides Title VI guidelines for State Departments of
Transportation and local State agencies, including their sub-recipients,
to implement Title VI. It also applies to money paid, property
transferred, or other Federal financial assistance extended under any
program of the FMCSA after the date of this part.
PART 325_COMPLIANCE WITH INTERSTATE MOTOR CARRIER NOISE EMISSION STANDARDS
--Table of Contents
Subpart A_General Provisions
Sec.
325.1 Scope of the rules in this part.
325.3 Effective date.
325.5 Definitions.
325.7 Allowable noise levels.
325.9 Measurement tolerances.
Subpart B_Administrative Provisions
325.11 Issuance, amendment, and revocation of the rules in this part.
325.13 Inspection and examination of motor vehicles.
Subpart C_Instrumentation
325.21 Scope of the rules in this subpart.
325.23 Type of measurement systems which may be used.
325.25 Calibration of measurement systems.
325.27 Use of a windscreen.
Subpart D_Measurement of Noise Emissions; Highway Operations
325.31 Scope of the rules in this subpart.
325.33 Site characteristics; highway operations.
325.35 Ambient conditions; highway operations.
325.37 Location and operation of sound level measurement system; highway
operations.
325.39 Measurement procedure; highway operations.
Subpart E_Measurement of Noise Emissions; Stationary Test
325.51 Scope of the rules in this subpart.
325.53 Site characteristics; stationary test.
325.55 Ambient conditions; stationary test.
325.57 Location and operation of sound level measurement systems;
stationary test.
325.59 Measurement procedure; stationary test.
Subpart F_Correction Factors
325.71 Scope of the rules in this subpart.
325.73 Microphone distance correction factors.
325.75 Ground surface correction factors.
325.77 Computation of open site requirements--nonstandard sites.
325.79 Application of correction factors.
[[Page 8]]
Subpart G_Exhaust Systems and Tires
325.91 Exhaust systems.
325.93 Tires.
Authority: 42 U.S.C. 4917; 49 U.S.C. 301; 49 CFR 1.73.
Source: 40 FR 42437, Sept. 12, 1975, unless otherwise noted.
Editorial Note: Nomenclature changes to part 325 appear at 66 FR
49869, Oct. 1, 2001.
Subpart A_General Provisions
Sec. 325.1 Scope of the rules in this part.
(a) The rules in this part prescribe procedures for inspection,
surveillance, and measurement of motor vehicles and motor vehicle
equipment operated by motor carriers to determine whether those vehicles
and that equipment conform to the Interstate Motor Carrier Noise
Emission Standards of the Environmental Protection Agency, 40 CFR part
202.
(b) Except as provided in paragraph (c) of this section, the rules
in this part apply to motor carriers engaged in interstate commerce. The
rules apply at any time or under any condition of highway grade, load,
acceleration or deceleration.
(c) The rules in this part do not apply to--
(1) A motor vehicle that has a Gross Vehicle Weight Rating (GVWR) of
10,000 pounds (4,536 kg.) or less;
(2) A combination of motor vehicles that has a Gross Combination
Weight Rating (GCWR) of 10,000 pounds (4,536 kg.) or less;
(3) The sound generated by a warning device, such as a horn or
siren, installed in a motor vehicle, unless such device is intentionally
sounded in order to preclude an otherwise valid noise emission
measurement;
(4) An emergency motor vehicle, such as a fire engine, an ambulance,
a police van, or a rescue van, when it is responding to an emergency
call;
(5) A snow plow in operation; or
(6) The sound generated by auxiliary equipment which is normally
operated only when the motor vehicle on which it is installed is stopped
or is operating at a speed of 5 miles per hour (8 kph) or less, unless
such device is intentionally operated at speeds greater than 5 mph (8
kph) in order to preclude an otherwise valid noise measurement. Examples
of that type of auxiliary equipment include, but are not limited to,
cranes, asphalt, spreaders, ditch diggers, liquid or slurry pumps,
auxiliary air compressors, welders, and trash compactors.
Sec. 325.3 Effective date.
The rules in this part are effective on October 15, 1975.
Sec. 325.5 Definitions.
(a) Statutory definitions. All terms defined in the Noise Control
Act of 1972 (Pub. L. 92-574, 86 Stat. 1234) are used as they are defined
in that Act.
(b) Definitions in standards. All terms defined in Sec. 202.10 of
the Interstate Motor Carrier Noise Emission Standards, 40 CFR 202.10,
are used as they are defined in that section.
(c) Additional definitions. (1) Hard test site means any test site
having the ground surface covered with concrete, asphalt, packed dirt,
gravel, or similar reflective material for more than \1/2\ the distance
between the microphone target point and the microphone location point.
(2) Soft test site means any test site having the ground surface
covered with grass, other ground cover, or similar absorptive material
for \1/2\ or more of the distance between the microphone target point
and the microphone location point.
(3) Ground cover means any of various low, dense-growing plants,
such as ivy, myrtle, low weeds, or brush.
(4) Traffic railing means any longitudinal highway traffic barrier
system installed along the side or median of a highway. For the purpose
of this part, a traffic railing must have at least 35 percent of its
vertical height, from the ground surface to the top of the railing, open
to free space in order to qualify as an acceptable object within a noise
measurement test site. Further, for the purposes of this part, posts or
other discrete supports shall be ignored when ascertaining open free
space.
(5) Relatively flat when used to describe a noise measurement site
means a site which does not contain significant concave curvatures or
slope reversals that may result in the focusing of
[[Page 9]]
sound waves toward the microphone location point.
Sec. 325.7 Allowable noise levels.
Motor vehicle noise emissions, when measured according to the rules
of this part, shall not exceed the values specified in Table 1.
Table 1--Maximum Permissible Sound Level Readings (Decibel (A)) \1, 2\
----------------------------------------------------------------------------------------------------------------
Highway operation test Stationary tests
-------------------------------------------------------------------
Soft site Hard Site
--------------------------------------------
35 mi/h Above 35 35 mi/h Above 35 Soft site Hard site
or less mi/h or less mi/h
----------------------------------------------------------------------------------------------------------------
If the distance between the microphone
location point and the microphone target
point is--
31 ft ( 9.5m) or more but less than 35 87 91 89 93 89 91
ft (10.7m).............................
35 ft (10.7m) or more but less than 39 86 90 88 92 88 90
ft (11.9m).............................
39 ft (11.9m) or more but less than 43 85 89 87 91 87 89
ft (13.1m).............................
43 ft (13.1m) or more but less than 48 84 88 86 90 86 88
ft (14.6m).............................
48 ft (14.6m) or more but less than 58 83 87 85 89 85 87
ft (17.1m).............................
58 ft (17.1m) or more but less than 70 82 86 84 88 84 86
ft (21.3m).............................
70 ft (21.3m) or more but less than 83 81 85 83 87 83 85
ft (25.3m).............................
----------------------------------------------------------------------------------------------------------------
\1\ The speeds shown refer to measurements taken at sites having speed limits as indicated. These speed limits
do not necessarily have to be posted.
\2\ This table is based on motor carrier noise emission requirements specified in 40 CFR 202.20 and 40 CFR
202.21.
[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]
Sec. 325.9 Measurement tolerances.
(a) Measurement tolerances will be allowed to take into account the
effects of the following factors:
(1) The consensus standard practice of reporting filed sound level
measurements to the nearest whole decibel.
(2) Variations resulting from commercial instrument tolerances.
(3) Variations resulting from the topography of the noise
measurement site.
(4) Variations resulting from atmospheric conditions such as wind,
ambient temperature, and atmospheric pressure.
(5) Variations resulting from reflected sound from small objects
allowed within the test site.
(6) The interpretation of the effects of the above cited factors by
enforcement personnel.
(b) Measurement tolerances shall not exceed 2 decibels for a given
measurement.
Subpart B_Administrative Provisions
Sec. 325.11 Issuance, amendment, and revocation of the rules in this
part.
The procedures specified in part 389 of this chapter for the
issuance, amendment, or revocation of the Federal Motor Carrier Safety
Regulations apply to rulemaking proceedings for the issuance, amendment,
or revocation of the rules in this part.
Sec. 325.13 Inspection and examination of motor vehicles.
(a) Any special agent of the Federal Motor Carrier Safety
Administration (designated in appendix B to subchapter B of this
chapter) is authorized to inspect, examine, and test a motor vehicle
operated by a motor carrier in accordance with the procedures specified
in this part for the purpose of ascertaining whether the motor vehicle
and equipment installed on the motor vehicle conforms to the Interstate
[[Page 10]]
Motor Carrier Noise Emission Standards of the Environmental Protection
Agency, 40 CFR part 202.
(b) A motor carrier, its officers, drivers, agents, and employees
must, at any time, submit a motor vehicle used in its operations for
inspection, examination, and testing for the purpose of ascertaining
whether the motor vehicle and equipment installed on it conforms to the
Interstate Motor Carrier Noise Emission Standards of the Environmental
Protection Agency, 40 CFR part 202.
(c) Prescribed inspection report. Form MCS-141, Noise Level
Compliance Check shall be used to record findings from motor vehicles
selected for noise emission inspection by authorized employees.
(d) Motor carrier's disposition of form MCS-141. (1) The driver of
any motor vehicle receiving a Form MCS-141 shall deliver such MCS-141 to
the motor carrier operating the vehicle upon his/her arrival at the next
terminal or facility of the motor carrier, if such arrival occurs within
twenty-four (24) hours. If the driver does not arrive at a terminal or
facility of the motor carrier operating the vehicle within twenty-four
(24) hours he/she shall immediately mail the Form MCS-141 to the motor
carrier. For operating convenience, motor carriers may designate any
shop, terminal, facility, or person to which it may instruct its drivers
to deliver or forward Form MCS-141. It shall be the sole responsibility
of the motor carrier that Form MCS-141 is returned to the Federal
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.
(2) Motor carriers shall carefully examine Forms MCS-141.
Appropriate corrective action shall be taken on vehicles found to be not
in compliance with the requirements of this part.
(3) Motor carriers must complete the ``Motor Carrier Certification
of Action Taken'' on Form MCS-141 in accordance with the terms
prescribed thereon. Motor carriers must return Forms MCS-141 to the
Division Office at the address indicated on Form MCS-141 within fifteen
(15) days following the date of the vehicle inspection.
[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976;
54 FR 50385, Dec. 6, 1989; 60 FR 38743, July 28, 1995; 66 FR 49869, Oct.
1, 2001]
Subpart C_Instrumentation
Sec. 325.21 Scope of the rules in this subpart.
The rules in this subpart specify criteria for sound level
measurement systems which are used to make the sound level measurements
specified in subpart D and subpart E of this part.
Sec. 325.23 Type of measurement systems which may be used.
The sound level measurement system must meet or exceed the
requirements of American National Standard Specification for Sound Level
Meters (ANSI S1.4-1971), approved April 27, 1971, issued by the American
National Standards Institute, \1\ throughout the applicable frequency
range for either:
---------------------------------------------------------------------------
\1\ Copies of the specification may be secured from the American
National Standards Institute, 1430 Broadway, New York, New York, 10018.
---------------------------------------------------------------------------
(a) A Type 1 sound level meter;
(b) A Type 2 sound level meter; or
(c) A Type S sound level meter which has--
(1) A weighing frequency response;
(2) Fast dynamic characteristics of its indicating instrument; and
(3) A relative response level tolerance consistent with those of
either a Type 1 or Type 2 sound level meter, as specified in section 3.2
of ANSI S1.4-1971.
Sec. 325.25 Calibration of measurement systems.
(a)(1) The sound level measurement system must be calibrated and
appropriately adjusted at one or more frequencies in the range from 250
to 1,000 Hz at the beginning of each series of measurements and at
intervals of 5-15 minutes thereafter, until it has been determined that
the sound level measurement system has not significantly drifted from
its calibrated level. Once
[[Page 11]]
this fact has been established, calibrations may be made at intervals
once every hour. A significant drift shall be considered to have
occurred if a 0.3 dB or more excursion is noted from the system's
predetermined reference calibration level. In the case of systems using
displays with whole decibel increments, the operator may visually judge
when the 0.3 dB drift has been met or exceeded.
(2) The sound level measurement system must be checked periodically
by its manufacturer, a representative of its manufacturer, or a person
of equivalent special competence to verify that its accuracy meets the
manufacturer's design criteria.
(b) An acoustical calibrator of the microphone coupler type designed
for the sound level measurement system in use shall be used to calibrate
the sound level measurement system in accordance with paragraph (a) of
this section. The calibration must meet or exceed the accuracy
requirements specified in section 5.4.1 of the American National
Standard Institute Standard Methods for Measurements of Sound Pressure
Levels (ANSI S1.13-1971) for field method measurements.
[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]
Sec. 325.27 Use of a windscreen.
A properly installed windscreen, of the type recommended by the
manufacturer of the Sound Level Measurement System, shall be used during
the time that noise emission measurements are being taken.
Subpart D_Measurement of Noise Emissions; Highway Operations
Sec. 325.31 Scope of the rules in this subpart.
The rules in this subpart specify conditions and procedures for
measurement of the sound level generated by a motor vehicle engaged in a
highway operation for the purpose of ascertaining whether the motor
vehicle conforms to the Standards for Highway Operations set forth in 40
CFR 202.20.
Sec. 325.33 Site characteristics; highway operations.
(a) Measurement shall be made at a test site which is adjacent to,
and includes a portion of, a traveled lane of a public highway. A
microphone target point shall be established on the centerline of the
traveled lane of the highway, and a microphone location point shall be
established on the ground surface not less than 31 feet (9.5 m) or more
than 83 feet (25.3 m) from the microphone target point and on a line
that is perpendicular to the centerline of the traveled lane of the
highway and that passes through the microphone target point. In the case
of a standard test site, the microphone location point is 50 feet (15.2
m) from the microphone target point. Within the test site is a
triangular measurement area. A plan view diagram of a standard test
site, having an open site within a 50-foot (15.2 m) radius of both the
microphone target point and the microphone location point, is shown in
Figure 1. Measurements may be made at a test site having smaller or
greater dimensions in accordance with the rules in subpart F of this
part.
[GRAPHIC] [TIFF OMITTED] TC01AP91.010
(b) The test site must be an open site, essentially free of large
sound-reflecting objects. However, the following objects may be within
the test site, including the triangular measurement area:
(1) Small cylindrical objects such as fire hydrants or telephone or
utility poles.
(2) Rural mailboxes.
[[Page 12]]
(3) Traffic railings of any type of construction except solid
concrete barriers (see Sec. 325.5(c)(4)).
(4) One or more curbs having a vertical height of 1 foot (.3 m) or
less.
(c) The following objects may be within the test site if they are
outside of the triangular measurement area of the site:
(1) Any vertical surface (such as billboard), regardless of size,
having a lower edge more than 15 feet (4.6 m) higher than the surface of
the traveled lane of the highway.
(2) Any uniformly smooth sloping surface slanting away from the
highway (such as a rise in grade alongside the highway) with a slope
that is less than 45 degrees above the horizontal.
(3) Any surface slanting away from the highway that is 45 degrees or
more and not more than 90 degrees above the horizontal, if all points on
the surface are more than 15 feet (4.6 m) above the surface of the
traveled lane of the highway.
(d) The surface of the ground within the measurement area must be
relatively flat (see Sec. 325.5(c)(5)). The site shall be a ``soft''
test site. However, if the site is determined to be ``hard,'' the
correction factor specified in Sec. 325.75(a) of this part shall be
applied to the measurement.
(e) The traveled lane of the highway within the test site must be
dry, paved with relatively smooth concrete or asphalt, and substantially
free of--
(1) Holes or other defects which would cause a motor vehicle to emit
irregular tire, body, or chassis impact noise; and
(2) Loose material, such as gravel or sand.
(f) The traveled lane of the highway on which the microphone target
point is situated must not pass through a tunnel or underpass located
within 200 feet (61 m) of that point.
[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]
Sec. 325.35 Ambient conditions; highway operations.
(a)(1) Sound. The ambient A-weighted sound level at the microphone
location point shall be measured, in the absence of motor vehicle noise
emanating from within the clear zone, with fast meter response using a
sound level measurement system that conforms to the rules of Sec.
325.23.
(2) The measured ambient level must be 10 dB(A) or more below that
level specified in Sec. 325.7, Table 1, which corresponds to the
maximum permissible sound level reading which is applicable at the test
site at the time of testing.
(b) Wind. The wind velocity at the test shall be measured at the
beginning of each series of noise measurements and at intervals of 5-15
minutes thereafter until it has been established that the wind velocity
is essentially constant. Once this fact has been established, wind
velocity measurements may be made at intervals of once every hour. Noise
measurements may only be made if the measured wind velocity is 12 mph
(19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2 kph)
are allowed.
(c) Precipitation. Measurements are prohibited under any condition
of precipitation, however, measurements may be made with snow on the
ground. The ground surface within the measurement area must be free of
standing water.
[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976;
41 FR 28267, July 9, 1976]
Sec. 325.37 Location and operation of sound level measurement system;
highway operations.
(a) The microphone of a sound level measurement system that conforms
to the rules in Sec. 325.23 of this part shall be located at a height
of not less than 2 feet (.6 m) nor more than 6 feet (1.8 M) above the
plane of the roadway surface and not less than 3\1/2\ feet (1.1 m) above
the surface on which the microphone stands. The preferred microphone
height on flat terrain is 4 feet (1.2 m).
(b)(1) When the sound level measurement system is hand-held or is
otherwise monitored by a person located near its microphone, the holder
must orient himself/herself relative to the highway in a manner
consistent with the recommendation of the manufacturer of the sound
level measurement system.
(2) In no case shall the holder or observer be closer than 2 feet
(.6 m) from the system's microphone, nor shall he/
[[Page 13]]
she locate himself/herself between the microphone and the vehicle being
measured.
(c) The microphone of the sound level measurement system shall be
oriented toward the traveled lane of the highway at the microphone
target point at an angle that is consistent with the recommendation of
the system's manufacturer. If the manufacturer of the system does not
recommend an angle of orientation for its microphone, the microphone
shall be oriented toward the highway at an angle of not less than 70
degrees and not more than perpendicular to the horizontal plane of the
traveled lane of the highway at the microphone target point.
(d) The sound level measurement system shall be set to the A-
weighting network and ``fast'' meter response mode.
[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]
Sec. 325.39 Measurement procedure; highway operations.
(a) In accordance with the rules in this subpart, a measurement
shall be made of the sound level generated by a motor vehicle operating
through the measurement area on the traveled lane of the highway within
the test site, regardless of the highway grade, load, acceleration or
deceleration.
(b) The sound level generated by the motor vehicle is the highest
reading observed on the sound level measurement system as the vehicle
passes through the measurement area, corrected, when appropriate, in
accordance with the rules in subpart F of this part. (Table 1 in Sec.
325.7 lists the range of maximum permissible sound level readings for
various test conditions.) The sound level of the vehicle being measured
must be observed to rise at least 6 dB(A) before the maximum sound level
occurs and to fall at least 6 dB(A) after the maximum sound level occurs
in order to be considered a valid sound level reading.
[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]
Subpart E_Measurement of Noise Emissions; Stationary Test
Sec. 325.51 Scope of the rules in this subpart.
(a) The rules in this subpart specify conditions and procedures for
measuring the sound level generated by a vehicle when the vehicle's
engine is rapidly accelerated from idle to governed speed at wide open
throttle with the vehicle stationary, its transmission in neutral, and
its clutch engaged, for the purpose of ascertaining whether the motor
vehicle conforms to the Standard for Operation Under Stationary Test, 40
CFR 202.21.
(b) The rules in this subpart apply only to a motor vehicle that is
equipped with an engine speed governor.
(c) Tests conducted in accordance with the rules of this subpart may
be made on either side of the vehicle.
Sec. 325.53 Site characteristics; stationary test.
(a)(1) The motor vehicle to be tested shall be parked on the test
site. A microphone target point shall be established on the ground
surface of the site on the centerline of the lane in which the motor
vehicle is parked at a point that is within 3 feet (.9 m) of the
longitudinal position of the vehicle's exhaust system outlet(s). A
microphone location point shall be established on the ground surface not
less than 31 feet (9.5 m) and not more than 83 feet (25.3 m) from the
microphone target point. Within the test site is a triangular
measurement area. A plan view diagram of a standard test site, having an
open site within a 50-foot (15.2 m) radius of both the microphone target
point and the microphone location point, is shown in Figure 2.
[[Page 14]]
[GRAPHIC] [TIFF OMITTED] TC01AP91.011
(2) Measurements may be made at a test site having smaller or
greater dimensions in accordance with the rules in subpart F of this
part.
(b) The test site must be an open site, essentially free of large
sound-reflecting objects. However, the following objects may be within
the test site, including the triangular measurement area:
(1) Small cylindrical objects such as fire hydrants or telephone or
utility poles.
(2) Rural mailboxes.
(3) Traffic railings of any type of construction except solid
concrete barriers (see Sec. 325.5(c)(4)).
(4) One or more curbs having a height of 1 foot (.3 m) or less.
(c) The following objects may be within the test site if they are
outside of the triangular measurement area of the site:
(1) Any vertical surface, regardless of size (such as a billboard),
having a lower edge more than 15 feet (4.6 m) above the ground.
(2) Any uniformly smooth surface slanting away from the vehicle with
a slope that is less than 45 degrees above the horizontal.
(3) Any surface slanting away from the vehicle that is 45 degrees or
more and not more than 90 degrees above the horizontal, if all points on
the surface are more than 15 feet (4.6 m) above the surface of the
ground in the test site.
(d) The surface of the ground within the measurement area must be
relatively flat. (See Sec. 325.5(c)(5)). The site shall be a ``hard''
site. However, if the site is determined to be ``soft,'' the correction
factor specified in Sec. 325.75(b) of this part shall be applied to the
measurement.
[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976;
54 FR 50385, Dec. 6, 1989]
Sec. 325.55 Ambient conditions; stationary test.
(a)(1) Sound. The ambient A-weighted sound level at the microphone
location point shall be measured, in the absence of motor vehicle noise
emanating from within the clear zone, with fast meter response using a
sound level measurement system that conforms to the rules of Sec.
325.23.
(2) The measured ambient level must be 10 dB(A) or more below that
level specified in Sec. 325.7, Table 1, which corresponds to the
maximum permissible sound level reading which is applicable at the test
site at the time of testing.
(b) Wind. The wind velocity at the test site shall be measured at
the beginning of each series of noise measurements and at intervals of
5-15 minutes thereafter until it has been established that the wind
velocity is essentially constant. Once this fact has been established,
wind velocity measurements may be made at intervals of once every hour.
Noise measurements may only be made if the measured wind velocity is 12
mph (19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2
kph) are allowed.
(c) Precipitation. Measurements are prohibited under any conditions
of precipitation, however, measurements may be made with snow on the
ground. The ground within the measurement area must be free of standing
water.
[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 28267, July 9, 1976]
Sec. 325.57 Location and operation of sound level measurement systems;
stationary test.
(a) The microphone of a sound level measurement system that conforms
to the rules in Sec. 325.23 shall be located at a height of not less
than 2 feet (.6 m) nor more than 6 feet (1.8 m) above the plane of the
roadway surface and not less than 3\1/2\ feet (1.1 m) above the surface
on which the microphone stands. The preferred microphone height on flat
terrain is 4 feet (1.2 m).
[[Page 15]]
(b) When the sound level measurement system is hand-held or
otherwise monitored by a person located near its microphone, the holder
must orient himself/herself relative to the highway in a manner
consistent with the recommendation of the manufacturer of the sound
level measurement system. In no case shall the holder or observer be
closer than 2 feet (.6 m) from the system's microphone, nor shall he/she
locate himself/herself between the microphone and the vehicle being
measured.
(c) The microphone of the sound level measurement system shall be
oriented toward the vehicle at an angle that is consistent with the
recommendation of the system's manufacturer. If the manufacturer of the
system does not recommend an angle of orientation for its microphone,
the microphone shall be oriented at an angle of not less than 70 degrees
and not more than perpendicular to the horizontal plane of the test site
at the microphone target point.
(d) The sound level measurement system shall be set to the A-
weighting network and ``fast'' meter response mode.
[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]
Sec. 325.59 Measurement procedure; stationary test.
In accordance with the rules in this subpart, a measurement shall be
made of the sound level generated by a stationary motor vehicle as
follows:
(a) Park the motor vehicle on the test site as specified in Sec.
325.53 of this subpart. If the motor vehicle is a combination
(articulated) vehicle, park the combination so that the longitudinal
centerlines of the towing vehicle and the towed vehicle or vehicles are
in substantial alinement.
(b) Turn off all auxiliary equipment which is installed on the motor
vehicle and which is designed to operate under normal conditions only
when the vehicle is operating at a speed of 5 mph (8 kph) or less.
Examples of such equipment include cranes, asphalt spreaders, liquid or
slurry pumps, auxiliary air compressors, welders, and trash compactors.
(c) If the motor vehicle's engine radiator fan drive is equipped
with a clutch or similar device that automatically either reduces the
rotational speed of the fan or completely disengages the fan from its
power source in response to reduced engine cooling loads, park the
vehicle before testing with its engine running at high idle or any other
speed the operator may choose, for sufficient time but not more than 10
minutes, to permit the engine radiator fan to automatically disengage
when the vehicle's noise emissions are measured under stationary test.
(d) With the motor vehicle's transmission in neutral and its clutch
engaged, rapidly accelerate the vehicle's engine from idle to its
maximum governed speed with wide open throttle. Return the engine's
speed to idle.
(e) Observe the maximum reading on the sound level measurement
system during the time the procedures specified in paragraph (d) of this
section are followed. Record that reading, if the reading has not been
influenced by extraneous noise sources such as motor vehicles operating
on adjacent roadways.
(f) Repeat the procedures specified in paragraphs (d) and (e) of
this section until the first two maximum sound level readings that are
within 2 dB(A) of each other are recorded. Numerically average those two
maximum sound level readings. When appropriate, correct the average
figure in accordance with the rules in subpart F of this part.
(g) The average figure, corrected as appropriate, contained in
accordance with paragraph (f) of this section, is the sound level
generated by the motor vehicle for the purpose of determining whether it
conforms to the Standard for Operation Under Stationary Test, 40 CFR
202.21. (Table 1 in Sec. 325.7 lists the range of maximum permissible
sound level readings for various test conditions.)
[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976]
[[Page 16]]
Subpart F_Correction Factors
Sec. 325.71 Scope of the rules in this subpart.
(a) The rules in this subpart specify correction factors which are
added to, or subtracted from, the reading of the sound level generated
by a motor vehicle, as displayed on a sound level measurement system,
during the measurement of the motor vehicle's sound level emissions at a
test site which is not a standard site.
(b) The purpose of adding or subtracting a correction factor is to
equate the sound level reading actually generated by the motor vehicle
to the sound level reading it would have generated if the measurement
had been made at a standard test site.
Sec. 325.73 Microphone distance correction factors. \1\
---------------------------------------------------------------------------
\1\ Table 1, in Sec. 325.7 is a tabulation of the maximum allowable
sound level readings taking into account both the distance correction
factors contained in Sec. 325.73 and the ground surface correction
factors contained in Sec. 325.75.
---------------------------------------------------------------------------
If the distance between the microphone location point and the
microphone target point is other than 50 feet (15.2 m), the maximum
observed sound level reading generated by the motor vehicle in
accordance with Sec. 325.39 of this part or the numerical average of
the recorded maximum observed sound level readings generated by the
motor vehicle in accordance with Sec. 325.59 of this part shall be
corrected as specified in the following table:
Table 2--Distance Correction Factors
------------------------------------------------------------------------
The value
dB(A) to
be applied
to the
If the distance between the microphone location point and observed
the microphone target point is sound
level
reading
is--
------------------------------------------------------------------------
31 feet (9.5 m) or more but less than 35 feet (10.7 m)...... -4
35 feet (10.7 m) or more but less than 39 feet (11.9 m)..... -3
39 feet (11.9 m) or more but less than 43 feet (13.1 m)..... -2
43 feet (13.1 m) or more but less than 48 feet (14.6 m)..... -1
48 feet (14.6 m) or more but less than 58 feet (17.7 m)..... 0
58 feet (17.7 m) or more but less than 70 feet (21.3 m)..... +1
70 feet (21.3 m) or more but less than 83 feet (25.3 m)..... +2
------------------------------------------------------------------------
[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]
Sec. 325.75 Ground surface correction factors. \1\
---------------------------------------------------------------------------
\1\ Table 1, in Sec. 325.7 is a tabulation of the maximum allowable
sound level readings taking into account both the distance correction
factors contained in Sec. 325.73 and the ground surface correction
factors contained in Sec. 325.75.
---------------------------------------------------------------------------
(a) Highway operations. When measurements are made in accordance
with the rules in subpart D of this part upon a test site which is
``hard,'' a correction factor of 2 dB(A) shall be subtracted from the
maximum observed sound level reading generated by the motor vehicle to
determine whether the motor vehicle conforms to the Standards for
Highway Operations, 40 CFR 202.20.
(b) Stationary Test. When measurements are made in accordance with
the rules in subpart E of this part upon a test site which is ``soft,''
a correction factor of 2 dB(A) shall be added to the numerical average
of the recorded maximum observed sound level readings generated by the
motor vehicle to determine whether the motor vehicle conforms to the
Standard for Operation Under Stationary Test, 40 CFR 202.21.
Sec. 325.77 Computation of open site requirements--nonstandard sites.
(a) If the distance between the microphone location point and the
microphone target point is other than 50 feet (15.2 m), the test site
must be an open site within a radius from both points which is equal to
the distance between the microphone location point and the microphone
target point.
[[Page 17]]
(b) Plan view diagrams of nonstandard test sites are shown in
Figures 3 and 4. Figure 3 illustrates a test site which is larger than a
standard test site and is based upon a 60-foot (18.3 m) distance between
the microphone location point and the microphone target point. (See
Sec. 325.79(b)(1) for an example of the application of the correction
factor to a sound level reading obtained at such a site.) Figure 4
illustrates a test site which is smaller than a standard test site and
is based upon a 35-foot (10.7 m) distance between the microphone
location point and the microphone target point. (See Sec. 325.79(b)(2)
for an example of the application of the correction factor to a sound
level reading obtained at such a site.)
[GRAPHIC] [TIFF OMITTED] TC01AP91.012
[GRAPHIC] [TIFF OMITTED] TC01AP91.013
Sec. 325.79 Application of correction factors.
(a) If two correction factors apply to a measurement they are
applied cumulatively.
(b) The following examples illustrate the application of correction
factors to sound level measurement readings:
(1) Example 1--Highway operations. Assume that a motor vehicle
generates a maximum observed sound level reading of 86 dB(A) during a
measurement in accordance with the rules in subpart D of this part.
Assume also that the distance between the microphone location point and
the microphone target point is 60 feet (18.3 m) and that the measurement
area of the test site is acoustically ``hard.'' The corrected sound
level generated by the motor vehicle would be 85 dB(A), calculated as
follows:
86 dB(A) Uncorrected reading
+1 dB(A) Distance correction factor
-2 dB(A) Ground surface correction factor
----------
85 dB(A) Corrected reading
(2) Example 2--Stationary test. Assume that a motor vehicle
generates maximum sound level readings which average 88 dB(A) during a
measurement in accordance with the rules in subpart E of this part.
Assume also that the distance between the microphone location point and
the microphone target point is 35 feet (10.7 m), and that the
measurement area of the test site is acoustically ``soft.'' The
corrected sound level generated by the motor vehicle would be 87 dB(A),
calculated as follows:
88 dB(A) Uncorrected average of readings
-3 dB(A) Distance correction factor
+2 dB(A) Ground surface correction factor
----------
87 dB(A) Corrected reading
Subpart G_Exhaust Systems and Tires
Sec. 325.91 Exhaust systems.
A motor vehicle does not conform to the visual exhaust system
inspection requirements, 40 CFR 202.22, of the Interstate Motor Carrier
Noise Emission Standards, if inspection of the exhaust system of the
motor vehicle discloses that the system--
[[Page 18]]
(a) Has a defect which adversely affects sound reduction, such as
exhaust gas leaks or alteration or deterioration of muffler elements,
(small traces of soot on flexible exhaust pipe sections shall not
constitute a violation of this subpart);
(b) Is not equipped with either a muffler or other noise dissipative
device, such as a turbocharger (supercharger driven by exhaust gases);
or
(c) Is equipped with a cut-out, by-pass, or similar device, unless
such device is designed as an exhaust gas driven cargo unloading system.
Sec. 325.93 Tires.
(a) Except as provided in paragraph (b) of this section, a motor
vehicle does not conform to the visual tire inspection requirements, 40
CFR 202.23, of the Interstate Motor Carrier Noise Emissions Standards,
if inspection of any tire on which the vehicle is operating discloses
that the tire has a tread pattern composed primarily of cavities in the
tread (excluding sipes and local chunking) which are not vented by
grooves to the tire shoulder or circumferentially to each other around
the tire.
(b) Paragraph (a) of this section does not apply to a motor vehicle
operated on a tire having a tread pattern of the type specified in that
paragraph, if the motor carrier who operates the motor vehicle
demonstrates to the satisfaction of the Administrator or his/her
designee that either--
(1) The tire did not have that type of tread pattern when it was
originally manufactured or newly remanufactured; or
(2) The motor vehicle generates a maximum sound level reading of 90
dB(A) or less when measured at a standard test site for highway
operations at a distance of 15.3 meters (50 feet) and under the
following conditions:
(i) The measurement must be made at a time and place and under
conditions specified by the Administrator or his/her designee.
(ii) The motor vehicle must be operated on the same tires that were
installed on it when the inspection specified in paragraph (a) of this
section occurred.
(iii) The motor vehicle must be operated on a highway having a
posted speed limit of more than 56.3 kph (35 mph).
(iv) The sound level measurement must be made while the motor
vehicle is operating at the posted speed limit.
[40 FR 42437, Sept. 12, 1975, as amended at 60 FR 38743, July 28, 1995]
[[Page 19]]
SUBCHAPTER B_FEDERAL MOTOR CARRIER SAFETY REGULATIONS
PART 350_COMMERCIAL MOTOR CARRIER SAFETY ASSISTANCE PROGRAM--Table
of Contents
Subpart A_General
Sec.
350.101 What is the Motor Carrier Safety Assistance Program (MCSAP)?
350.103 What is the purpose of this part?
350.105 What definitions are used in this part?
350.107 What jurisdictions are eligible for MCSAP funding?
350.109 What are the national program elements?
350.111 What constitutes ``traffic enforcement'' for the purpose of the
MCSAP?
Subpart B_Requirements for Participation
350.201 What conditions must a State meet to qualify for Basic Program
Funds?
350.203 [Reserved]
350.205 How and when does a State apply for MCSAP funding?
350.207 What response does a State receive to its CVSP submission?
350.209 How does a State demonstrate that it satisfies the conditions
for Basic Program funding?
350.211 What is the format of the certification required by Sec.
350.209?
350.213 What must a State CVSP include?
350.215 What are the consequences for a State that fails to perform
according to an approved CVSP or otherwise fails to meet the
conditions of this part?
350.217 What are the consequences for a State with a CDL program not in
substantial compliance with 49 CFR part 384, subpart B?
Subpart C_Funding
350.301 What level of effort must a State maintain to qualify for MCSAP
funding?
350.303 What are the State and Federal shares of expenses incurred under
an approved CVSP?
350.305 Are U.S. Territories subject to the matching funds requirement?
350.307 How long are MCSAP funds available to a State?
350.309 What activities are eligible for reimbursement under the MCSAP?
350.311 What specific items are eligible for reimbursement under the
MCSAP?
350.313 How are MCSAP funds allocated?
350.315 How may Basic Program Funds be used?
350.317 What are Incentive Funds and how may they be used?
350.319 What are permissible uses of High Priority Activity Funds?
350.321 What are permissible uses of Border Activity Funds?
350.323 What criteria are used in the Basic Program Funds allocation?
350.325 [Reserved]
350.327 How may States qualify for Incentive Funds?
350.329 How may a State or a local agency qualify for High Priority or
Border Activity Funds?
350.331 How does a State ensure its laws and regulations are compatible
with the FMCSRs and HMRs?
350.333 What are the guidelines for the compatibility review?
350.335 What are the consequences if my State has laws or regulations
incompatible with the Federal regulations?
350.337 How may State laws and regulations governing motor carriers, CMV
drivers, and CMVs in interstate commerce differ from the
FMCSRs and still be considered compatible?
350.339 What are tolerance guidelines?
350.341 What specific variances from the FMCSRs are allowed for State
laws and regulations governing motor carriers, CMV drivers,
and CMVs engaged in intrastate commerce and not subject to
Federal jurisdiction?
350.343 How may a State obtain a new exemption for State laws and
regulations for a specific industry involved in intrastate
commerce?
350.345 How does a State apply for additional variances from the FMCSRs?
Authority: 49 U.S.C. 13902, 31100-31104, 31108, 31136, 31140-31141,
31161, 31310-31311, 31502; and 49 CFR 1.73.
Source: 65 FR 15102, Mar. 21, 2000, unless otherwise noted.
Subpart A_General
Sec. 350.101 What is the Motor Carrier Safety Assistance Program
(MCSAP)?
The MCSAP is a Federal grant program that provides financial
assistance to States to reduce the number and severity of accidents and
hazardous materials incidents involving commercial motor vehicles (CMV).
The goal of the MCSAP is to reduce CMV-involved accidents, fatalities,
and injuries through
[[Page 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.
Sec. 350.103 What is the purpose of this part?
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.
Sec. 350.105 What definitions are used in this part?
10-year average accident rate means for each State, the aggregate
number of large truck-involved fatal crashes (as reported in the
Fatality Analysis Reporting System (FARS)) for a 10-year period divided
by the aggregate vehicle miles traveled (VMT) (as defined by the Federal
Motor Carrier Safety Administration (FMCSA) ) for the same 10-year
period.
Accident rate means for each State, the total number of fatal
crashes involving large trucks (as measured by the FARS for each State)
divided by the total VMT as defined by the FMCSA for each State for all
vehicles.
Agency means Federal Motor Carrier Safety Administration.
Administrative Takedown Funds means funds deducted by the FMCSA each
fiscal year from the amount made available for the MCSAP for expenses
incurred in the administration of the MCSAP, including expenses to train
State and local government employees.
Administrator means Federal Motor Carrier Safety Administrator.
Basic Program Funds means the total MCSAP funds less the High
Priority Activity, Border Activity, Administrative Takedown, and
Incentive Funds.
Border Activity Funds 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.
Commercial motor vehicle (CMV) means a motor vehicle that has any of
the following characteristics:
(1) A gross vehicle weight (GVW), gross vehicle weight rating
(GVWR), gross combination weight (GCW), or gross combination weight
rating (GCWR) of 4,537 kilograms (10,001 pounds) or more.
(2) Regardless of weight, is designed or used to transport 16 or
more passengers, including driver.
(3) Regardless of weight, is used in the transportation of hazardous
materials and is required to be placarded pursuant to 49 CFR part 172,
subpart F.
Commercial vehicle safety plan (CVSP) means the document outlining
the State's CMV safety objectives, strategies, activities and
performance measures.
Compatible or Compatibility means State laws and regulations
applicable to interstate commerce and to intrastate movement of
hazardous materials are identical to the FMCSRs and the HMRs or have the
same effect as the FMCSRs. State laws applicable to intrastate commerce
are either identical to, or have the same effect as, the FMCSRs or fall
within the established limited variances under Sec. 350.341.
High Priority Activity Funds 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.
[[Page 21]]
Incentive Funds means funds awarded to States achieving reductions
in CMV involved fatal accidents, CMV fatal accident rate, or meeting
specified CMV safety program performance criteria.
Large truck means a truck over 10,000 pounds gross vehicle weight
rating including single unit trucks and truck tractors (FARS
definition).
Motor carrier means a for-hire motor carrier or private motor
carrier. The term includes a motor carrier's agents, officers, or
representatives responsible for hiring, supervising, training,
assigning, or dispatching a driver or concerned with the installation,
inspection, and maintenance of motor vehicle equipment or accessories or
both.
North American Standard Inspection means the methodology used by
State CMV safety inspectors to conduct safety inspections of CMVs. This
consists of various levels of inspection of the vehicle or driver or
both. The inspection criteria are developed by the FMCSA in conjunction
with the Commercial Vehicle Safety Alliance (CVSA), an association of
States, Canadian Provinces, and Mexico whose members agree to adopt
these standards for inspecting CMVs in their jurisdiction.
Sec. 350.107 What jurisdictions are eligible for MCSAP funding?
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.
Sec. 350.109 What are the national program elements?
The national program elements include the following five activities:
(a) Driver/vehicle inspections.
(b) Traffic enforcement.
(c) Compliance reviews.
(d) Public education and awareness.
(e) Data collection.
Sec. 350.111 What constitutes ``traffic enforcement'' for the purpose
of the MCSAP?
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.g., 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.
Subpart B_Requirements for Participation
Sec. 350.201 What conditions must a State meet to qualify for Basic
Program Funds?
Each State must meet the following twenty-two conditions:
(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.
(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.
(c) Designate, in its State Certification, the lead State agency
responsible for implementing the CVSP.
(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.
(e) Allocate adequate funds for the administration of the CVSP
including the enforcement of the FMCSRs, HMRs, or compatible State laws
or regulations.
[[Page 22]]
(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.
(g) Provide legal authority for a right of entry and inspection
adequate to carry out the CVSP.
(h) Prepare and submit to the FMCSA, upon request, all reports
required in connection with the CVSP or other conditions of the grant.
(i) Adopt and use the reporting standards and forms required by the
FMCSA to record work activities performed under the CVSP.
(j) Require registrants of CMVs to declare, at the time of
registration, their knowledge of applicable FMCSRs, HMRs, or compatible
State laws or regulations.
(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.
(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.
(m) Coordinate the CVSP, data collection and information systems,
with State highway safety programs under title 23 United States Code
(U.S.C.).
(n) Ensure participation in SAFETYNET and other information systems
by all appropriate jurisdictions receiving funding under this section.
(o) Ensure information is exchanged with other States in a timely
manner.
(p) Emphasize and improve enforcement of State and local traffic
laws and regulations related to CMV safety.
(q) Promote activities in support of the national program elements
listed in Sec. 350.109, including the following three activities:
(1) Activities aimed at removing impaired CMV drivers from the
highways through adequate enforcement of restrictions on the use of
alcohol and controlled substances and by ensuring ready roadside access
to alcohol detection and measuring equipment.
(2) Activities aimed at providing an appropriate level of training
to MCSAP personnel to recognize drivers impaired by alcohol or
controlled substances.
(3) Interdiction activities affecting the transportation of
controlled substances by CMV drivers and training on appropriate
strategies for carrying out those interdiction activities.
(r) Enforce requirements relating to the licensing of CMV drivers,
including checking the status of commercial drivers' licenses (CDL).
(s) Require the proper and timely correction of all CMV safety
violations noted during inspections carried out with MCSAP funds.
(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.
(2) Enforce financial responsibility requirements under 49 U.S.C.
13906, 31138, 31139, and 49 CFR part 387.
(u) Adopt and maintain consistent, effective, and reasonable
sanctions for violations of CMV, driver, and hazardous materials
regulations.
(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.
[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 55165, Aug. 28, 2002;
67 FR 61820, Oct. 2, 2002]
Sec. 350.203 [Reserved]
Sec. 350.205 How and when does a State apply for MCSAP funding?
(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.
(b) This deadline may, for good cause, be extended by the State
Director for a period not to exceed 30 calendar days.
(c) For a State to receive funding, the CVSP must be complete and
include all required documents.
[[Page 23]]
Sec. 350.207 What response does a State receive to its CVSP submission?
(a) The FMCSA will notify the State, in writing, within 30 days of
receipt of the CVSP whether:
(1) The plan is approved.
(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.
(b) If approval is withheld, the State will have 30 days from the
date of the notice to modify and resubmit the plan.
(c) Disapproval of a resubmitted plan is final.
(d) Any State aggrieved by an adverse decision under this section
may seek judicial review under 5 U.S.C. chapter 7.
Sec. 350.209 How does a State demonstrate that it satisfies the
conditions for Basic Program funding?
(a) The Governor, the State's Attorney General, or other State
official specifically designated by the Governor, must execute a State
Certification as described in Sec. 350.211.
(b) The State must submit the State Certification along with its
CVSP, and supplement it with a copy of any State law, regulation, or
form pertaining to CMV safety adopted since the State's last
certification that bears on the items contained in Sec. 350.201 of this
subpart.
Sec. 350.211 What is the format of the certification required by
Sec. 350.209?
The State's certification must be consistent with the following
content:
I (name), (title), on behalf of the State (or Commonwealth) of
(State), as requested by the Administrator as a condition of approval of
a grant under the authority of 49 U.S.C. 31102, as amended, do hereby
certify as follows:
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.
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.
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.
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.
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.
6. The State has uniform reporting requirements and uses FMCSA
designated forms for record keeping, inspection, and other enforcement
activities.
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.
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:
(a) Motor carrier safety programs in accordance with 49 CFR 350.301.
(b) Size and weight enforcement programs.
(c) Traffic safety.
(d) Drug interdiction enforcement programs.
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.
10. The State will ensure that violation fines imposed and collected
by the State are consistent, effective, and equitable.
11. The State will ensure it has a program for timely and
appropriate correction of all violations discovered during inspections
conducted using MCSAP funds.
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
[[Page 24]]
through whom coordination was accomplished) is ------------. (Name)
13. The State participates in SAFETYNET and ensures information is
exchanged with other States in a timely manner.
14. The State has undertaken efforts to emphasize and improve
enforcement of State and local traffic laws as they pertain to CMV
safety.
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.
16. The State will ensure that requirements relating to the
licensing of CMV drivers are enforced, including checking the status of
CDLs.
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.
Date____________________________________________________________________
Signature_______________________________________________________________
[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 12779, Mar. 19, 2002;
67 FR 61820, Oct. 2, 2002]
Sec. 350.213 What must a State CVSP include?
The State's CVSP must reflect a performance-based program, and
contain the following eighteen items:
(a) A general overview section that must include the following two
items:
(1) A statement of the State agency goal or mission.
(2) A program summary of the effectiveness of the prior years'
activities in reducing CMV accidents, injuries and fatalities, and
improving driver and motor carrier safety performance. Data periods used
must be consistent from year to year. This may be calendar year or
fiscal year or any 12-month period of time for which the State's data is
current. The summary must show trends supported by safety and program
performance data collected over several years. It must identify safety
or performance problems in the State and those problems must be
addressed in the new or modified CVSP.
(b) A brief narrative describing how the State program addresses the
national program elements listed in Sec. 350.109. The plan must address
these elements even if there are no planned activities in a program
area. The rationale for the resource allocation decision must be
explained. The narrative section must include a description of how the
State supports the activities identified in Sec. 350.201(q) and (t).
(1) Activities aimed at removing impaired CMV drivers from the
highways through adequate enforcement of restrictions on the use of
alcohol and controlled substances and by ensuring ready roadside access
to alcohol detection and measuring equipment.
(2) Activities aimed at providing an appropriate level of training
to MCSAP personnel to recognize drivers impaired by alcohol or
controlled substances.
(3) Interdiction activities affecting the transportation of
controlled substances by CMV drivers and training on appropriate
strategies for carrying out those interdiction activities.
(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.
(c) A definitive problem statement for each objective, supported by
data or other information. The CVSP must identify the source of the
data, and who is responsible for its collection, maintenance, and
analysis.
(d) Performance objectives, stated in quantifiable terms, to be
achieved through the State plan. Objectives must include a measurable
reduction in highway accidents or hazardous materials incidents
involving CMVs. The objective may also include documented improvements
in other program areas (e.g., legislative or regulatory authority,
enforcement results, or resource allocations).
(e) Strategies to be employed to achieve performance objectives.
Strategies may include education, enforcement, legislation, use of
technology and improvements to safety infrastructure.
(f) Specific activities intended to achieve the stated strategies
and objectives. Planned activities must be eligible under this program
as defined in Sec. Sec. 350.309 and 350.311.
[[Page 25]]
(g) Specific quantifiable performance measures, as appropriate.
These performance measures will be used to assist the State in
monitoring the progress of its program and preparing an annual
evaluation.
(h) A description of the State's method for ongoing monitoring of
the progress of its plan. This should include who will conduct the
monitoring, the frequency with which it will be carried out, and how and
to whom reports will be made.
(i) An objective evaluation that discusses the progress towards
individual objectives listed under the ``Performance Objectives''
section of the previous year's CVSP and identifies any safety or
performance problems discovered. States will identify those problems as
new objectives or make modifications to the existing objectives in the
next CVSP.
(j) A budget which supports the CVSP, describing the expenditures
for allocable costs such as personnel and related costs, equipment
purchases, printing, information systems costs, and other eligible costs
consistent with Sec. Sec. 350.311 and 350.309.
(k) A budget summary form including planned expenditures for that
fiscal year and projected number of activities in each national program
element, except data collection.
(l) The results of the annual review to determine the compatibility
of State laws and regulations with the FMCSRs and HMRs.
(m) A copy of any new law or regulation affecting CMV safety
enforcement that was enacted by the State since the last CVSP was
submitted.
(n) Executed State Certification as outlined in Sec. 350.211.
(o) Executed MCSAP-1 form.
(p) List of MCSAP contacts.
(q) Annual Certification of Compatibility, Sec. 350.331.
(r) State Training Plan.
[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 61820, Oct. 2, 2002; 67
FR 63019, Oct. 9, 2002]
Sec. 350.215 What are the consequences for a State that fails to perform
according to an approved CVSP or otherwise fails to meet the conditions
of this part?
(a) If a State is not performing according to an approved plan or
not adequately meeting conditions set forth in Sec. 350.201, the
Administrator may issue a written notice of proposed determination of
nonconformity to the Governor of the State or the official designated in
the plan. The notice will set forth the reasons for the proposed
determination.
(b) The State will have 30 days from the date of the notice to
reply. The reply must address the deficiencies or incompatibility cited
in the notice and provide documentation as necessary.
(c) After considering the State's reply, the Administrator will make
a final decision.
(d) In the event the State fails timely to reply to a notice of
proposed determination of nonconformity, the notice becomes the
Administrator's final determination of nonconformity.
(e) Any adverse decision will result in immediate cessation of
Federal funding under this part.
(f) Any State aggrieved by an adverse decision under this section
may seek judicial review under 5 U.S.C. chapter 7.
Sec. 350.217 What are the consequences for a State with a CDL program
not in substantial compliance with 49 CFR part 384, subpart B?
(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.
(b) Withheld MCSAP grant funds will be restored to the State if the
State meets the conditions of Sec. 384.403(b) of this subchapter.
[67 FR 49755, July 31, 2002]
[[Page 26]]
Subpart C_Funding
Sec. 350.301 What level of effort must a State maintain to qualify for
MCSAP funding?
(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.
(b) Determination of a State's level of effort must not include the
following three things:
(1) Federal funds received for support of motor carrier and
hazardous materials safety enforcement.
(2) State matching funds.
(3) State funds used for federally sponsored demonstration or pilot
CMV safety programs.
(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.
Sec. 350.303 What are the State and Federal shares of expenses incurred
under an approved CVSP?
(a) The FMCSA will reimburse up to 80 percent of the eligible costs
incurred in the administration of an approved CVSP.
(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.
Sec. 350.305 Are U.S. Territories subject to the matching funds
requirement?
The Administrator waives the requirement for matching funds for the
Virgin Islands, American Samoa, Guam, and the Commonwealth of the
Northern Mariana Islands.
Sec. 350.307 How long are MCSAP funds available to a State?
The funds obligated to a State will remain available for the rest of
the fiscal year in which they were obligated and the next full fiscal
year. The State must account for any prior year's unexpended funds in
the annual CVSP. Funds must be expended in the order in which they are
obligated.
Sec. 350.309 What activities are eligible for reimbursement under the
MCSAP?
The primary activities eligible for reimbursement are:
(a) The five national program elements listed in Sec. 350.109 of
this part.
(b) Sanitary food transportation inspections performed under 49
U.S.C. 5708.
(c) The following three activities, when accompanied by an
appropriate North American Standard Inspection and inspection report:
(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.
(2) Detection of the unlawful presence of controlled substances in a
CMV or on the driver or any occupant of a CMV.
(3) Enforcement of State traffic laws and regulations designed to
promote the safe operation of CMVs.
Sec. 350.311 What specific items are eligible for reimbursement under
the MCSAP?
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:
(a) Personnel expenses, including recruitment and screening,
training, salaries and fringe benefits, and supervision.
(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.
[[Page 27]]
(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.g., rent
and overhead).
(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.
(e) Clerical and administrative expenses, to the extent necessary
and directly attributable to the MCSAP.
(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.
Sec. 350.313 How are MCSAP funds allocated?
(a) After deducting administrative expenses authorized in 49 U.S.C.
31104(e), the MCSAP funds are allocated as follows:
(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.
(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.
(3) The remaining funds will be allocated among qualifying States in
two ways:
(i) As Basic Program Funds in accordance with Sec. 350.323 of this
part,
(ii) As Incentive Funds in accordance with Sec. 350.327 of this
part.
(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.
(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.
Sec. 350.315 How may Basic Program Funds be used?
Basic Program Funds may be used for any eligible activity or item
consistent with Sec. Sec. 350.309 and 350.311.
Sec. 350.317 What are Incentive Funds and how may they be used?
Incentive Funds are monies, in addition to Basic Program Funds,
provided to States that achieve reduction in CMV-involved fatal
accidents, CMV fatal accident rate, or that meet specified CMV safety
performance criteria. Incentive Funds may be used for any eligible
activity or item consistent with Sec. Sec. 350.309 and 350.311.
Sec. 350.319 What are permissible uses of High Priority Activity Funds?
(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:
(1) Implement, promote, and maintain national programs to improve
CMV safety.
(2) Increase compliance with CMV safety regulations.
(3) Increase public awareness about CMV safety.
(4) Provide education on CMV safety and related issues.
(5) Demonstrate new safety related technologies.
(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.
(c) The FMCSA will notify the States when such funds are available.
(d) The Administrator may designate up to 5 percent of the annual
MCSAP funding for these projects and activities.
Sec. 350.321 What are permissible uses of Border Activity Funds?
(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.
(b) These funds will be allocated, at the discretion of the FMCSA,
to States, local governments, and other
[[Page 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.
Sec. 350.323 What criteria are used in the Basic Program Funds
allocation?
(a) The funds are distributed proportionally to the States using the
following four, equally weighted (25 percent), factors.
(1) 1997 Road miles (all highways) as defined by the FMCSA.
(2) All vehicle miles traveled (VMT) as defined by the FMCSA.
(3) Population--annual census estimates as issued by the U.S. Census
Bureau.
(4) Special fuel consumption (net after reciprocity adjustment) as
defined by the FMCSA.
(b) Distribution of Basic Program Funds is subject to a maximum and
minimum allocation as illustrated in the Table to this section, as
follows:
Table to Sec. 350.323(b)--Basic Program Fund Allocation Limitations
------------------------------------------------------------------------
Recipient Maximum allocation Minimum allocation
------------------------------------------------------------------------
States and Puerto Rico...... 4.944% of the Basic $350,000 or 0.44% of
Program Funds. Basic Program
Funds, whichever is
greater.
-----------------------------
U.S. Territories............ $350,000 (fixed amount)
------------------------------------------------------------------------
Sec. 350.325 [Reserved]
Sec. 350.327 How may States qualify for Incentive Funds?
(a) A State may qualify for Incentive Funds if it can demonstrate
that its CMV safety program has shown improvement in any or all of the
following five categories:
(1) Reduction of large truck-involved fatal accidents.
(2) Reduction of large truck-involved fatal accident rate or
maintenance of a large truck-involved fatal accident rate that is among
the lowest 10 percent of such rates of MCSAP recipients.
(3) Upload of CMV accident reports in accordance with current FMCSA
policy guidelines.
(4) Verification of CDLs during all roadside inspections.
(5) Upload of CMV inspection data in accordance with current FMCSA
policy guidelines.
(b) Incentive Funds will be distributed based upon the five
following safety and program performance factors:
(1) Five shares will be awarded to States that reduce the number of
large truck-involved fatal accidents for the most recent calendar year
for which data are available when compared to the 10-year average number
of large truck-involved fatal accidents ending with the preceding year.
The 10-year average will be computed from the number of large truck-
involved fatal crashes, as reported by the FARS, administered by the
National Highway Traffic Safety Administration (NHTSA).
(2) Four shares will be awarded to States that reduce the fatal-
accident rate for the most recent calendar year for which data are
available when compared to each State's average fatal accident rate for
the preceding 10-year period. States with the lowest 10 percent of
accident rates in the most recent calendar year for which data are
available will be awarded three shares if the rate for the State is the
same as its average accident rate for the preceding 10-year period.
(3) Two shares will be awarded to States that upload CMV accident
data within FMCSA policy guidelines.
(4) Two shares will be awarded to States that certify their MCSAP
inspection agencies have departmental policies that stipulate CDLs are
verified, as part of the inspection process, through Commercial Driver's
License Information System (CDLIS), National Law Enforcement Tracking
System (NLETS), or the State licensing authority.
[[Page 29]]
(5) Two shares will be awarded to States that upload CMV inspection
reports within current FMCSA policy guidelines.
(c) The total of all States' shares awarded will be divided into the
dollar amount of Incentive Funds available, thereby establishing the
value of one share. Each State's incentive allocation will then be
determined by multiplying the State's percentage participation in the
formula allocation of Basic Program Funds, by the number of shares it
received that year, multiplied by the dollar value of one share.
(d) States may use Incentive Funds for any eligible CMV safety
purpose.
(e) Incentive Funds are subject to the same State matching
requirements as Basic Program Funds.
(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.
Sec. 350.329 How may a State or a local agency qualify for High Priority
or Border Activity Funds?
(a) States must meet the requirements of Sec. 350.201, as
applicable.
(b) Local agencies must meet the following nine conditions:
(1) Prepare a proposal in accordance with Sec. 350.213, as
applicable.
(2) Coordinate the proposal with the State lead MCSAP agency to
ensure the proposal is consistent with State and national CMV safety
program priorities.
(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.
(4) Designate a person who will be responsible for implementation,
reporting, and administering the approved proposal and will be the
primary contact for the project.
(5) Agree to fund up to 20 percent of the proposed request.
(6) Agree to prepare and submit all reports required in connection
with the proposal or other conditions of the grant.
(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.
(8) Certify that the local agency will impose sanctions for
violations of CMV and driver laws and regulations that are consistent
with those of the State.
(9) Certify participation in national data bases appropriate to the
project.
Sec. 350.331 How does a State ensure its laws and regulations are
compatible with the FMCSRs and HMRs?
(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.
(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.
(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 Sec. 350.213(l) along with a
certification of compliance, no later than August 1 of each year. The
report must include the following two items:
(1) A copy of the State law, regulation, or policy relating to CMV
safety that was adopted since the State's last report.
(2) A certification, executed by the State's Governor, Attorney
General, or other State official specifically designated by the
Governor, stating that the annual review was performed and that State
CMV safety laws remain compatible with the FMCSRs and HMRs. If State CMV
laws are no longer compatible, the certifying official shall explain.
(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.
[[Page 30]]
Sec. 350.333 What are the guidelines for the compatibility review?
(a) The State law or regulation must apply to all segments of the
motor carrier industry (i.e., for-hire and private motor carriers of
property and passengers).
(b) Laws and regulations reviewed for the CDL compliance report are
excluded from the compatibility review.
(c) Definitions of words or terms must be consistent with those in
the FMCSRs and HMRs.
(d) A State must identify any law or regulation that is not the same
as the corresponding Federal regulation and evaluate it in accordance
with the table to this section as follows:
Table to Sec. 350.333--Guidelines for the State Law and Regulation Compatibility Review
----------------------------------------------------------------------------------------------------------------
Law or regulation has same effect Applies to interstate Less stringent or more
as corresponding Federal regulation or intrastate commerce stringent Action authorized
----------------------------------------------------------------------------------------------------------------
(1) Yes............................ ...................... ...................... Compatible--Interstate and
intrastate commerce
enforcement authorized.
(2) No............................. Intrastate............ ...................... Refer to Sec. 350.341
(3) No............................. Interstate............ Less stringent........ Enforcement prohibited.
(4) No............................. Interstate............ More stringent........ Enforcement authorized if
the State can demonstrate
the law or regulation has
a safety benefit or does
not create an undue burden
upon interstate commerce
(See 49 CFR Part 355).
----------------------------------------------------------------------------------------------------------------
Sec. 350.335 What are the consequences if my State has laws or
regulations incompatible with the Federal regulations?
(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.
(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.
(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.
(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 Sec. 350.215 for
withdrawal of eligibility for all Basic Program and Incentive Funds.
(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 Sec. 350.215.
Sec. 350.337 How may State laws and regulations governing motor
carriers, CMV drivers, and CMVs in interstate commerce differ
from the FMCSRs and still be considered compatible?
States are not required to adopt 49 CFR parts 398 and 399, subparts
A through E and H of part 107, and Sec. Sec. 171.15 and 171.16, as
applicable to either interstate or intrastate commerce.
[[Page 31]]
Sec. 350.339 What are tolerance guidelines?
Tolerance guidelines set forth the limited deviations from the
FMCSRs allowed in your State's laws and regulations. These variances
apply only to motor carriers, CMV drivers and CMVs engaged in intrastate
commerce and not subject to Federal jurisdiction.
Sec. 350.341 What specific variances from the FMCSRs are allowed for
State laws and regulations governing motor carriers, CMV drivers, and
CMVs engaged in intrastate commerce and not subject to Federal
jurisdiction?
(a) A State may exempt a CMV from all or part of its laws or
regulations applicable to intrastate commerce, provided that neither the
GVW, GVWR, GCW, nor GCWR of the vehicle equals or exceeds 11,801 kg
(26,001 lbs.). However, a State may not exempt a CMV from such laws or
regulations if the vehicle:
(1) Transports hazardous materials requiring a placard.
(2) Is designed or used to transport 16 or more people, including
the driver.
(b) State laws and regulations applicable to intrastate commerce may
not grant exemptions based upon the type of transportation being
performed (e.g., for-hire, private, etc.).
(c) A State may retain those exemptions from its motor carrier
safety laws and regulations that were in effect before April, 1988, are
still in effect, and apply to specific industries operating in
intrastate commerce.
(d) State laws and regulations applicable to intrastate commerce
must not include exemptions based upon the distance a motor carrier or
driver operates from the work reporting location. This prohibition does
not apply to those exemptions already contained in the FMCSRs nor to the
extension of the mileage radius exemption contained in 49 CFR 395.1(e)
from 100 to 150 miles.
(e) Hours of service--State hours-of-service limitations applied to
intrastate transportation may vary to the extent of allowing the
following:
(1) A 12-hour driving limit, provided driving a CMV after having
been on duty more than 16 hours is prohibited.
(2) Driving prohibitions for drivers who have been on duty 70 hours
in 7 consecutive days or 80 hours in 8 consecutive days.
(f) Age of CMV driver--All CMV drivers must be at least 18 years of
age.
(g) Grandfather clauses--States may provide grandfather clauses in
their rules and regulations if such exemptions are uniform or in
substantial harmony with the FMCSRs and provide an orderly transition to
full regulatory adoption at a later date.
(h) Driver qualifications:
(1) Intrastate drivers who do not meet the physical qualification
standards in 49 CFR 391.41 may continue to be qualified to operate a CMV
in intrastate commerce if the following three conditions are met:
(i) The driver was qualified under existing State law or regulation
at the time the State adopted physical qualification standards
compatible with the Federal standards in 49 CFR 391.41.
(ii) The otherwise non-qualifying medical or physical condition has
not substantially worsened.
(iii) No other non-qualifying medical or physical condition has
developed.
(2) The State may adopt or continue programs granting variances to
intrastate drivers with medical or physical conditions that would
otherwise be non-qualifying under the State's equivalent of 49 CFR
391.41 if the variances are based upon sound medical judgment combined
with appropriate performance standards ensuring no adverse affect on
safety.
Sec. 350.343 How may a State obtain a new exemption for State laws and
regulations for a specific industry involved in intrastate commerce?
The FMCSA strongly discourages exemptions for specific industries,
but will consider such requests if the State submits documentation
containing information supporting evaluation of the following 10
factors:
(a) Type and scope of the industry exemption requested, including
percentage of industry affected, number of vehicles, mileage traveled,
number of companies involved.
(b) Type and scope of the requirement to which the exemption would
apply.
[[Page 32]]
(c) Safety performance of that specific industry (e.g., accident
frequency, rates and comparative figures).
(d) Inspection information (e.g., number of violations per
inspection, driver and vehicle out-of-service information).
(e) Other CMV safety regulations enforced by other State agencies
not participating in the MCSAP.
(f) Commodity transported (e.g., livestock, grain).
(g) Similar variations granted and the circumstances under which
they were granted.
(h) Justification for the exemption.
(i) Identifiable effects on safety.
(j) State's economic environment and its ability to compete in
foreign and domestic markets.
Sec. 350.345 How does a State apply for additional variances from the
FMCSRs?
Any State may apply to the Administrator for a variance from the
FMCSRs for intrastate commerce. The variance will be granted only if the
State satisfactorily demonstrates that the State law, regulation or
enforcement practice:
(a) Achieves substantially the same purpose as the similar Federal
regulation.
(b) Does not apply to interstate commerce.
(c) Is not likely to have an adverse impact on safety.
PART 355_COMPATIBILITY OF STATE LAWS AND REGULATIONS AFFECTING INTERSTATE
MOTOR CARRIER OPERATIONS--Table of Contents
Subpart A_General Applicability and Definitions
Sec.
355.1 Purpose.
355.3 Applicability.
355.5 Definitions.
Subpart B_Requirements
355.21 Regulatory review.
355.23 Submission of results.
355.25 Adopting and enforcing compatible laws and regulations.
Appendix A to Part 355--Guidelines for the Regulatory Review
Authority: 49 U.S.C. 504 and 31101 et seq.; 49 CFR 1.73.
Source: 57 FR 40962, Sept. 8, 1992, unless otherwise noted.
Editorial Note: Nomenclature changes to part 355 appear at 66 FR
49870, Oct. 1, 2001.
Subpart A_General Applicability and Definitions
Sec. 355.1 Purpose.
(a) To promote adoption and enforcement of State laws and
regulations pertaining to commercial motor vehicle safety that are
compatible with appropriate parts of the Federal Motor Carrier Safety
Regulations.
(b) To provide guidelines for a continuous regulatory review of
State laws and regulations.
(c) To establish deadlines for States to achieve compatibility with
appropriate parts of the Federal Motor Carrier Safety Regulations with
respect to interstate commerce.
Sec. 355.3 Applicability.
These provisions apply to any State that adopts or enforces laws or
regulations pertaining to commercial motor vehicle safety in interstate
commerce.
Sec. 355.5 Definitions.
Unless specifically defined in this section, terms used in this part
are subject to the definitions in 49 CFR 390.5.
Compatible or Compatibility means that State laws and regulations
applicable to interstate commerce and to intrastate movement of
hazardous materials are identical to the FMCSRs and the HMRs or have the
same effect as the FMCSRs; and that State laws applicable to intrastate
commerce are either identical to, or have the same effect as, the FMCSRs
or fall within the established limited variances under Sec. Sec.
350.341, 350.343, and 350.345 of this subchapter.
Federal Hazardous Materials Regulations (FMHRs) means those safety
regulations which are contained in parts 107, 171-173, 177, 178 and 180,
except part 107 and Sec. Sec. 171.15 and 171.16.
Federal Motor Carrier Safety Regulations (FMCSRs) means those safety
regulations which are contained in parts
[[Page 33]]
390, 391, 392, 393, 395, 396, and 397 of this subchapter.
State means a State of the United States, the District of Columbia,
the Commonwealth of Puerto Rico, the Commonwealth of the Northern
Mariana Islands, American Samoa, Guam and the Virgin Islands.
[57 FR 40962, Sept. 8, 1992, as amended at 65 FR 15109, Mar. 21, 2000]
Subpart B_Requirements
Sec. 355.21 Regulatory review.
(a) General. Each State shall annually analyze its laws and
regulations, including those of its political subdivisions, which
pertain to commercial motor vehicle safety to determine whether its laws
and regulations are compatible with the Federal Motor Carrier Safety
Regulations. Guidelines for the regulatory review are provided in the
appendix to this part.
(b) Responsibility. The State agency designated as lead agency for
the administration of grants made pursuant to part 350 of this
subchapter is responsible for reviewing and analyzing State laws and
regulations for compliance with this part. In the absence of an
officially designated Motor Carrier Safety Assistance Program (MCSAP)
lead agency or in its discretion, the State shall designate another
agency responsible to review and determine compliance with these
regulations.
(c) State review. (1) The State shall determine which of its laws
and regulations pertaining to commercial motor vehicle safety are the
same as the Federal Motor Carrier Safety or Federal Hazardous Materials
Regulations. With respect to any State law or regulation which is not
the same as the FMCSRs (FHMRs must be identical), the State shall
identify such law or regulation and determine whether:
(i) It has the same effect as a corresponding section of the Federal
Motor Carrier Safety Regulations;
(ii) It applies to interstate commerce;
(iii) It is more stringent than the FMCSRs in that it is more
restrictive or places a greater burden on any entity subject to its
provisions.
(2) If the inconsistent State law or regulation applies to
interstate commerce and is more stringent than the FMCSRs, the State
shall determine:
(i) The safety benefits associated with such State law or
regulation; and
(ii) The effect of the enforcement of such State law or regulation
on interstate commerce.
(3) If the inconsistent State law or regulation does not apply to
interstate commerce or is less stringent than the FMCSRs, the guidelines
for participation in the Motor Carrier Safety Assistance Program in
Sec. Sec. 350.341, 350.343, and 350.345 of this subchapter shall apply.
[57 FR 40962, Sept. 8, 1992, as amended at 65 FR 15109, Mar. 21, 2000]
Sec. 355.23 Submission of results.
Each State shall submit the results of its regulatory review
annually with its certification of compliance under Sec. 350.209 of
this subchapter. It shall submit the results of the regulatory review
with the certification no later than August 1 of each year with the
Commercial Vehicle Safety Plan (CVSP). The State shall include copies of
pertinent laws and regulations.
[65 FR 15109, Mar. 21, 2000]
Sec. 355.25 Adopting and enforcing compatible laws and regulations.
(a) General. No State shall have in effect or enforce any State law
or regulation pertaining to commercial motor vehicle safety in
interstate commerce which the Administrator finds to be incompatible
with the provisions of the Federal Motor Carrier Safety Regulations.
(b) New state requirements. No State shall implement any changes to
a law or regulation which makes that or any other law or regulation
incompatible with a provision of the Federal Motor Carrier Safety
Regulations.
(c) Enforcement. To enforce compliance with this section, the
Administrator will initiate a rulemaking proceeding under part 389 of
this subchapter to declare the incompatible State law or regulation
pertaining to commercial motor vehicle safety unenforceable in
interstate commerce.
(d) Waiver of determination. Any person (including any State) may
petition for a waiver of a determination made
[[Page 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.
(e) Consolidation of proceedings. The Administrator may consolidate
any action to enforce this section with other proceedings required under
this section if the Administrator determines that such consolidation
will not adversely affect any party to any such proceeding.
Appendix A to Part 355--Guidelines for the Regulatory Review
Each State shall review its laws and regulations to achieve
compatibility with the Federal Motor Carrier Safety Regulations
(FMCSRs). Each State shall consider all related requirements on
enforcement of the State's motor carrier safety regulations. The
documentation shall be simple and brief.
Scope
The State review required by Sec. 355.21 may be limited to those
laws and regulations previously determined to be incompatible in the
report of the Commercial Motor Vehicle Safety Regulatory Review Panel
issued in August 1990, or by subsequent determination by the
Administrator under this part, and any State laws or regulations enacted
or issued after August 1990.
Applicability
The requirements must apply to all segments of the motor carrier
industry common, contract, and private carriers of property and for-hire
carriers of passengers.
Definitions
Definitions of terms must be consistent with those in the FMCSRs.
Driver Qualifications
Require a driver to be properly licensed to drive a commercial motor
vehicle; require a driver to be in good physical health, at least 21
years of age, able to operate a vehicle safely, and maintain a good
driving record; prohibit drug and alcohol abuse; require a motor carrier
to maintain a driver qualification file for each driver; and require a
motor carrier to ensure that a driver is medically qualified.
Note: The requirements for testing apply only to drivers of
commercial motor vehicles as defined in 49 CFR part 383.
Driving of Motor Vehicles
Prohibit possession, use, or driving under the influence of alcohol
or other controlled substances (while on duty); and establish 0.04
percent as the level of alcohol in the blood at which a driver is
considered under the influence of alcohol.
Parts and Accessories Necessary for Safe Operation
Require operational lights and reflectors; require systematically
arranged and installed wiring; and require brakes working at the
required performance level, and other key components included in 49 CFR
part 393.
Hours of Service of Drivers
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.
Require a driver to prepare a record-of-duty status for each 24-hour
period. The driver and motor carrier must retain the records.
Inspection and Maintenance
Prohibit a commercial motor vehicle from being operated when it is
likely to cause an accident or a breakdown; require the driver to
conduct a walk-around inspection of the vehicle before driving it to
ensure that it can be safely operated; require the driver to prepare a
driver vehicle inspection report; and require commercial motor vehicles
to be inspected at least annually.
Hazardous Materials
Require a motor carrier or a person operating a commercial motor
vehicle transporting hazardous materials to follow the safety and
hazardous materials requirements.
State Determinations
1. Each State must determine whether its requirements affecting
interstate motor carriers are ``less stringent'' than the Federal
requirements. ``Less stringent'' requirements represent either gaps in
the State requirements in relation to the Federal requirements as
summarized under item number one in this appendix or State requirements
which are less restrictive than the Federal requirements.
a. An example of a gap is when a State does not have the authority
to regulate the safety of for-hire carriers of passengers or
[[Page 35]]
has the authority but chooses to exempt the carrier.
b. An example of a less restrictive State requirement is when a
State allows a person under 21 years of age to operate a commercial
motor vehicle in interstate commerce.
2. Each State must determine whether its requirements affecting
interstate motor carriers are ``more stringent'' than the Federal
requirements: ``More stringent'' requirements are more restrictive or
inclusive in relation to the Federal requirements as summarized under
item number one in this appendix. For example, a requirement that a
driver must have 2 days off after working 5 consecutive days. The State
would demonstrate that its more stringent requirements:
a. Have a ``safety benefit;'' for example, result in fewer accidents
or reduce the risk of accidents;
b. do not create ``an undue burden on interstate commerce,'' e.g.,
do not delay, interfere with, or increase that cost or the
administrative burden for a motor carrier transporting property or
passengers in interstate commerce; and
c. Are otherwise compatible with Federal safety requirements.
3. A State must adopt and enforce in a consistent manner the
requirements referenced in the above guidelines in order for the FMCSA
to accept the State's determination that it has compatible safety
requirements affecting interstate motor carrier operations. Generally,
the States would have up to 3 years from the effective date of the new
Federal requirement to adopt and enforce compatible requirements. The
FMCSA would specify the deadline when promulgating future Federal safety
requirements. The requirements are considered of equal importance.
[57 FR 40962, Sept. 8, 1992, as amended by 58 FR 33776, June 21, 1993;
62 FR 37151, July 11, 1997; 65 FR 15110, Mar. 21, 2000]
PART 356_MOTOR CARRIER ROUTING REGULATIONS--Table of Contents
Sec.
356.1 Authority to serve a particular area--construction.
356.3 Regular route motor passenger service.
356.5 Traversal authority.
356.7 Tacking.
356.9 Elimination of routing restrictions--regular route carriers.
356.11 Elimination of gateways--regular and irregular route carriers.
356.13 Redesignated highways.
Authority: 5 U.S.C. 553; 49 U.S.C. 13301 and 13902; and 49 CFR 1.73.
Source: 62 FR 32041, June 12, 1997, unless otherwise noted.
Editorial Note: Nomenclature changes to part 356 appear at 66 FR
49870, Oct. 1, 2001.
Sec. 356.1 Authority to serve a particular area--construction.
(a) Service at municipality. A motor carrier of property, motor
passenger carrier of express, and freight forwarder authorized to serve
a municipality may serve all points within that municipality's
commercial zone not beyond the territorial limits, if any, fixed in such
authority.
(b) Service at unincorporated community. A motor carrier of
property, motor passenger carrier of express, and freight forwarder,
authorized to serve an unincorporated community having a post office of
the same name, may serve all points in the United States not beyond the
territorial limits, if any, fixed in such authority, as follows:
(1) All points within 3 miles of the post office in such
unincorporated community if it has a population of less than 2,500;
within 4 miles if it has a population of 2,500 but less than 25,000; and
within 6 miles if it has a population of 25,000 or more;
(2) At all points in any municipality any part of which is within
the limits described in paragraph (b)(1) of this section; and
(3) At all points in any municipality wholly surrounded, or so
surrounded except for a water boundary, by any municipality included
under the terms of paragraph (b)(2) of this section.
Sec. 356.3 Regular route motor passenger service.
(a) A motor common carrier authorized to transport passengers over
regular routes may serve:
(1) All points on its authorized route;
(2) All municipalities wholly within one airline mile of its
authorized route;
(3) All unincorporated areas within one airline mile of its
authorized route; and
(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
[[Page 36]]
from such authorized route may not be over a public road.
(b) This section does not apply to those motor passenger common
carriers authorized to operate within:
(1) New York, NY;
(2) Rockland, Westchester, Orange, or Nassau Counties, NY;
(3) Fairfield County, CT; and
(4) Passaic, Bergen, Essex, Hudson, Union, Morris, Somerset,
Middlesex, or Monmouth Counties, NJ.
Sec. 356.5 Traversal authority.
(a) Scope. An irregular route motor carrier may operate between
authorized service points over any reasonably direct or logical route
unless expressly prohibited.
(b) Requirements. Before commencing operations, the carrier must,
regarding each State traversed:
(1) Notify the State regulatory body in writing, attaching a copy of
its operating rights;
(2) Designate a process agent; and
(3) Comply with 49 CFR 387.315.
Sec. 356.7 Tacking.
Unless expressly prohibited, a motor common carrier of property
holding separate authorities which have common service points may join,
or tack, those authorities at the common point, or gateway, for the
purpose of performing through service as follows:
(a) Regular route authorities may be tacked with one another;
(b) Regular route authority may be tacked with irregular route
authority;
(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
(d) Irregular route authorities may be tacked with one another if
the authorities involved contain a specific provision granting the right
to tack.
Sec. 356.9 Elimination of routing restrictions--regular route carriers.
(a) Regular route authorities--construction. All certificates that,
either singly or in combination, authorize the transportation by a motor
common carrier of property over:
(1) A single regular route or;
(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.
(b) Service at authorized points. 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.
(c) Intermediate point service. 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:
(1) The carrier is authorized to serve all intermediate points
(without regard to nominal restrictions) on the underlying service
route;
(2) The alternative route involves the use of a superhighway (i.e.,
a limited access highway with split-level crossings);
(3) The alternative superhighway route, including highways
connecting the superhighway portion of the route with the carrier's
authorized service route,
(i) Extends in the same general direction as the carrier's
authorized service route and
(ii) Is wholly within 25 airline miles of the carrier's authorized
service route; and
(4) Service is provided in the same manner as, and subject to any
restrictions that apply to, service over the authorized service route.
Sec. 356.11 Elimination of gateways--regular and irregular route
carriers.
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.
[[Page 37]]
Sec. 356.13 Redesignated highways.
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.
PART 360_FEES FOR MOTOR CARRIER REGISTRATION AND INSURANCE--Table of
Contents
Sec.
360.1 Fees for records search, review, copying, certification, and
related services.
360.3 Filing fees.
360.5 Updating user fees.
Authority: 31 U.S.C. 9701; 49 U.S.C. 13908(c) and 14504(c)(2); and
49 CFR 1.73.
Source: 64 FR 7137, Feb. 12, 1999, unless otherwise noted.
Editorial Note: Nomenclature changes to part 360 appear at 66 FR
49870, Oct. 1, 2001.
Sec. 360.1 Fees for records search, review, copying, certification,
and related services.
Certifications and copies of public records and documents on file
with the Federal Motor Carrier Safety Administration will be furnished
on the following basis, pursuant to the Freedom of Information Act
regulations at 49 CFR Part 7:
(a) Certificate of the Director, Office of Data Analysis and
Information Systems, as to the authenticity of documents, $9.00;
(b) Service involved in checking records to be certified to
determine authenticity, including clerical work, etc., incidental
thereto, at the rate of $16.00 per hour;
(c) Copies of the public documents, at the rate of $.80 per letter
size or legal size exposure. A minimum charge of $5.00 will be made for
this service; and
(d) Search and copying services requiring ADP processing, as
follows:
(1) A fee of $42.00 per hour for professional staff time will be
charged when it is required to fulfill a request for ADP data.
(2) The fee for computer searches will be set at the current rate
for computer service. Information on those charges can be obtained from
the Office of Data Analysis and Information Systems (MC-PSDRIS).
(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.
Sec. 360.3 Filing fees.
(a) Manner of payment. (1) Except for the insurance fees described
in the next sentence, all filing fees will be payable at the time and
place the application, petition, or other document is tendered for
filing. The service fee for insurance, surety or self-insurer accepted
certificate of insurance, surety bond or other instrument submitted in
lieu of a broker surety bond must be charged to an insurance service
account established by the Federal Motor Carrier Safety Administration
in accordance with paragraph (a)(2) of this section.
(2) Billing account procedure. A written request must be submitted
to the Office of Enforcement and Compliance, Insurance Compliance
Division (MC-PSDECI) to establish an insurance service fee account.
(i) Each account will have a specific billing date within each month
and a billing cycle. The billing date is the date that the bill is
prepared and printed. The billing cycle is the period between the
billing date in one month and the billing date in the next month. A bill
for each account which has activity or an unpaid balance during the
billing cycle will be sent on the billing date each month. Payment will
be due 20 days from the billing date. Payments received before the next
billing date are applied to the account. Interest will accrue in
accordance with 4 CFR 102.13.
(ii) The Debt Collection Act of 1982, including disclosure to the
consumer reporting agencies and the use of collection agencies, as set
forth in 4 CFR
[[Page 38]]
102.5 and 102.6 will be utilized to encourage payment where appropriate.
(iii) An account holder who files a petition in bankruptcy or who is
the subject of a bankruptcy proceeding must provide the following
information to theOffice of Enforcement and Compliance, Insurance
Division (MC-PSDECI):
(A) The filing date of the bankruptcy petition;
(B) The court in which the bankruptcy petition was filed;
(C) The type of bankruptcy proceeding;
(D) The name, address, and telephone number of its representative in
the bankruptcy proceeding; and
(E) The name, address, and telephone number of the bankruptcy
trustee, if one has been appointed.
(3) Fees will be payable to the Federal Motor Carrier Safety
Administration by a check payable in United States currency drawn upon
funds deposited in a United States or foreign bank or other financial
institution, money order payable in United States' currency, or credit
card (VISA or MASTERCARD).
(b) Any filing that is not accompanied by the appropriate filing fee
is deficient except for filings that satisfy the deferred payment
procedures in paragraph (a) of this section.
(c) Fees not refundable. Fees will be assessed for every filing in
the type of proceeding listed in the schedule of fees contained in
paragraph (f) of this section, subject to the exceptions contained in
paragraphs (d) and (e) of this section. After the application, petition,
or other document has been accepted for filing by the Federal Motor
Carrier Safety Administration, the filing fee will not be refunded,
regardless of whether the application, petition, or other document is
granted or approved, denied, rejected before docketing, dismissed, or
withdrawn.
(d) Related or consolidated proceedings. (1) Separate fees need not
be paid for related applications filed by the same applicant which would
be the subject of one proceeding. (This does not mean requests for
multiple types of operating authority filed on forms in the OP-1 series
under the regulations at 49 CFR part 365. A separate filing fee is
required for each type of authority sought in each transportation mode,
e.g., common, contract, and broker authority for motor property
carriers.)
(2) Separate fees will be assessed for the filing of temporary
operating authority applications as provided in paragraph (f)(6) of this
section, regardless of whether such applications are related to an
application for corresponding permanent operating authority.
(3) The Federal Motor Carrier Safety Administration may reject
concurrently filed applications, petitions, or other documents asserted
to be related and refund the filing fee if, in its judgment, they
embrace two or more severable matters which should be the subject of
separate proceedings.
(e) Waiver or reduction of filing fees. It is the general policy of
the Federal Motor Carrier Safety Administration not to waive or reduce
filing fees except as described as follows:
(1) Filing fees are waived for an application or other proceeding
which is filed by a Federal government agency, or a State or local
government entity. For purposes of this section the phrases ``Federal
government agency'' or ``government entity'' do not include a quasi-
governmental corporation or government subsidized transportation
company.
(2) In extraordinary situations the Federal Motor Carrier Safety
Administration will accept requests for waivers or fee reductions in
accordance with the following procedure:
(i) When to request. At the time that a filing is submitted to the
Federal Motor Carrier Safety Administration the applicant may request a
waiver or reduction of the fee prescribed in this part. Such request
should be addressed to the Director, Office of Data Analysis and
Information Systems.
(ii) Basis. The applicant must show the waiver or reduction of the
fee is in the best interest of the public, or that payment of the fee
would impose an undue hardship upon the requestor.
(iii) Federal Motor Carrier Safety Administration action. The
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.
(f) Schedule of filing fees.
[[Page 39]]
----------------------------------------------------------------------------------------------------------------
Type of Proceeding Fee
----------------------------------------------------------------------------------------------------------------
Part I: Licensing:
(1)................................... An application for motor carrier operating $300
authority, a certificate of registration
for certain foreign carriers, property
broker authority, or freight forwarder
authority.
(2)................................... A petition to interpret or clarify an 3,000
operating authority.
(3)................................... A request seeking the modification of 50
operating authority only to the extent of
making a ministerial correction, when the
original error was caused by applicant, a
change in the name of the shipper or
owner of a plant site, or the change of a
highway name or number.
(4)................................... A petition to renew authority to transport 250
explosives.
(5)................................... An application for authority to deviate 150
from authorized regular-route authority.
(6)................................... An application for motor carrier temporary 100
authority issued in an emergency
situation.
(7)................................... Request for name change of a motor 14
carrier, property broker, or freight
forwarder.
(8)................................... An application involving the merger, 300
transfer, or lease of the operating
rights of motor passenger and property
carriers, property brokers, and household
goods freight forwarders under 49 U.S.C.
10321 and 10926.
(9)--(49)............................. [Reserved]................................ ..........................
Part II: Insurance:
(50).................................. (i) An application for original 4,200
qualification as self-insurer for bodily
injury and property damage insurance
(BI&PD).
(ii) An application for original 420
qualification as self-insurer for cargo
insurance.
(51).................................. A service fee for insurer, surety, or self- $10 per accepted
insurer accepted certificate of certificate, surety bond
insurance, surety bond, and other or other instrument
instrument submitted in lieu of a broker submitted in lieu of a
surety bond. broker surety bond.
(52).................................. A petition for reinstatement of revoked 80
operating authority.
(53)--(79)............................ [Reserved]................................
Part III: Services:
(80).................................. Request for service or pleading list for 13 per list
proceedings.
(81).................................. Faxed copies of operating authority to 5
applicants or their representatives who
did not receive a served copy.
----------------------------------------------------------------------------------------------------------------
(g) Returned check policy. (1) If a check submitted to the FMCSA for
a filing or service fee is dishonored by a bank or financial institution
on which it is drawn, the FMCSA will notify the person who submitted the
check that:
(i) All work will be suspended on the filing or proceeding, until
the check is made good;
(ii) A returned check charge of $6.00 and any bank charges incurred
by the FMCSA as a result of the dishonored check must be submitted with
the filing fee which is outstanding; and
(iii) If payment is not made within the time specified by the FMCSA,
the proceeding will be dismissed or the filing may be rejected.
(2) If a person repeatedly submits dishonored checks to the FMCSA
for filing fees, the FMCSA may notify the person that all future filing
fees must be submitted in the form of a certified or cashier's check,
money order, or credit card.
[64 FR 7137, Feb. 12, 1999, as amended at 67 FR 61820, Oct. 2, 2002]
Sec. 360.5 Updating user fees.
(a) Update. Each fee established in this part may be updated in
accordance with this section as deemed necessary by the FMCSA.
(b) Publication and effective dates. Updated fees shall be published
in the Federal Register and shall become effective 30 days after
publication.
(c) Payment of fees. Any person submitting a filing for which a fee
is established shall pay the fee in effect at the time of the filing.
(d) Method of updating fees. Each fee shall be updated by updating
the cost components comprising the fee. Cost components shall be updated
as follows:
(1) Direct labor costs shall be updated by multiplying base level
direct labor costs by percentage changes in average
[[Page 40]]
wages and salaries of FMCSA employees. Base level direct labor costs are
direct labor costs determined by the cost study in Regulations Governing
Fees For Service, 1 I.C.C. 2d 60 (1984), or subsequent cost studies. The
base period for measuring changes shall be April 1984 or the year of the
last cost study.
(2) Operations overhead shall be developed each year on the basis of
current relationships existing on a weighted basis, for indirect labor
applicable to the first supervisory work centers directly associated
with user fee activity. Actual updating of operations overhead will be
accomplished by applying the current percentage factor to updated direct
labor, including current governmental overhead costs.
(3)(i) Office general and administrative costs shall be developed
each year on the basis of current levels costs, i.e., dividing actual
office general and administrative costs for the current fiscal year by
total office costs for the office directly associated with user fee
activity. Actual updating of office general and administrative costs
will be accomplished by applying the current percentage factor to
updated direct labor, including current governmental overhead and
current operations overhead costs.
(ii) FMCSA general and administrative costs shall be developed each
year on the basis of current level costs; i.e., dividing actual FMCSA
general and administrative costs for the current fiscal year by total
agency expenses for the current fiscal year. Actual updating of FMCSA
general and administrative costs will be accomplished by applying the
current percentage factor to updated direct labor, including current
governmental overhead, operations overhead and office general and
administrative costs.
(4) Publication costs shall be adjusted on the basis of known
changes in the costs applicable to publication of material in the
Federal Register or FMCSA Register.
(This rounding procedures excludes copying, printing and search
fees.)
(e) Rounding of updated fees. Updated fees shall be rounded in the
following manner:
(1) Fees between $1 and $30 will be rounded to the nearest $1;
(2) Fees between $30 and $100 will be rounded to the nearest $10;
(3) Fees between $100 and $999 will be rounded to the nearest $50;
and
(4) Fees above $1,000 will be rounded to the nearest $100.
PART 365_RULES GOVERNING APPLICATIONS FOR OPERATING AUTHORITY--Table
of Contents
Subpart A_How To Apply for Operating Authority
Sec.
365.101 Applications governed by these rules.
365.103 Modified procedure.
365.105 Starting the application process: Form OP-1.
365.107 Types of applications.
365.109 FMCSA review of the application.
365.111 Appeals to rejections of the application.
365.113 Changing the request for authority or filing supplementary
evidence after the application is filed.
365.115 After publication in the FMCSA Register.
365.117 Obtaining a copy of the application.
365.119 Opposed applications.
365.121 Filing a reply statement.
365.123 Applicant withdrawal.
Subpart B_How To Oppose Requests for Authority
365.201 Definitions.
365.203 Time for filing.
365.205 Contents of the protest.
365.207 Withdrawal.
Subpart C_General Rules Governing the Application Process
365.301 Applicable rules.
365.303 Contacting another party.
365.305 Serving copies of pleadings.
365.307 Replies to motions.
365.309 FAX filings.
Subpart D_Transfer of Operating Rights Under 49 U.S.C. 10926
365.401 Scope of rules.
365.403 Definitions.
365.405 Applications.
365.407 Notice.
365.409 FMCSA action and criteria for approval.
365.411 Responsive pleadings.
365.413 Procedures for changing the name or business form of a motor
carrier, freight forwarder, or property broker.
[[Page 41]]
Subpart E_Special Rules for Certain Mexico-Domiciled Carriers
365.501 Scope of rules.
365.503 Application.
365.505 Re-registration and fee waiver for certain applicants.
365.507 FMCSA action on the application.
365.509 Requirement to notify FMCSA of change in applicant information.
365.511 Requirement for CVSA inspection of vehicles during first three
consecutive years of permanent operating authority.
Appendix A to Subpart E--Explanation of Pre-Authorization Safety Audit
Evaluation Criteria for Mexico-Domiciled Motor Carriers
Authority: 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.
Source: 59 FR 63728, Dec. 9, 1994, unless otherwise noted.
Redesignated at 61 FR 54707, Oct. 21, 1996.
Editorial Note: Nomenclature changes to part 365 appear at 66 FR
49870, Oct. 1, 2001.
Subpart A_How To Apply for Operating Authority
Sec. 365.101 Applications governed by these rules.
These rules govern the handling of applications for operating
authority of the following type:
(a) Applications for certificates and permits to operate as a motor
common or contract carrier of property or passengers.
(b) Applications for permits to operate as a freight forwarder.
(c) [Reserved]
(d) Applications for licenses to operate as a broker of motor
vehicle transportation.
(e) Applications for certificates under 49 U.S.C. 13902(b)(3) to
operate as a motor common carrier of passengers in intrastate commerce
on a route over which applicant holds interstate authority as of
November 19, 1982.
(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.
(g) Applications for temporary motor carrier authority.
(h) Applications for Mexico-domiciled motor carriers to operate in
foreign commerce as common, contract or private motor carriers of
property (including exempt items) between Mexico and all points in the
United States. Under NAFTA Annex I, 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.
[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]
Sec. 365.103 Modified procedure.
The FMCSA will handle licensing application proceedings using the
modified procedure, if possible. The applicant and protestants send
statements made under oath (verified statements) to each other and to
the FMCSA. There are no personal appearances or formal hearings.
Sec. 365.105 Starting the application process: Form OP-1.
(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.
(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: http://
www.fmcsa.dot.gov/aboutus/fieldoffices. The forms and information about
filing procedures can be downloaded at: http://www.fmcsa.dot.gov/
factsfigs/formspubs; and from the do-it-yourself website at: http://
www.diy.dot.gov.
[66 FR 49870, Oct. 1, 2001, as amended at 67 FR 12714, Mar. 19, 2002; 67
FR 61820, Oct. 2, 2002]
[[Page 42]]
Sec. 365.107 Types of applications.
(a) Fitness applications. Motor property applications and certain
types of motor passenger applications require only the finding that the
applicant is fit, willing and able to perform the involved operations
and to comply with all applicable statutory and regulatory provisions.
These applications can be opposed only on the grounds that applicant is
not fit [e.g., is not in compliance with applicable financial
responsibility and safety fitness requirements]. These applications are:
(1) Motor common and contract carrier of property (except household
goods) , Mexican motor property carriers that perform private carriage
and transport exempt items, and motor contract carrier of passengers
transportation.
(2) Motor carrier brokerage of general commodities (except household
goods).
(3) Certain types of motor passenger applications as described in
Form OP-1 (P).
(b) Motor passenger ``public interest'' applications as described in
Form OP-1 (P).
(c) Intrastate motor passenger applications under 49 U.S.C.
13902(b)(3) as described in Form OP-1, Schedule B.
(d) Motor common carrier of household goods applications, including
Mexican carrier applicants. These applications require a finding that:
(1) The applicant is fit, willing, and able to provide the involved
transportation and to comply with all applicable statutory and
regulatory provisions; and
(2) The service proposed will serve a useful public purpose,
responsive to a public demand or need.
(e) Motor contract carrier of household goods, household goods
property broker, and freight forwarder applications. These applications
require a finding that:
(1) The applicant is fit, willing, and able to provide the involved
transportation and to comply with all applicable statutory and
regulatory provisions; and
(2) The transportation to be provided will be consistent with the
public interest and the national transportation policy of 49 U.S.C.
13101.
(f) Temporary authority (TA) for motor and water carriers. These
applications require a finding that there is or soon will be an
immediate transportation need that cannot be met by existing carrier
service.
(g)In view of the expedited time frames established in this part for
processing requests for permanent authority, applications for TA will be
entertained only in exceptional circumstances (i.e., natural disasters
or national emergencies) when evidence of immediate service need can be
specifically documented in a narrative supplement appended to Form OP-1
for motor property carriers, Form OP-1MX for Mexican property carriers
and, Form OP-1(P) for motor passenger carriers.
[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]
Sec. 365.109 FMCSA review of the application.
(a) FMCSA staff will review the application for correctness,
completeness, and adequacy of the evidence (the prima facie case).
(1) Minor errors will be corrected without notification to the
applicant.
(2) Materially incomplete applications will be rejected.
Applications that are in substantial compliance with these rules may be
accepted.
(3) All motor carrier applications will be reviewed for consistency
with the FMCSA's operational safety fitness policy. Applicants with
``Unsatisfactory'' safety fitness ratings from DOT will have their
applications rejected.
(4) FMCSA staff will review completed applications that conform with
the FMCSA's safety fitness policy and that are accompanied by evidence
of adequate financial responsibility.
(5) Financial responsibility is indicated by filing within 20 days
from the date an application notice is published in the FMCSA Register:
(i) Form BMC-91 or 91X or BMC 82 surety bond--Bodily injury and
property damage (motor property and passenger carriers; household goods
freight forwarders that provide pickup or delivery service directly or
by using a local delivery service under their control).
[[Page 43]]
(ii) Form BMC-84--Surety bond or Form BMC-85--trust fund agreement
(property brokers of general commodities and household goods).
(iii) Form BMC-34 or BMC 83 surety bond--Cargo liability (motor
property common carriers and household goods freight forwarders).
(6) Applicants also must submit Form BOC-3--designation of legal
process agents--within 20 days from the date an application notice is
published in the FMCSA Register.
(7) Applicants seeking to conduct operations for which tariffs are
required may not commence such operations until tariffs are in effect.
(8) All applications must be completed in English.
(b) A summary of the application will be published as a preliminary
grant of authority in the FMCSA Register to give notice to the public in
case anyone wishes to oppose the application.
[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 67
FR 61820, Oct. 2, 2002]
Sec. 365.111 Appeals to rejections of the application.
(a) An applicant has the right to appeal rejection of the
application. The appeal must be filed at the FMCSA within 10 days of the
date of the letter of rejection.
(b) If the appeal is successful and the filing is found to be
proper, the application shall be deemed to have been properly filed as
of the decision date of the appeal.
Sec. 365.113 Changing the request for authority or filing supplementary
evidence after the application is filed.
(a) Once the application is filed, the applicant may supplement
evidence only with approval of the FMCSA.
(b) Amendments to the application generally are not permitted, but
in appropriate instances may be entertained at the discretion of the
FMCSA.
Sec. 365.115 After publication in the FMCSA Register.
(a) Interested persons have 10 days from the date of FMCSA Register
publication to file protests. See Subpart B of this part.
(b) If no one opposes the application, the grant published in the
FMCSA Register will become effective by issuance of a certificate,
permit, or license.
Sec. 365.117 Obtaining a copy of the application.
After publication, interested persons may request a copy of the
application by contacting the FMCSA-designated contract agent (as
identified in the FMCSA Register).
Sec. 365.119 Opposed applications.
If the application is opposed, opposing parties are required to send
a copy of their protest to the applicant.
Sec. 365.121 Filing a reply statement.
(a) If the application is opposed, applicant may file a reply
statement. This statement is due within 20 days after FMCSA Register
publication.
(b) The reply statement may not contain new evidence. It shall only
rebut or further explain matters previously raised.
(c) The reply statement need not be notarized or verified. Applicant
understands that the oath in the application form applies to all
evidence submitted in the application. Separate legal arguments by
counsel need not be notarized or verified.
Sec. 365.123 Applicant withdrawal.
If the applicant wishes to withdraw an application, it shall request
dismissal in writing.
Subpart B_How To Oppose Requests for Authority
Sec. 365.201 Definitions.
A person wishing to oppose a request for permanent authority files a
protest. A person filing a valid protest becomes a protestant.
Sec. 365.203 Time for filing.
A protest shall be filed (received at the FMCSA) within 10 days
after notice of the application appears in the FMCSA Register. A copy of
the protest shall be sent to applicant's representative at the same
time. Failure timely to file a protest waives further participation in
the proceeding.
[[Page 44]]
Sec. 365.205 Contents of the protest.
(a) All information upon which the protestant plans to rely is put
into the protest.
(b) A protest must be verified, as follows:
I, --------------------, verify under penalty of perjury under laws
of the United States of America, that the information above is true and
correct. Further, I certify that I am qualified and authorized to file
this protest. (See 18 U.S.C. 1001 and 18 U.S.C. 1621 for penalties.)
(Signature and Date)
(c) A protest not in substantial compliance with applicable
statutory standards or these rules may be rejected.
(d) Protests must respond directly to the statutory standards for
FMCSA review of the application. As these standards vary for particular
types of applications, potential protestants should refer to the general
criteria addressed at Sec. 365.107 and may consult the FMCSA at (202)
366-9805 for further assistance in developing their evidence.
[59 FR 63728, Dec. 9, 1994. Redesignated at 61 FR 54707, Oct. 21, 1996,
as amended at 62 FR 49940, Sept. 24, 1997]
Sec. 365.207 Withdrawal.
A protestant wishing to withdraw from a proceeding shall inform the
FMCSA and applicant in writing.
Subpart C_General Rules Governing the Application Process
Sec. 365.301 Applicable rules.
Generally, all application proceedings are governed by the FMCSA's
Rules of Practice at part 386 of this chapter except as designated
below.
Sec. 365.303 Contacting another party.
When a person wishes to contact a party or serve a pleading or
letter on that party, it shall do so through its representative. The
phone and FAX numbers and address of applicant's representative shall be
listed in the FMCSA Register.
Sec. 365.305 Serving copies of pleadings.
(a) An applicant must serve all pleadings and letters on the FMCSA
and all known participants in the proceeding, except that a reply to a
motion need only be served on the moving party.
(b) A protestant need serve only the FMCSA and applicant with
pleadings or letters.
Sec. 365.307 Replies to motions.
Replies to motions filed under this part are due within 5 days of
the date the motion is filed at the FMCSA.
Sec. 365.309 FAX filings.
FAX filings of applications and supporting evidence are not
permitted. To assist parties in meeting the expedited time frames
established for protesting an application, however, the FMCSA will
accept FAX filings of protests and any reply or rebuttal evidence. FAX
filings of these pleadings must be followed by the original document,
plus one copy for FMCSA recordkeeping purposes.
Subpart D_Transfer of Operating Rights Under 49 U.S.C. 10926
Source: 53 FR 4852, Feb. 18, 1988, unless otherwise noted.
Redesignated at 61 FR 54707, Oct. 21, 1996.
Sec. 365.401 Scope of rules.
These rules define the procedures that enable motor passenger and
property carriers,, property brokers, and household goods freight
forwarders to obtain approval from the FMCSA to merge, transfer, or
lease their operating rights in financial transactions not subject to 49
U.S.C. 11343. Transactions covered by these rules are governed by 49
U.S.C. 10321 and 10926. The filing fee is set forth at 49 CFR
360.3(f)(8).
[53 FR 4852, Feb. 18, 1988, as amended at 67 FR 61820, Oct. 2, 2002]
Sec. 365.403 Definitions.
For the purposes of this part, the following definitions apply:
(a) Transfer. Transfers include all transactions (i.e., the sale or
lease of
[[Page 45]]
interstate operating rights, \1\ 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.
---------------------------------------------------------------------------
\1\ 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.
---------------------------------------------------------------------------
(b) Operating rights. Operating rights include:
(1) Certificates and permits issued to motor carriers;
(2) Permits issued to freight forwarders;
(3) Licenses issued to property brokers; and
(4) Certificates of Registration issued to motor carriers. The term
also includes authority held by virtue of the gateway elimination
regulations published in the Federal Register as letter-notices.
(c) Certificate of registration. The evidence of a motor carrier's
right to engage in interstate or foreign commerce within a single State
is established by a corresponding State certificate.
(d) Person. An individual, partnership, corporation, company,
association, or other form of business, or a trustee, receiver,
assignee, or personal representative of any of these.
(e) Record holder. The person shown on the records of the FMCSA as
the legal owner of the operating rights.
(f) Control. A relationship between persons that includes actual
control, legal control, and the power to exercise control, through or by
common directors, officers, stockholders, a voting trust, a holding or
investment company, or any other means.
(g) Category 1 transfers. Transactions in which the person to whom
the operating rights would be transferred is not an FMCSA carrier and is
not affiliated with any FMCSA carrier.
(h) Category 2 transfers. Transactions in which the person to whom
the operating rights would be transferred is an FMCSA carrier and/or is
affiliated with an FMCSA carrier.
[53 FR 4852, Feb. 18, 1988, as amended at 67 FR 61821, Oct. 2, 2002]
Sec. 365.405 Applications.
(a) Procedural requirements. (1) At least 10 days before
consummation, an original and two copies of a properly completed Form
OP-FC-1 and any attachments (see paragraph (b)(1)(viii) of this section)
must be filed with the FMCSA, Licensing Team; (MC-PSDRIS), 400 Seventh
Street, SW., Room 8214, Washington, DC 20590.
(2) At any time after the expiration of the 10-day waiting period,
applicants may consummate the transaction, subject to the subsequent
approval of the application by the FMCSA, as described below. The
transferee may commence operations under the rights acquired from the
transferor upon its compliance with the FMCSA's regulations governing
insurance, and process agents. See 49 CFR parts 387, subpart C, and 366,
respectively. In the alternative, applicants may wait until the FMCSA
has issued a decision on their application before transferring the
operating rights. If the transferee wants the transferor's operating
authority to be reissued in its name, it should furnish the FMCSA with a
statement executed by both transferor and transferee indicating that the
transaction has been consummated. Authority will not be reissued until
after the FMCSA has approved the transaction.
(b) Information required. (1) In category 1 and category 2
transfers, applicants must furnish the following information:
(i) Full name, address, and signatures of the transferee and
transferor.
(ii) A copy of the transferor's operating authority involved in the
transfer proceeding.
(iii) A short summary of the essential terms of the transaction.
(iv) If relevant, the status of proceedings for the transfer of
State certificate(s) corresponding to the Certificates of Registration
being transferred.
(v) A statement as to whether the transfer will or will not
significantly affect the quality of the human environment.
[[Page 46]]
(vi) Certification by transferor and transferee of their current
respective safety ratings by the United States Department of
Transportation (i.e., satisfactory, conditional, unsatisfactory, or
unrated).
(vii) Certification by the transferee that it has sufficient
insurance coverage under 49 U.S.C. 13906 for the service it intends to
provide.
(viii) Information to demonstrate that the proposed transaction is
consistent with the national transportation policy and satisfies the
criteria for approval set forth at Sec. 365.409 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.)
(ix) If motor carrier operating rights are being transferred,
certification by the transferee that it is not domiciled in Mexico nor
owned or controlled by persons of that country.
(2) Category 2 applicants must also submit the following additional
information:
(i) Name(s) of the carrier(s), if any, with which the transferee is
affiliated.
(ii) Aggregate revenues of the transferor, transferee, and their
carrier affiliates from interstate transportation sources for a 1-year
period ending not earlier than 6 months before the date of the agreement
of the parties concerning the transaction. If revenues exceed $2
million, the transfer may be subject to 49 U.S.C. 14303 rather than
these rules.
[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]
Sec. 365.407 Notice.
The FMCSA will give notice of approved transfer applications through
publication in the FMCSA Register.
Sec. 365.409 FMCSA action and criteria for approval.
A transfer will be approved under this section if:
(a) The transaction is not subject to 49 U.S.C. 14303; and
(b) The transaction is consistent with the public interest; however,
(c) If the transferor or transferee has an ``Unsatisfactory'' safety
fitness rating from DOT, the transfer may be denied. If an application
is denied, the FMCSA will set forth the basis for its action in a
decision or letter notice. If parties with ``Unsatisfactory'' safety
fitness ratings consummate a transaction pursuant to the 10-day rule at
Sec. 365.405 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
ab initio.
[53 FR 4852, Feb. 18, 1988, as amended at 56 FR 46735, Sept. 16, 1991;
62 FR 49940, Sept. 24, 1997]
Sec. 365.411 Responsive pleadings.
(a) Protests must be filed within 20 days after the date of
publication of an approved transfer application in the FMCSA Register.
Protests received prior to the notice will be rejected. Applicants may
respond within 20 days after the due date of protests. Petitions for
reconsideration of decisions denying applications must be filed within
20 days after the date of service of such decisions.
(b) Protests and petitions for reconsideration must be filed with
the FMCSA Licensing Team (MC-PSDRIS), 400 Seventh Street, SW., Room
8214, Washington, DC 20590, and be served on appropriate parties.
[53 FR 4852, Feb. 18, 1988, as amended at 67 FR 61821, Oct. 2, 2002; 68
FR 56198, Sept. 30, 2003]
Sec. 365.413 Procedures for changing the name or business form of a
motor carrier, freight forwarder, or property broker.
(a) Scope. These procedures apply in the following circumstances:
(1) A change in the form of a business, such as the incorporation of
a partnership or sole proprietorship;
(2) A change in the legal name of a corporation or partnership or
change in the trade name or assumed name of any entity;
[[Page 47]]
(3) A transfer of operating rights from a deceased or incapacitated
spouse to the other spouse;
(4) A reincorporation and merger for the purpose of effecting a name
change;
(5) An amalgamation or consolidation of a carrier and a noncarrier
into a new carrier having a different name from either of the
predecessor entities; and
(6) A change in the State of incorporation accomplished by
dissolving the corporation in one State and reincorporating in another
State.
(b) Procedures. To accomplish these changes, a letter must be sent
to the FMCSA, Licensing Team (MC-PSDRIS), Washington, DC 20590. The
envelope should be marked ``NAME CHANGE''. The applicant must provide:
(1) The docket number(s) and name of the carrier requesting the
change;
(2) A copy of the articles of incorporation and the State
certificate reflecting the incorporation;
(3) The name(s) of the owner(s) of the stock and the distribution of
the shares;
(4) The names of the officers and directors of the corporation; and
(5) A statement that there is no change in the ownership,
management, or control of the business. When this procedure is being
used to transfer operating rights from a deceased or incapacitated
spouse to the other spouse, documentation that the other spouse has the
legal right to effect such change must be included with the request. The
fee for filing a name change request is in Sec. 360.3(f) of this
chapter.
[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]
Subpart E_Special Rules for Certain Mexico-domiciled Carriers
Source: 67 FR 12714, Mar. 19, 2002, unless otherwise noted.
Sec. 365.501 Scope of rules.
(a) The rules in this subpart govern the application by a Mexico-
domiciled motor carrier to provide transportation of property or
passengers in interstate commerce between Mexico and points in the
United States beyond the municipalities and commercial zones along the
United States-Mexico international border.
(b) A Mexico-domiciled carrier may not provide point-to-point
transportation services, including express delivery services, within the
United States for goods other than international cargo.
Sec. 365.503 Application.
(a) Each applicant applying under this subpart must submit an
application that consists of:
(1) Form OP-1 (MX)--Application to Register Mexican Carriers for
Motor Carrier Authority To Operate Beyond U.S. Municipalities and
Commercial Zones on the U.S.-Mexico Border;
(2) Form MCS-150--Motor Carrier Identification Report; and
(3) A notification of the means used to designate process agents,
either by submission in the application package of Form BOC-3--
Designation of Agents-Motor Carriers, Brokers and Freight Forwarders or
a letter stating that the applicant will use a process agent service
that will submit the Form BOC-3 electronically.
(b) The Federal Motor Carrier Safety Administration (FMCSA) will
only process your application if it meets the following conditions:
(1) The application must be completed in English;
(2) The information supplied must be accurate, complete, and include
all required supporting documents and applicable certifications in
accordance with the instructions to Form OP-1 (MX), Form MCS-150, and
Form BOC-3;
(3) The application must include the filing fee payable to the FMCSA
in the amount set forth at 49 CFR 360.3(f)(1); and
(4) The application must be signed by the applicant.
(c) You must submit the application to the address provided in Form
OP-1(MX).
(d) You may obtain the application forms from any FMCSA Division
Office or download it from the FMCSA website at: http://
www.fmcsa.dot.gov/factsfigs/formspubs.htm.
[[Page 48]]
Sec. 365.505 Re-registration and fee waiver for certain applicants.
(a) If you filed an application using Form OP-1(MX) before May 3,
2002, you are required to file a new Form OP-1(MX). You do not need to
submit a new fee when you file a new application under this subpart.
(b) If you hold a Certificate of Registration issued before April
18, 2002, authorizing operations beyond the municipalities along the
United States-Mexico border and beyond the commercial zones of such
municipalities, you are required to file an OP-1(MX) if you want to
continue those operations. You do not need to submit a fee when you file
an application under this subpart.
(1) You must file the application by November 4, 2003.
(2) The FMCSA may suspend or revoke the Certificate of Registration
of any applicable holder that fails to comply with the procedures set
forth in this section.
(3) Certificates of Registration issued before April 18, 2002, will
remain valid until the FMCSA acts on the OP-1(MX) application.
[67 FR 12714, Mar. 19, 2002, as amended at 68 FR 56198, Sept. 30, 2003]
Sec. 365.507 FMCSA action on the application.
(a) The FMCSA will review and act on each application submitted
under this subpart in accordance with the procedures set out in this
part.
(b) The FMCSA will validate the accuracy of information and
certifications provided in the application by checking data maintained
in databases of the governments of Mexico and the United States.
(c) Pre-authorization safety audit. Every Mexico-domiciled carrier
that applies under this part must satisfactorily complete an FMCSA-
administered safety audit before FMCSA will grant provisional operating
authority to operate in the United States. The safety audit is a review
by the FMCSA of the carrier's written procedures and records to validate
the accuracy of information and certifications provided in the
application and determine whether the carrier has established or
exercises the basic safety management controls necessary to ensure safe
operations. The FMCSA will evaluate the results of the safety audit
using the criteria in Appendix A to this subpart.
(d) If a carrier successfully completes the pre-authorization safety
audit and the FMCSA approves its application submitted under this
subpart, FMCSA will publish a summary of the application as a
preliminary grant of authority in the FMCSA Register to give notice to
the public in case anyone wishes to oppose the application, as required
in Sec. 365.109(b) of this part.
(e) If the FMCSA grants provisional operating authority to the
applicant, it will assign a distinctive USDOT Number that identifies the
motor carrier as authorized to operate beyond the municipalities in the
United States on the U.S.-Mexico international border and beyond the
commercial zones of such municipalities. In order to operate in the
United States, a Mexico-domiciled motor carrier with provisional
operating authority must:
(1) Have its surety or insurance provider file proof of financial
responsibility in the form of certificates of insurance, surety bonds,
and endorsements, as required by Sec. 387.301 of this subchapter;
(2) File a hard copy of, or have its process agent(s) electronically
submit, Form BOC-3--Designation of Agents-Motor Carriers, Brokers and
Freight Forwarders, as required by part 366 of this subchapter; and
(3) Comply with all provisions of the safety monitoring system in
subpart B of part 385 of this subchapter, including successfully passing
CVSA Level I inspections at least every 90 days and having decals
affixed to each commercial motor vehicle operated in the United States
as required by Sec. 385.103(c) of this subchapter.
(f) The FMCSA may grant permanent operating authority to a Mexico-
domiciled carrier no earlier than 18 months after the date that
provisional operating authority is granted and only after successful
completion to the satisfaction of the FMCSA of the safety monitoring
system for Mexico-domiciled carriers set out in subpart B of part 385 of
this subchapter. Successful completion includes obtaining a satisfactory
safety rating as the result of a compliance review.
[[Page 49]]
Sec. 365.509 Requirement to notify FMCSA of change in applicant
information.
(a) A motor carrier subject to this subpart must notify the FMCSA of
any changes or corrections to the information in parts I, IA or II
submitted on the Form OP-1(MX) or the Form BOC-3--Designation of
Agents--Motor Carriers, Brokers and Freight Forwarders during the
application process or after having been granted provisional operating
authority. The carrier must notify the FMCSA in writing within 45 days
of the change or correction.
(b) If a carrier fails to comply with paragraph (a) of this section,
the FMCSA may suspend or revoke its operating authority until it meets
those requirements.
Sec. 365.511 Requirement for CVSA inspection of vehicles during first
three consecutive years of permanent operating authority.
A Mexico-domiciled motor carrier granted permanent operating
authority must have its vehicles inspected by Commercial Vehicle Safety
Alliance (CVSA)-certified inspectors every three months and display a
current inspection decal attesting to the successful completion of such
an inspection for at least three consecutive years after receiving
permanent operating authority from the FMCSA.
Appendix A to Subpart E of Part 365--Explanation of Pre-Authorization
Safety Audit Evaluation Criteria for Mexico-Domiciled Motor Carriers
I. General
(a) Section 350 of the Fiscal Year 2002 DOT Appropriations Act (Pub.
L. 107-87) directed the FMCSA to perform a safety audit of each Mexico-
domiciled motor carrier before the FMCSA grants the carrier provisional
operating authority to operate beyond United States municipalities and
commercial zones on the United States-Mexico international border.
(b) The FMCSA will decide whether it will conduct the safety audit
at the Mexico-domiciled motor carrier's principal place of business in
Mexico or at a location specified by the FMCSA in the United States, in
accordance with the statutory requirements that 50 percent of all safety
audits must be conducted onsite and on-site inspections cover at least
50 percent of estimated truck traffic in any year. All records and
documents must be made available for examination within 48 hours after a
request is made. Saturdays, Sundays, and Federal holidays are excluded
from the computation of the 48-hour period.
(c) The safety audit will include:
(1) Verification of available performance data and safety management
programs;
(2) Verification of a controlled substances and alcohol testing
program consistent with part 40 of this title;
(3) Verification of the carrier's system of compliance with hours-
of-service rules in part 395 of this subchapter, including recordkeeping
and retention;
(4) Verification of proof of financial responsibility;
(5) Review of available data concerning the carrier's safety
history, and other information necessary to determine the carrier's
preparedness to comply with the Federal Motor Carrier Safety
Regulations, parts 382 through 399 of this subchapter, and the Federal
Hazardous Material Regulations, parts 171 through 180 of this title;
(6) Inspection of available commercial motor vehicles to be used
under provisional operating authority, if any of these vehicles have not
received a decal required by Sec. 385.103(d) of this subchapter;
(7) Evaluation of the carrier's safety inspection, maintenance, and
repair facilities or management systems, including verification of
records of periodic vehicle inspections;
(8) Verification of drivers' qualifications, including confirmation
of the validity of the Licencia de Federal de Conductor of each driver
the carrier intends to assign to operate under its provisional operating
authority; and
(9) An interview of carrier officials to review safety management
controls and evaluate any written safety oversight policies and
practices.
(d) To successfully complete the safety audit, a Mexico-domiciled
motor carrier must demonstrate to the FMCSA that it has the required
elements in paragraphs (c)(2), (3), (4), (7), and (8) above and other
basic safety management controls in place which function adequately to
ensure minimum acceptable compliance with the applicable safety
requirements. The FMCSA developed a ``safety audit evaluation
criteria,'' which uses data from the safety audit and roadside
inspections to determine that each applicant for provisional operating
authority has basic safety management controls in place.
(e) The safety audit evaluation process developed by the FMCSA is
used to:
(1) Evaluate basic safety management controls and determine if each
Mexico-domiciled carrier and each driver is able to operate
[[Page 50]]
safely in the United States beyond municipalities and commercial zones
on the United States-Mexico international border; and
(2) Identify motor carriers and drivers who are having safety
problems and need improvement in their compliance with the FMCSRs and
the HMRs, before FMCSA grants the carriers provisional operating
authority to operate beyond United States municipalities and commercial
zones on the United States-Mexico international border.
II. Source of the Data for the Safety Audit Evaluation Criteria
(a) The FMCSA's evaluation criteria are built upon the operational
tool known as the safety audit. The FMCSA developed this tool to assist
auditors and investigators in assessing the adequacy of a Mexico-
domiciled carrier's basic safety management controls.
(b) The safety audit is a review of a Mexico-domiciled motor
carrier's operation and is used to:
(1) Determine if a carrier has the basic safety management controls
required by 49 U.S.C. 31144;
(2) Meet the requirements of Section 350 of the DOT Appropriations
Act; and
(3) In the event that a carrier is found not to be in compliance
with applicable FMCSRs and HMRs, the safety audit can be used to educate
the carrier on how to comply with U.S. safety rules.
(c) Documents such as those contained in driver qualification files,
records of duty status, vehicle maintenance records, and other records
are reviewed for compliance with the FMCSRs and HMRs. Violations are
cited on the safety audit. Performance-based information, when
available, is utilized to evaluate the carrier's compliance with the
vehicle regulations. Recordable accident information is also collected.
III. Overall Determination of the Carrier's Basic Safety Management
Controls
(a) The carrier will not be granted provisional operating authority
if the FMCSA fails to:
(1) Verify a controlled substances and alcohol testing program
consistent with part 40 of this title;
(2) Verify a system of compliance with hours-of-service rules of
this subchapter, including recordkeeping and retention;
(3) Verify proof of financial responsibility;
(4) Verify records of periodic vehicle inspections; and
(5) Verify drivers' qualifications of each driver the carrier
intends to assign to operate under such authority, as required by parts
383 and 391 of this subchapter, including confirming the validity of
each driver's Licencia de Federal de Conductor.
(b) If the FMCSA confirms each item under 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.
IV. Evaluation of Regulatory Compliance
(a) During the safety audit, the FMCSA gathers information by
reviewing a motor carrier's compliance with ``acute'' and ``critical''
regulations of the FMCSRs and HMRs.
(b) Acute regulations are those where noncompliance is so severe as
to require immediate corrective actions by a motor carrier regardless of
the overall basic safety management controls of the motor carrier.
(c) Critical regulations are those where noncompliance relates to
management and/or operational controls. These are indicative of
breakdowns in a carrier's management controls.
(d) The list of the acute and critical regulations, which are used
in determining if a carrier has basic safety management controls in
place, is included in Appendix B, VII. List of Acute and Critical
Regulations to part 385 of this subchapter.
(e) Noncompliance with acute and critical regulations are indicators
of inadequate safety management controls and usually higher than average
accident rates.
(f) Parts of the FMCSRs and the HMRs having similar characteristics
are combined together into six regulatory areas called ``factors.'' The
regulatory factors, evaluated on the adequacy of the carrier's safety
management controls, are:
(1) Factor 1--General: Parts 387 and 390;
(2) Factor 2--Driver: Parts 382, 383 and 391;
(3) Factor 3--Operational: Parts 392 and 395;
(4) Factor 4--Vehicle: Part 393, 396 and inspection data for the
last 12 months;
(5) Factor 5--Hazardous Materials: Parts 171, 177, 180 and 397; and
(6) Factor 6--Accident: Recordable Accident Rate per Million Miles.
(g) For each instance of noncompliance with an acute regulation, 1.5
points will be assessed.
(h) For each instance of noncompliance with a critical regulation, 1
point will be assessed.
(i) Vehicle Factor. (1) When at least three vehicle inspections are
recorded in the Motor 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
[[Page 51]]
the review of the OOS rate will affect the Vehicle Factor as follows:
(i) If the motor carrier has had at least three roadside inspections
in the twelve months before the safety audit, and the vehicle OOS rate
is 34 percent or higher, one point will be assessed against the carrier.
That point will be added to any other points assessed for discovered
noncompliance with acute and critical regulations of part 396 to
determine the carrier's level of safety management control for that
factor.
(ii) If the motor carrier's vehicle OOS rate is less than 34
percent, or if there are less than three inspections, the determination
of the carrier's level of safety management controls will only be based
on discovered noncompliance with the acute and critical regulations of
part 396.
(2) Over two million inspections occur on the roadside each year in
the United States. This vehicle inspection information is retained in
the MCMIS and is integral to evaluating motor carriers' ability to
successfully maintain their vehicles, thus preventing them from being
placed OOS during roadside inspections. Each safety audit will continue
to have the requirements of part 396, Inspection, Repair, and
Maintenance, reviewed as indicated by the above explanation.
(j) Accident Factor. (1) In addition to the five regulatory factors,
a sixth factor is included in the process to address the accident
history of the motor carrier. This factor is the recordable accident
rate, which the carrier has experienced during the past 12 months.
Recordable accident, as defined in 49 CFR 390.5, means an accident
involving a commercial motor vehicle operating on a public road in
interstate or intrastate commerce which results in a fatality; a bodily
injury to a person who, as a result of the injury, immediately receives
medical treatment away from the scene of the accident; or one or more
motor vehicles incurring disabling damage as a result of the accident
requiring the motor vehicle to be transported away from the scene by a
tow truck or other motor vehicle.
(2) Experience has shown that urban carriers, those motor carriers
operating entirely within a radius of less than 100 air miles (normally
urban areas), have a higher exposure to accident situations because of
their environment and normally have higher accident rates.
(3) The recordable accident rate will be used in determining the
carrier's basic safety management controls in Factor 6, Accident. It
will be used only when a carrier incurs two or more recordable accidents
within the 12 months before the safety audit. An urban carrier (a
carrier operating entirely within a radius of 100 air miles) with a
recordable rate per million miles greater than 1.7 will be deemed to
have inadequate basic safety management controls for the accident
factor. All other carriers with a recordable accident rate per million
miles greater than 1.5 will be deemed to have inadequate basic safety
management controls for the accident factor. The rates are the result of
roughly doubling the United States national average accident rate in
Fiscal Years 1994, 1995, and 1996.
(4) The FMCSA will continue to consider preventability when a new
entrant contests the evaluation of the accident factor by presenting
compelling evidence that the recordable rate is not a fair means of
evaluating its accident factor. Preventability will be determined
according to the following standard: ``If a driver, who exercises normal
judgment and foresight, could have foreseen the possibility of the
accident that in fact occurred, and avoided it by taking steps within
his/her control which would not have risked causing another kind of
mishap, the accident was preventable.''
(k) Factor Ratings
(1) The following table shows the five regulatory factors, parts of
the FMCSRs and HMRs associated with each factor, and the accident
factor. Each carrier's level of basic safety management controls with
each factor is determined as follows:
(i) Factor 1--General: Parts 390 and 387;
(ii) Factor 2--Driver: Parts 382, 383, and 391;
(iii) Factor 3--Operational: Parts 392 and 395;
(iv) Factor 4--Vehicle: Parts 393, 396 and the Out of Service Rate;
(v) Factor 5--Hazardous Materials: Part 171, 177, 180 and 397; and
(vi) Factor 6--Accident: Recordable Accident Rate per Million Miles;
(2) For paragraphs 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.
(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.
(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:
(1) One instance of noncompliance with a critical regulation in part
387 scoring one point for Factor 1;
(2) Two instances of noncompliance with acute regulations in part
382 scoring three points for Factor 2;
[[Page 52]]
(3) Three instances of noncompliance with critical regulations in
part 396 scoring three points for Factor 4; and
(4) Three instances of noncompliance with acute regulations in parts
171 and 397 scoring four and one-half (4.5) points for Factor 5.
Under this example, the carrier will not receive provisional
operating authority because it scored three or more points for Factors
2, 4, and 5 and FMCSA determined the carrier had inadequate basic safety
management controls in at least three separate factors.
PART 366_DESIGNATION OF PROCESS AGENT--Table of Contents
Sec.
366.1 Applicability.
366.2 Form of designation.
366.3 Eligible persons.
366.4 Required States.
366.5 Blanket designations.
366.6 Cancellation or change.
Authority: 49 U.S.C. 13303, 13304, and 14704; and 49 CFR 1.73.
Source: 55 FR 11197, Mar. 27, 1990, unless otherwise noted.
Redesignated at 61 FR 54707, Oct. 21, 1996.
Editorial Note: Nomenclature changes to part 366 appear at 66 FR
49870, Oct. 1, 2001.
Sec. 366.1 Applicability.
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)).
[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996;
62 FR 49940, Sept. 24, 1997]
Sec. 366.2 Form of designation.
Designations shall be made on Form BOC-3, Designation of Agent for
Service of Process. Only one completed current form may be on file. It
must include all States for which agent designations are required. One
copy must be retained by the carrier or broker at its principal place of
business.
Sec. 366.3 Eligible persons.
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.
[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996;
62 FR 49940, Sept. 24, 1997]
Sec. 366.4 Required States.
(a) Motor carriers. Every motor carrier (of property or passengers)
shall make a designation for each State in which it is authorized to
operate and for each State traversed during such operations. Every motor
carrier (including private carriers) operating in the United States in
the course of transportation between points in a foreign country shall
file a designation for each State traversed.
(b) Brokers. Every broker shall make a designation for each State in
which its offices are located or in which contracts will be written.
[55 FR 11197, Mar. 27, 1990, as amended at 55 FR 47338, Nov. 13, 1990]
Sec. 366.5 Blanket designations.
Where an association or corporation has filed with the FMCSA a list
of process agents for each State, motor carriers may make the required
designations by using the following statement:
Those persons named in the list of process agents on file with the
Federal Motor Carrier Safety Administration by ------------------------
------
________________________________________________________________________
(Name of association or corporation) and any subsequently filed
revisions thereof, for the States in which this carrier is or may be
authorized to operate, including States traversed during such
operations, except those States for which individual designations are
named.
Sec. 366.6 Cancellation or change.
A designation may be canceled or changed only by a new designation
except that, where a carrier or broker ceases to be subject to Sec.
366.4 in whole or in part for 1 year, designation is no longer required
and may be canceled without making another designation.
[55 FR 11197, Mar. 27, 1990. Redesignated at 61 FR 54707, Oct. 21, 1996;
62 FR 49940, Sept. 24, 1997]
[[Page 53]]
PART 367_STANDARDS FOR REGISTRATION WITH STATES--Table of Contents
Sec.
367.1 Definitions.
367.2 Participation by States.
367.3 Selection of registration State.
367.4 Requirements for registration.
367.5 Registration receipts.
367.6 Registration State accounting.
367.7 Violations unlawful; criminal penalties and civil sanctions.
Appendix A to Part 367--Uniform Application for Single State
Registration for Motor Carriers Registered with the Secretary
of Transportation
Authority: 49 U.S.C. 13301 and 14504; and 49 CFR 1.73.
Source: 58 FR 28933, May 18, 1993, unless otherwise noted.
Redesignated at 61 FR 54707, Oct. 21, 1996.
Editorial Note: Nomenclature changes to part 367 appear at 66 FR
49870, Oct. 1, 2001.
Sec. 367.1 Definitions.
(a) The Secretary. The Secretary of Transportation.
(b) Motor carrier and carrier. 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.
(c) Motor vehicle. A self-propelled or motor driven vehicle operated
by a motor carrier in interstate or foreign commerce under authority
issued by the Secretary.
(d) Principal place of business. A single location that serves as a
motor carrier's headquarters and where it maintains or can make
available its operational records.
(e) State. A State of the United States or the District of Columbia.
[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996,
as amended at 62 FR 15420, Apr. 1, 1997]
Sec. 367.2 Participation by States.
(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.
(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.
Sec. 367.3 Selection of registration State.
(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.
(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.
(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 Sec. 367.4(b)(2), the
carrier may continue to use its prior registration State, if any, for
the next registration year.
(d) A carrier must give notice of its selection to its insurer or
insurers as soon as practicable after it has made its selection.
[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996,
as amended at 62 FR 15420, Apr. 1, 1997]
Sec. 367.4 Requirements for registration.
(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.
[[Page 54]]
(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.
(1) The registration year will be the calendar year.
(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.
(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.
(4) A carrier that has changed its registration State since its last
filing must identify the registration State with which it previously
filed.
(c) A motor carrier must file, or cause to be filed, the following
with its registration State:
(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;
(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;
(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
(4) A fee for the filing of proof of insurance. In support of such
fee, the carrier must submit the following information:
(i) The number of motor vehicles it intends to operate in each
participating State during the next registration year;
(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;
(iii) The total fee due each participating State; and
(iv) The total of all fees specified in paragraph (c)(4)(iii) of
this section.
(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.
(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.
(f) A motor carrier must submit to its insurer or insurers a copy of
the supporting information, including any supplemental information,
filed with
[[Page 55]]
its registration State under paragraphs (c)(4) and (e) of this section.
(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.
(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.
[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996,
as amended at 62 FR 15420, Apr. 1, 1997]
Sec. 367.5 Registration receipts.
(a) On compliance by a motor carrier with the annual or supplemental
registration requirements of Sec. 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.
(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.
(b) Receipts and official copies issued pursuant to a filing made
during the annual registration period specified in Sec. 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.
(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.
(d) A motor carrier may not copy or alter a receipt or an official
copy of a receipt.
(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.
(f) A motor carrier may transfer its official copies of its receipts
from vehicles taken out of service to their replacement vehicles.
(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.
(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.
[60 FR 30012, June 7, 1995. Redesignated at 61 FR 54707, Oct. 21, 1996,
as amended at 62 FR 15420, Apr. 1, 1997]
Sec. 367.6 Registration State accounting.
(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.
(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
[[Page 56]]
with respect to each motor carrier registrant. A participating State
must retain such records for a minimum of 3 years.
(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 Sec.
367.4(c). A registration State must retain all such records for a
minimum of 3 years.
[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996,
as amended at 62 FR 15420, Apr. 1, 1997]
Sec. 367.7 Violations unlawful; criminal penalties and civil sanctions.
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.
Appendix A to Part 367--Uniform Application for Single State
Registration for Motor Carriers Registered with the Secretary of
Transportation
Motor Carrier Identification Numbers:
FMCSA MC No.(s.)________________________________________________________
US DOT No.______________________________________________________________
Applicant (Identical to name on FMCSA order):
Name:___________________________________________________________________
D/B/A___________________________________________________________________
Principal Place of Business Address: \1\
---------------------------------------------------------------------------
\1\ 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.
---------------------------------------------------------------------------
Street__________________________________________________________________
City____________________________________________________________________
State___________________________________________________________________
Zip_____________________________________________________________________
Mailing Address if Different From Business Address Above:
Street__________________________________________________________________
City____________________________________________________________________
State___________________________________________________________________
Zip_____________________________________________________________________
Type of Registration:
[ ] New Carrier Registration-- The motor carrier has not previously
registered.
[ ] Annual Registration-- The motor carrier is renewing its annual
registration.
[ ] Supplemental Registration-- The motor carrier is adding additional
vehicles or States of travel after its annual registration.
[ ] New Registration State Selection-- 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 --------------------.
[ ] Additional States not registered in prior years. List
________________________________________________________________________
________________________________________________________________________
Type of Motor Carrier: (Check one)
[ ] Individual emsp;[ ] Partnership emsp;[ ] Corporation
If corporation, give State in which incorporated:------------------
--
List names of partners or officers:
Name:___________________________________________________________________
Title:__________________________________________________________________
Name:___________________________________________________________________
Title:__________________________________________________________________
Name:___________________________________________________________________
Title:__________________________________________________________________
Type of FMCSA Registered Authority:
Permanent Certificate or Permit [ ] Temporary Authority (TA) [ ]
Emergency Temporary Authority (ETA) [ ]
FMCSA Certificate(s) or Permit(s):
[ ] FMCSA Authority Order(s) attached for initial registration.
[ ] FMCSA Authority Order(s) attached for additional grants received.
[ ] No change from prior year registration.
Proof of Public Liability Security:
[ ] 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.
[ ] 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.
FMCSA Approved Self-Insurance or Other Securities:
[ ] FMCSA Insurance order attached for new carrier registration. (Check
one when completing for annual registration.)
[ ] 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.
[ ] The motor carrier is no longer approved under a self-insurance plan
or other security, and the motor carrier will file, or
[[Page 57]]
cause to be filed, a copy of proof of public liability
security with this application in the registration State.
Hazardous Materials: (Check one)
[ ] The applicant will not haul hazardous materials in any quantity.
[ ] The applicant will haul hazardous materials that require the
following limits in accordance with Title 49 CFR 387.303:
(Check one)
[ ] Public Liability and Property Damage Insurance of $1 million.
[ ] Public Liability and Property Damage Insurance of $5 million.
Process Agents:
[ ] FMCSA Form No. BOC-3 or blanket designation attached for new
registration.
[ ] FMCSA Form No. BOC-3 or blanket designation attached reflecting
changes of designation of process agents.
[ ] No change from prior year registration.
Certification:
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.)
Name (Printed)__________________________________________________________
Signature_______________________________________________________________
Title___________________________________________________________________
Telephone Number________________________________________________________
Date____________________________________________________________________
[58 FR 28933, May 18, 1993. Redesignated at 61 FR 54707, Oct. 21, 1996,
as amended at 62 FR 15420, Apr. 1, 1997]
PART 368_APPLICATION FOR A CERTIFICATE OF REGISTRATION TO OPERATE IN
MUNICIPALITIES IN THE UNITED STATES ON THE UNITED STATES-MEXICO
INTERNATIONAL BORDER OR WITHIN THE COMMERCIAL ZONES OF SUCH
MUNICIPALITIES.--Table of Contents
Sec.
368.1 Certificate of registration.
368.2 Definitions.
368.3 Applying for a certificate of registration.
368.4 Requirement to notify FMCSA of change in applicant information.
368.5 Re-registration of certain carriers holding certificates of
registration.
368.6 FMCSA action on an application.
368.7 Requirement to carry certificate of registration in the vehicle.
368.8 Appeals.
Authority: 49 U.S.C. 13301 and 13902; Pub. L. 106-159, 113 Stat.
1748; and 49 CFR 1.73.
Source: 67 FR 12660, Mar. 19, 2002, unless otherwise noted.
Sec. 368.1 Certificate of registration.
(a) A Mexico-domiciled motor carrier must apply to the FMCSA and
receive a Certificate of Registration to provide interstate
transportation in municipalities in the United States on the United
States-Mexico international border or within the commercial zones of
such municipalities as defined in 49 U.S.C. 13902(c)(4)(A).
(b) A certificate of registration permits only interstate
transportation of property in municipalities in the United States on the
United States-Mexico international border or within the commercial zones
of such municipalities. A holder of a Certificate of Registration who
operates a vehicle beyond this area is subject to applicable penalties
and out-of-service orders.
Sec. 368.2 Definitions.
Interstate transportation means transportation described at 49
U.S.C. 13501, and transportation in the United States otherwise exempt
from the Secretary's jurisdiction under 49 U.S.C. 13506(b)(1).
Mexico-domiciled motor carrier means a motor carrier of property
whose principal place of business is located in Mexico.
Sec. 368.3 Applying for a certificate of registration.
(a) If you wish to obtain a certificate of registration under this
part, you must submit an application that includes the following:
(1) Form OP-2--Application for Mexican Certificate of Registration
for Foreign Motor Carriers and Foreign Motor Private Carriers Under 49
U.S.C. 13902;
(2) Form MCS-150--Motor Carrier Identification Report; and
(3) A notification of the means used to designate process agents,
either by submission in the application package of Form BOC-3--
Designation of Agents--Motor Carriers, Brokers and Freight Forwarders or
a letter stating that the applicant will use a process agent service
that will submit the Form BOC-3 electronically.
[[Page 58]]
(b) The FMCSA will only process your application for a Certificate
of Registration if it meets the following conditions:
(1) The application must be completed in English;
(2) The information supplied must be accurate and complete in
accordance with the instructions to the Form OP-2, Form MCS-150 and Form
BOC-3;
(3) The application must include all the required supporting
documents and applicable certifications set forth in the instructions to
the Form OP-2, Form MCS-150 and Form BOC-3;
(4) The application must include the filing fee payable to the FMCSA
in the amount set forth in 49 CFR 360.3(f)(1); and
(5) The application must be signed by the applicant.
(c) If you fail to furnish the complete application as described
under paragraph (b) of this section your application may be rejected.
(d) If you submit false information under this section, you will be
subject to applicable Federal penalties.
(e) You must submit the application to the address provided in the
instructions to the Form OP-2.
(f) You may obtain the application described in paragraph (a) of
this section from any FMCSA Division Office or download it from the
FMCSA web site at: http://www.fmcsa.dot.gov/factsfigs/formspubs.htm.
Sec. 368.4 Requirement to notify FMCSA of change in applicant
information.
(a) You must notify the FMCSA of any changes or corrections to the
information in Parts I, IA or II submitted on the Form OP-2 or the Form
BOC-3--Designation of Agents--Motor Carriers, Brokers and Freight
Forwarders during the application process or while you have a
Certificate of Registration. You must notify the FMCSA in writing within
45 days of the change or correction.
(b) If you fail to comply with paragraph (a) of this section, the
FMCSA may suspend or revoke the Certificate of Registration until you
meet those requirements.
Sec. 368.5 Re-registration of certain carriers holding certificates of
registration.
(a) Each holder of a certificate of registration that permits
operations only in municipalities in the United States along the United
States-Mexico international border or in commercial zones of such
municipalities issued before April 18, 2002, who wishes to continue
solely in those operations must submit an application according to
procedures established under Sec. 368.3 of this part, except the filing
fee in paragraph (b)(4) of that section is waived. You must file your
application by October 20, 2003.
(b) The FMCSA may suspend or revoke the certificate of registration
of any registrant that fails to comply with the procedures set forth in
this section.
(c) Certificates of registration issued before April 18, 2002,
remain valid until the FMCSA acts on the OP-2 application filed
according to paragraph (a) of this section.
Sec. 368.6 FMCSA action on the application.
(a) The Federal Motor Carrier Safety Administration will review the
application for correctness, completeness, and adequacy of information.
Non-material errors will be corrected without notice to the applicant.
Incomplete applications may be rejected.
(b) If the applicant does not require or is not eligible for a
Certificate of Registration, the FMCSA will deny the application and
notify the applicant.
(c) The FMCSA will validate the accuracy of information and
certifications provided in the application against data maintained in
databases of the governments of Mexico and the United States.
(d) If the FMCSA determines that the application and certifications
demonstrate that the application is consistent with the FMCSA's safety
fitness policy, it will issue a provisional Certificate of Registration,
including a distinctive USDOT Number that identifies the motor carrier
as permitted to provide interstate transportation of property solely in
municipalities in the United States on the U.S.-Mexico international
border or within the
[[Page 59]]
commercial zones of such municipalities.
(e) The FMCSA may issue a permanent Certificate of Registration to
the holder of a provisional Certificate of Registration no earlier than
18 months after the date of issuance of the Certificate and only after
completion to the satisfaction of the FMCSA of the safety monitoring
system for Mexico-domiciled carriers set out in subpart B of part 385 of
this subchapter.
(f) Notice of the authority sought will not be published in either
the Federal Register or the FMCSA Register. Protests or comments will
not be allowed. There will be no oral hearings.
Sec. 368.7 Requirement to carry certificate of registration in the
vehicle.
A holder of a Certificate of Registration must maintain a copy of
the Certificate of Registration in any vehicle providing transportation
service within the scope of the Certificate, and make it available upon
request to any State or Federal authorized inspector or enforcement
officer.
Sec. 368.8 Appeals.
An applicant has the right to appeal denial of the application. The
appeal must be in writing and specify in detail why the agency's
decision to deny the application was wrong. The appeal must be filed
with 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.
PART 370_PRINCIPLES AND PRACTICES FOR THE INVESTIGATION AND VOLUNTARY
DISPOSITION OF LOSS AND DAMAGE CLAIMS AND PROCESSING SALVAGE--Table
of Contents
Sec.
370.1 Applicability of regulations.
370.3 Filing of claims.
370.5 Acknowledgment of claims.
370.7 Investigation of claims.
370.9 Disposition of claims.
370.11 Processing of salvage.
Authority: 49 U.S.C. 13301 and 14706; and 49 CFR 1.73.
Source: 62 FR 32042, June 12, 1997, unless otherwise noted.
Editorial Note: Nomenclature changes to part 370 appear at 66 FR
49870, Oct. 1, 2001.
Sec. 370.1 Applicability of regulations.
The regulations set forth in this part shall govern the processing
of claims for loss, damage, injury, or delay to property transported or
accepted for transportation, in interstate or foreign commerce, by each
motor carrier, water carrier, and freight forwarder (hereinafter called
carrier), subject to 49 U.S.C. subtitle IV, part B.
Sec. 370.3 Filing of claims.
(a) Compliance with regulations. A claim for loss or damage to
baggage or for loss, damage, injury, or delay to cargo, shall not be
voluntarily paid by a carrier unless filed, as provided in paragraph (b)
of this section, with the receiving or delivering carrier, or carrier
issuing the bill of lading, receipt, ticket, or baggage check, or
carrier on whose line the alleged loss, damage, injury, or delay
occurred, within the specified time limits applicable thereto and as
otherwise may be required by law, the terms of the bill of lading or
other contract of carriage, and all tariff provisions applicable
thereto.
(b) Minimum filing requirements. 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:
(1) Containing facts sufficient to identify the baggage or shipment
(or shipments) of property,
(2) Asserting liability for alleged loss, damage, injury, or delay,
and
(3) Making claim for the payment of a specified or determinable
amount of money, shall be considered as sufficient compliance with the
provisions for filing claims embraced in the bill of lading or other
contract of carriage; Provided, however, That where claims are
electronically handled, procedures are established to ensure reasonable
carrier access to supporting documents.
(c) Documents not constituting claims. Bad order reports, appraisal
reports of damage, notations of shortage or damage, or both, on freight
bills, delivery
[[Page 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.
(d) Claims filed for uncertain amounts. Whenever a claim is
presented against a proper carrier for an uncertain amount, such as
``$100 more or less,'' the carrier against whom such claim is filed
shall determine the condition of the baggage or shipment involved at the
time of delivery by it, if it was delivered, and shall ascertain as
nearly as possible the extent, if any, of the loss or damage for which
it may be responsible. It shall not, however, voluntarily pay a claim
under such circumstances unless and until a formal claim in writing for
a specified or determinable amount of money shall have been filed in
accordance with the provisions of paragraph (b) of this section.
(e) Other claims. If investigation of a claim develops that one or
more other carriers has been presented with a similar claim on the same
shipment, the carrier investigating such claim shall communicate with
each such other carrier and, prior to any agreement entered into between
or among them as to the proper disposition of such claim or claims,
shall notify all claimants of the receipt of conflicting or overlapping
claims and shall require further substantiation, on the part of each
claimant of his/her title to the property involved or his/her right with
respect to such claim.
Sec. 370.5 Acknowledgment of claims.
(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.
(b) The carrier shall at the time each claim is received create a
separate file and assign thereto a successive claim file number and note
that number on all documents filed in support of the claim and all
records and correspondence with respect to the claim, including the
acknowledgment of receipt. At the time such claim is received the
carrier shall cause the date of receipt to be recorded on the face of
the claim document, and the date of receipt shall also appear in the
carrier's acknowledgment of receipt to the claimant. The carrier shall
also cause the claim file number to be noted on the shipping order, if
in its possession, and the delivery receipt, if any, covering such
shipment, unless the carrier has established an orderly and consistent
internal procedure for assuring:
(1) That all information contained in shipping orders, delivery
receipts, tally sheets, and all other pertinent records made with
respect to the transportation of the shipment on which claim is made, is
available for examination upon receipt of a claim;
(2) That all such records and documents (or true and complete
reproductions thereof) are in fact examined in the course of the
investigation of the claim (and an appropriate record is made that such
examination has in fact taken place); and
(3) That such procedures prevent the duplicate or otherwise unlawful
payment of claims.
Sec. 370.7 Investigation of claims.
(a) Prompt investigation required. Each claim filed against a
carrier in the manner prescribed in this part shall be promptly and
thoroughly investigated if investigation has not already been made prior
to receipt of the claim.
(b) Supporting documents. When a necessary part of an investigation,
each claim shall be supported by the 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
[[Page 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; Provided, however,
That where property involved in a claim has not been invoiced to the
consignee shown on the bill of lading or where an invoice does not show
price or value, or where the property involved has been sold, or where
the property has been transferred at bookkeeping values only, the
carrier shall, before voluntarily paying a claim, require the claimant
to establish the destination value in the quantity, shipped,
transported, or involved; Provided, further, That when supporting
documents are determined to be a necessary part of an investigation, the
supporting documents are retained by the carriers for possible FMCSA
inspection.
(c) Verification of loss. When an asserted claim for loss of an
entire package or an entire shipment cannot be otherwise authenticated
upon investigation, the carrier shall obtain from the consignee of the
shipment involved a certified statement in writing that the property for
which the claim is filed has not been received from any other source.
Sec. 370.9 Disposition of claims.
(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; Provided, however, That, if the
claim cannot be processed and disposed of within 120 days after the
receipt thereof, the carrier shall at that time and at the expiration of
each succeeding 60-day period while the claim remains pending, advise
the claimant in writing 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.
(b) When settling a claim for loss or damage, a common carrier by
motor vehicle of household goods as defined in Sec. 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: Provided, 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.
Sec. 370.11 Processing of salvage.
(a) Whenever baggage or material, goods, or other property
transported by a carrier subject to the provisions in this part is
damaged or alleged to be damaged and is, as a consequence thereof, not
delivered or is rejected or refused upon tender thereof to the owner,
consignee, or person entitled to receive such property, the carrier,
after giving due notice, whenever practicable to do so, to the owner and
other parties that may have an interest therein, and unless advised to
the contrary after giving such notice, shall undertake to sell or
dispose of such property directly or by the employment of a competent
salvage agent. The carrier shall only dispose of the property in a
manner that will fairly and equally protect the best interests of all
persons having an interest therein. The carrier shall make an itemized
record sufficient to identify the property involved so as to be able to
correlate it to the shipment or transportation involved, and claim, if
any, filed thereon. The carrier also shall assign to each lot of such
property a successive lot number and note that lot number on its record
of shipment and claim, if any claim is filed thereon.
(b) Whenever disposition of salvage material or goods shall be made
directly to an agent or employee of a carrier or through a salvage agent
or company in which the carrier or one or more of its directors,
officers, or managers has any interest, financial or otherwise, that
carrier's salvage
[[Page 62]]
records shall fully reflect the particulars of each such transaction or
relationship, or both, as the case may be.
(c) Upon receipt of a claim on a shipment on which salvage has been
processed in the manner prescribed in this section, the carrier shall
record in its claim file thereon the lot number assigned, the amount of
money recovered, if any, from the disposition of such property, and the
date of transmittal of such money to the person or persons lawfully
entitled to receive the same.
PART 371_BROKERS OF PROPERTY--Table of Contents
Sec.
371.1 Applicability.
371.2 Definitions.
371.3 Records to be kept by brokers.
371.7 Misrepresentation.
371.9 Rebating and compensation.
371.10 Duties and obligations of brokers.
371.13 Accounting.
Authority: 49 U.S.C. 13301, 13501, and 14122; and 49 CFR 1.73.
Source: 45 FR 68942, Oct. 17, 1980, unless otherwise noted.
Redesignated at 61 FR 54707, Oct. 21, 1996.
Sec. 371.1 Applicability.
This part applies, to the extent provided therein, to all brokers of
transportation by motor vehicle as defined in Sec. 371.2.
[32 FR 20034, Dec. 20, 1967, as amended at 62 FR 15421, Apr. 1, 1997]
Sec. 371.2 Definitions.
(a) Broker means a person who, for compensation, arranges, or offers
to arrange, the transportation of property by an authorized motor
carrier. Motor carriers, or persons who are employees or bona fide
agents of carriers, are not brokers within the meaning of this section
when they arrange or offer to arrange the transportation of shipments
which they are authorized to transport and which they have accepted and
legally bound themselves to transport.
(b) Bona fide agents are persons who are part of the normal
organization of a motor carrier and perform duties under the carrier's
directions pursuant to a preexisting agreement which provides for a
continuing relationship, precluding the exercise of discretion on the
part of the agent in allocating traffic between the carrier and others.
(c) Brokerage or brokerage service is the arranging of
transportation or the physical movement of a motor vehicle or of
property. It can be performed on behalf of a motor carrier, consignor,
or consignee.
(d) Non-brokerage service is all other service performed by a broker
on behalf of a motor carrier, consignor, or consignee.
Sec. 371.3 Records to be kept by brokers.
(a) A broker shall keep a record of each transaction. For purposes
of this section, brokers may keep master lists of consignors and the
address and registration number of the carrier, rather than repeating
this information for each transaction. The record shall show:
(1) The name and address of the consignor;
(2) The name, address, and registration number of the originating
motor carrier;
(3) The bill of lading or freight bill number;
(4) The amount of compensation received by the broker for the
brokerage service performed and the name of the payer;
(5) A description of any non-brokerage service performed in
connection with each shipment or other activity, the amount of
compensation received for the service, and the name of the payer; and
(6) The amount of any freight charges collected by the broker and
the date of payment to the carrier.
(b) Brokers shall keep the records required by this section for a
period of three years.
(c) Each party to a brokered transaction has the right to review the
record of the transaction required to be kept by these rules.
[45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996,
as amended at 62 FR 15421, Apr. 1, 1997]
Sec. 371.7 Misrepresentation.
(a) A broker shall not perform or offer to perform any brokerage
service (including advertising), in any name other than that in which
its registration is issued.
[[Page 63]]
(b) A broker shall not, directly or indirectly, represent its
operations to be that of a carrier. Any advertising shall show the
broker status of the operation.
[45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996,
as amended at 62 FR 15421, Apr. 1, 1997]
Sec. 371.9 Rebating and compensation.
(a) A broker shall not charge or receive compensation from a motor
carrier for brokerage service where:
(1) The broker owns or has a material beneficial interest in the
shipment or
(2) The broker is able to exercise control over the shipment because
the broker owns the shipper, the shipper owns the broker, or there is
common ownership of the two.
(b) A broker shall not give or offer to give anything of value to
any shipper, consignor or consignee (or their officers or employees)
except inexpensive advertising items given for promotional purposes.
Sec. 371.10 Duties and obligations of brokers.
Where the broker acts on behalf of a person bound by law or the
FMCSA regulation as to the transmittal of bills or payments, the broker
must also abide by the law or regulations which apply to that person.
[45 FR 68943, Oct. 17, 1980, as amended at 62 FR 15421, Apr. 1, 1997]
Sec. 371.13 Accounting.
Each broker who engages in any other business shall maintain
accounts so that the revenues and expenses relating to the brokerage
portion of its business are segregated from its other activities.
Expenses that are common shall be allocated on an equitable basis;
however, the broker must be prepared to explain the basis for the
allocation.
[45 FR 68943, Oct. 17, 1980]
PART 372_EXEMPTIONS, COMMERCIAL ZONES, AND TERMINAL AREAS--Table of
Contents
Subpart A_Exemptions
Sec.
372.101 Casual, occasional, or reciprocal transportation of passengers
for compensation when such transportation is sold or arranged
by anyone for compensation.
372.103 Motor vehicles employed solely in transporting school children
and teachers to or from school.
372.107 Definitions.
372.109 Computation of tonnage allowable in nonfarm-non-member
transportation.
372.111 Nonmember transportation limitation and record keeping.
372.113 [Reserved]
372.115 Commodities that are not exempt under 49 U.S.C. 13506(a)(6).
372.117 Motor transportation of passengers incidental to transportation
by aircraft.
Subpart B_Commercial Zones
372.201 Albany, NY.
372.203 Beaumont, TX.
372.205 Charleston, SC.
372.207 Charleston, WV.
372.209 Lake Charles, LA.
372.211 Pittsburgh, PA.
372.213 Pueblo, CO.
372.215 Ravenswood, WV.
372.217 Seattle, WA.
372.219 Washington, DC.
372.221 Twin Cities.
372.223 Consolidated governments.
372.225 Lexington-Fayette Urban County, KY.
372.227 Syracuse, NY.
372.229 Spokane, WA.
372.231 Tacoma, WA.
372.233 Chicago, IL.
372.235 New York, NY.
372.237 Cameron, Hidalgo, Starr, and Willacy Counties, TX.
372.239 Definitions.
372.241 Commercial zones determined generally, with exceptions.
372.243 Controlling distances and population data.
Subpart C_Terminal Areas
372.300 Distances and population data.
372.301 Terminal areas of motor carriers and freight forwarders at
municipalities served.
372.303 Terminal areas of motor carriers and freight forwarders at
unincorporated communities served.
Authority: 49 U.S.C. 13504 and 13506; and 49 CFR 1.73.
[[Page 64]]
Editorial Note: Nomenclature changes to part 372 appear at 66 FR
49870, Oct. 1, 2001.
Subpart A_Exemptions
Source: 32 FR 20036, Dec. 20, 1967, unless otherwise noted.
Redesignated at 61 FR 54708, Oct. 21, 1996.
Sec. 372.101 Casual, occasional, or reciprocal transportation of
passengers for compensation when such transportation is sold or
arranged by anyone for compensation.
The partial exemption from regulation under the provisions of 49
U.S.C. subtitle IV, part B of the casual, occasional, and reciprocal
transportation of passengers by motor vehicle in interstate or foreign
commerce for compensation as provided in 49 U.S.C. 13506(b) be, and it
is hereby, removed to the extent necessary to make applicable all
provisions of 49 U.S.C. subtitle IV, part B to such transportation when
sold or offered for sale, or provided or procured or furnished or
arranged for, by any person who sells, offers for sale, provides,
furnishes, contracts, or arranges for such transportation for
compensation or as a regular occupation or business.
[32 FR 20036, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996,
as amended at 62 FR 15421, Apr. 1, 1997]
Sec. 372.103 Motor vehicles employed solely in transporting school
children and teachers to or from school.
The exemption set forth in 49 U.S.C. 13506(a)(1) shall not be
construed as being inapplicable to motor vehicles being used at the time
of operation in the transportation of schoolchildren and teachers to or
from school, even though such motor vehicles are employed at other times
in transportation beyond the scope of the exemption.
[36 FR 9022, May 18, 1971, as amended at 62 FR 15421, Apr. 1, 1997]
Sec. 372.107 Definitions.
As used in the regulations in this part, the following terms shall
have the meaning shown:
(a) Cooperative association. The term ``cooperative association''
means an association which conforms to the following definition in the
Agricultural Marketing Act, approved June 15, 1929, as amended (12
U.S.C. 1141j):
As used in this Act, the term cooperative association means any
association in which farmers act together in processing, preparing for
market, handling, and/or marketing the farm products of persons so
engaged, and also means any association in which farmers act together in
purchasing, testing, grading, processing, distributing, and/or
furnishing farm supplies and/or farm business services. Provided,
however, That such associations are operated for the mutual benefit of
the members thereof as such producers or purchasers and conform to one
or both of the following requirements:
First. That no member of the association is allowed more than one
vote because of the amount of stock or membership capital he may own
therein; and
Second. That the association does not pay dividends on stock or
membership capital in excess of 8 per centum per annum.
And in any case to the following:
Third. That the association shall not deal in farm products, farm
supplies and farm business services with or for nonmembers in an amount
greater in value than the total amount of such business transacted by it
with or for members. All business transacted by any cooperative
association for or on behalf of the United States or any agency or
instrumentality thereof shall be disregarded in determining the volume
of member and nonmember business transacted by such association.
Associations which do not conform to such definition are not eligible to
operate under the partial exemption of 49 U.S.C. 13506(a)(5).
(b) Federation of cooperative associations. The term ``federation of
cooperative associations'' means a federation composed of either two or
more cooperative associations, or one or more farmers, which federation
possesses no greater powers or purposes than a cooperative association
as defined in paragraph (a) of this section. Federations of cooperative
associations which do not conform to such definition are not eligible to
operate under the partial exemption of 49 U.S.C. 13506(a)(5).
(c) Member. The term ``member'' means any farmer or cooperative
association which has consented to be, has been accepted as, and is a
member in good standing in accordance with the constitution, bylaws, or
rules of the cooperative association or federation of cooperative
associations.
[[Page 65]]
(d) Farmer. The term ``farmer'' means any individual, partnership,
corporation, or other business entity to the extent engaged in farming
operations either as a producer of agricultural commodities or as a farm
owner.
(e) Interstate transportation. The term ``interstate
transportation'' means transportation by motor vehicle in interstate or
foreign commerce subject to the FMCSA's jurisdiction as set forth in 49
U.S.C. 13501.
(f) Member transportation. The term ``member transportation'' means
transportation performed by a cooperative association or federation of
cooperative associations for itself or for its members, but does not
include transportation performed in furtherance of the nonfarm business
of such members.
(g) Nonmember transportation. The term ``nonmember transportation''
means transportation performed by a cooperative association or
federation of cooperative associations other than member transportation
as defined in paragraph (f) of this section.
(h) Fiscal year. The term ``fiscal year'' means the annual
accounting period adopted by the cooperative association or federation
of cooperative associations for Federal income tax reporting purposes.
[43 FR 2397, Jan. 17, 1978, as amended at 45 FR 45524, July 3, 1980; 47
FR 13353, Mar. 30, 1982; 47 FR 15142, Apr. 8, 1982]
Sec. 372.109 Computation of tonnage allowable in nonfarm-non-member
transportation.
Interstate transportation performed by a cooperative association or
federation of cooperative associations for nonmembers who are not
farmers, cooperative associations, or federations of associations or the
United States Government for compensation, (except transportation
otherwise exempt under subtitle IV, part B, chapter 135 of title 49 of
the United States Code) shall be limited to that which is incidental to
its primary transportation operation and necessary for its effective
performance. It shall in no event exceed 25 percent of its total
interstate transportation services in any fiscal year, measured in terms
of tonnage. A cooperative association or federation of cooperative
associations may transport its own property, its members' property,
property of other farmers and the property of other cooperatives or
federations in accordance with existing law, except where the provisions
of Sec. 372.111 may be applicable to the limit on member/nonmember
transportation.
(a) The phrase ``incidental to its primary transportation operation
and necessary for its effective performance'' means that the interstate
transportation of the cooperative association or federation of
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;
(b) The base tonnage to which the 25-percent limitation is applied
is all tonnage of all kinds transported by the cooperative association
or federation of cooperative associations in interstate or foreign
commerce, whether for itself, its members or nonmembers, for or on
behalf of the United States or any agency or instrumentality thereof,
and that performed within the exemption provided by 49 U.S.C.
13506(a)(5).
[43 FR 2397, Jan. 17, 1978, as amended at 43 FR 21894, May 22, 1978; 45
FR 45524, July 3, 1980; 62 FR 49940, Sept. 24, 1997]
Sec. 372.111 Nonmember transportation limitation and record keeping.
(a) Overall limitation of nonmember transportation. No cooperative
association or federation of cooperative associations may engage in
nonmember interstate transportation for compensation in any fiscal year
which, measured in terms of tonnage, exceeds
[[Page 66]]
its total interstate member transportation in such fiscal year.
(b) Records of interstate transportation when nonmember
transportation is performed. Any cooperative association or federation
of cooperative associations performing interstate transportation for
nonmembers shall prepare and retain for a period of at least two years
written records of all interstate transportation performed for members
and nonmembers. These records shall contain:
(1) The date of the shipment,
(2) The names and addresses of the consignor and consignee,
(3) The origin and destination of the shipment,
(4) A description of the articles in the shipment,
(5) The weight or volume of the shipment,
(6) A description of the equipment used either by unit number or
license number and, in the event this equipment is nonowned, the name
and address of its owners and drivers,
(7) The total charges collected,
(8) A copy of all leases executed by the cooperative association or
federation of cooperative associations to obtain equipment to perform
transportation under 49 U.S.C. 13506(a)(5),
(9) Whether the transportation performed is:
(i) Member transportation,
(ii) Nonmember transportation for nonmembers who are farmers,
cooperative associations, or federations thereof,
(iii) Other nonmember transportation, and if of class (iii), how the
transportation was incidental and necessary as defined in Sec.
372.109(a).
[43 FR 2397, Jan. 17, 1978, as amended at 45 FR 45524, July 3, 1980; 62
FR 38036, July 16, 1997; 62 FR 49940, Sept. 24, 1997]
Sec. 372.113 [Reserved]
Sec. 372.115 Commodities that are not exempt under 49 U.S.C. 13506(a)(6).
49 U.S.C. 13506(a)(6) provides an exemption from regulation for
motor vehicles used in carrying ordinary livestock, fish, and
unmanufactured agricultural commodities. Certain specific commodities
have been statutorily determined to be non-exempt. Administrative Ruling
No. 133, which is reproduced below, is a list of those commodities that
are non-exempt by statute.
Administrative Ruling No. 133
List of Commodities That Are Not Exempt by Statute Under 49 U.S.C.
13506(a)(6)
Animal fats
Butter
Canned fruits and vegetables
Carnauba wax as imported in slabs or chunks
Cattle, slaughtered
Charcoal
Cheese
Coal
Cocoa beans
Coffee, beans, roasted, or instant
Copra meal
Cotton yarn
Cottonseed cake or meal
Diatomaceous earth
Dinners, frozen
Feeds:
Alfalfa meal
Alfalfa pellets
Beet pulp
Bran shorts
Copra meal
Corn gluten
Distilled corn grain residues, with or without solubles added
Fish meal
Hominy feed
Middlings
Pelletized ground refuse screenings
Wheat bran
Wheat shorts
Fertilizer, commercial
Fish:
Canned or salted as a treatment for preserving
Cooked or partially cooked fish or shrimp, frozen or unfrozen
Hermetically sealed in containers as a treatment for preserving
Oil from fishes
Preserved, or treated for preserving, such as smoked, salted,
pickled, spiced, corned or kippered
Flagstone
Flaxseed meal
Flour
Forest products:
Resin products, such as turpentine
Fruits and Berries:
Bananas, fresh, dried, dehydrated, or frozen
Canned
Frozen
Hulls of oranges after juice extractions
Juice, fruit, plain or concentrated
Pies, frozen
[[Page 67]]
Preserved, such as jam
Purees, strawberry and other, frozen
Grains:
Oils extracted from grain
Popcorn, popped
Rice, precooked
Wheat germ
Gravel
Hair, hog or other animal, product of slaughter of animal
Hay, sweetened with 3 percent molasses by weight
Hemp fiber
Hides, green and salted
Insecticides
Limestone, agricultural
Livestock:
Monkeys
Race horses
Show horses
Zoo animals
Lumber, rough sawed or planed
Maple syrup
Meal:
Alfalfa
Copra
Cottonseed
Fish
Flaxseed
Linseed
Peanut
Soybean
Meat and meat products, fresh, frozen or canned
Milk and Cream:
Chocolate
Condensed
Sterilized in hermetically sealed cans
Molasses
Nuts (including peanuts):
Peanut meal
Roasted or boiled
Oil, mint
Oil, extracted from vegetables, grain, seed, fish or other commodity
Pelts
Pies, frozen
Pigeons, racing
Pulp, beet
Pulp, sugar cane
Rock (except natural crushed, vesicular rock to be used for decorative
purposes)
Rubber, crude, in bales
Rubber, latex, natural, liquid, from which water has been extracted and
to which ammonia has been added
Sand
Seeds:
Oil extracted from seeds
Skins, animal
Soil, potting
Soil, top
Soup, frozen
Sugar
Sugar cane pulp
Sugar raw
Syrup, cane
Syrup, maple
Tea
Tobacco:
Cigars and cigarettes
Homogenized
Smoking
Top Soil
Trees:
Sawed into lumber
Vegetables:
Candied sweet potatoes, frozen
Canned
Cooked
French fried potatoes
Oil, extracted from vegetables
Soup, frozen
Soybean meal
Wool imported from a foreign country
Wool tops and noils
Wool waste (carded, spun, woven, or knitted)
Wool yarn
Note 1: Under 49 U.S.C. 13506(a)(6)(D), any listed fish or shellfish
product that is not intended for human consumption is exempt.
Note 2: Under 49 U.S.C. 13506(a)(6)(E), any listed livestock feed,
poultry feed, agricultural seeds, or plants that are transported to a
site of agricultural production or to a business enterprise engaged in
the sale to agricultural producers of goods used in agricultural
production is exempt
[53 FR 17707, May 18, 1988, as amended at 62 FR 15421, Apr. 1, 1997]
Sec. 372.117 Motor transportation of passengers incidental to
transportation by aircraft.
(a) Passengers having an immediately prior or subsequent movement by
air. The transportation of passengers by motor vehicle is transportation
incidental to transportation by aircraft provided (1) that it is
confined to the transportation of passengers who have had or will have
an immediately prior or immediately subsequent movement by air and (2)
that the zone within which motor transportation is incidental to
transportation by aircraft, except as it may be individually determined
as provided in 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
[[Page 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.
(b) Substituted motor-for-air transportation due to emergency
conditions. Transportation of passengers by motor vehicle is
transportation incidental to transportation by aircraft if it
constitutes substituted motor-for-air service performed at the expense
of the air carrier in emergency situations arising from the inability of
the air carrier to perform air transportation due to adverse weather
conditions, equipment failure, or other causes beyond the control of the
air carrier.
(c) Individual determination of exempt zones. Upon its own motion or
upon petition filed by any interested person, the Secretary may in an
appropriate proceeding, determine whether the area within which the
transportation by motor vehicle of passengers having an immediately
prior or subsequent movement by air must be performed, in order to come
within the provisions of paragraph (a) of this section, should be
individually determined with respect to any particular airport or city
served by an airport, and whether there should be established therefor
appropriate boundaries differing in extent from this defined in
paragraph (a)(2) of this section.
(d) Exempt zones and operations--(1) Dulles and Baltimore-Washington
International Airports. The transportation by motor vehicle, in
interstate or foreign commerce, of passengers, having an immediately
prior or subsequent movement by air, between Dulles International
Airport, near Chantilly, Va., and Baltimore-Washington International
Airport, near Baltimore, Md., is partially exempt from regulation under
49 U.S.C. 13506(a)(8)(A).
(2) Savannah, Ga., Airport. The transportation by motor vehicle, in
interstate or foreign commerce, of passengers, having an immediately
prior or subsequent movement by air, between Savannah, Ga., Airport and
all points on Hilton Head Island, SC, is partially exempt from
regulation under 49 U.S.C. 13506(a)(8)(A).
(3) Chicago O'Hare International Airport (Chicago, Ill.). The
transportation by motor vehicle, in interstate or foreign commerce, of
passengers, having an immediately prior or subsequent movement by air,
between O'Hare International Airport, at Chicago, Ill., on the one hand,
and, on the other, points in Indiana on and north of U.S. Highway 30 and
on and west of Indiana Highway 49, is partially exempt from regulation
under 49 U.S.C. 13506(a)(8)(A).
[32 FR 20036, Dec. 20, 1967, as amended at 37 FR 5252, Mar. 11, 1972; 42
FR 10003, Feb. 18, 1977; 42 FR 15705; Mar. 23, 1977; 62 FR 15421, Apr.
1, 1997]
Subpart B_Commercial Zones
Source: 41 FR 56653, Dec. 29, 1976, unless otherwise noted.
Redesignated at 61 FR 54708, Oct. 21, 1996.
Sec. 372.201 Albany, NY.
The zone adjacent to, and commercially a part of Albany, N.Y.,
within which transportation by motor vehicle, in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Albany, N.Y., itself.
(b) All points within a line drawn eight miles beyond the municipal
limits of Albany.
(c) All points in that area more than eight miles beyond the
municipal limits of Albany bounded by a line as follows: Beginning at
that point on the western boundary of Cohoes, N.Y., where it crosses the
line described in paragraph (b) of this section, thence along the
western and northern boundary of Cohoes to the Mohawk River thence along
such river to the northern boundary of the Town of Waterford thence
along the northern and eastern boundaries of the Town of Waterford to
the northern boundary of the City of Troy (all of which city is included
under the next provision).
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
[[Page 69]]
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Albany or any other
municipality included under the terms of paragraph (d) of this section.
[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.203 Beaumont, TX.
The zone adjacent to, and commercially a part of Beaumont, Tex.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Beaumont, Tex., itself;
(b) All points within a line drawn 8 miles beyond the municipal
limits of Beaumont;
(c) All points in Jefferson County and Orange County, Tex.;
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Beaumont or by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.205 Charleston, S.C.
The zone adjacent to, and commercially a part of Charleston, S.C.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Charleston, S.C., itself;
(b) All points within a line drawn 6 miles beyond the municipal
limits of Charleston;
(c) Those points in Charleston County, S.C., which are not within
the areas described in paragraph (b) of this section; and those points
in Berkley County, S.C., which are not within the areas described in
paragraph (b) of this section, and which are west of South Carolina
Highway 41; and all points in Dorchester County, SC.
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Charleston or by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56653, Dec. 29, 1976, as amended at 46 FR 28658, May 28, 1981; 62
FR 15422, Apr. 1, 1997]
Sec. 372.207 Charleston, WV.
The zone adjacent to, and commercially a part of Charleston, W. Va.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Charleston, W. Va., itself;
(b) All points within a line drawn 6 miles beyond the municipal
limits of Charleston;
(c) Those points in Kanawha County, W. Va., which are not within the
area described in paragraph (b) of this section; and those points in
Putnam County, W. Va., south of West Virginia Highway 34;
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Charleston or by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
[[Page 70]]
Sec. 372.209 Lake Charles, LA.
The zone adjacent to, and commercially a part of Lake Charles, La.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Lake Charles, La., itself;
(b) All points within a line drawn 6 miles beyond the municipal
limits of Lake Charles;
(c) Those points in Calcasieu Parish, La., which are not within the
area described in paragraph (b) of this section; and which are east of
Louisiana Highway 27 (western section);
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Lake Charles or by
any other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.211 Pittsburgh, PA.
The zone adjacent to, and commercially a part of Pittsburgh within
which transportation by motor vehicle in interstate or foreign commerce,
not under common control, management, or arrangement for a continuous
carriage or shipment to or from a point beyond such zone, is partially
exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is
comprised of all points as follows:
(a) The municipality of Pittsburgh, Pa., itself;
(b) All points within a line drawn 15 miles beyond the municipal
limits of Pittsburgh;
(c) Those points in Allegheny County, Pa., which are not within the
area described in paragraph (b) of this section;
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Pittsburgh by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.213 Pueblo, CO.
The zone adjacent to, and commercially a part of Pueblo, Colo.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Pueblo, Colo., itself;
(b) All points within a line drawn 6 miles beyond the municipal
limits of Pueblo;
(c) Those points in Pueblo County, Colo., which are not within the
area described in paragraph (b) of this section;
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality included under the
terms of paragraph (d) of this section.
[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.215 Ravenswood, WV.
The zone adjacent to, and commercially a part of Ravenswood, W. Va.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Ravenswood, W. Va., itself;
[[Page 71]]
(b) All points within a line drawn 4 miles beyond the municipal
limits of Ravenswood;
(c) Those points in Jackson County, W. Va., which are not within the
area described in paragraph (b) of this section, and which are north of
U.S. Highway 33;
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Ravenswood or by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.217 Seattle, WA.
The zone adjacent to, and commercially a part of Seattle, Wash.,
within which transportation by motor vehicle in interstate or foreign
commerce, not under common control, management, or arrangement for a
continuous carriage or shipment to or from a point beyond such zone, is
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes
and is comprised of all points as follows:
(a) The municipality of Seattle, Wash., itself;
(b) All points within a line drawn 15 miles beyond the municipal
limits of Seattle;
(c) Those points in King County, Wash., which are not within the
area described in paragraph (b) of this section, and which are west of a
line beginning at the intersection of the line described in paragraph
(b) of this section and Washington Highway 18, thence northerly along
Washington Highway 18 to junction of Interstate Highway 90, thence
westerly along Interstate Highway 90 to junction Washington Highway 203,
thence northerly along Washington Highway 203 to the King County line;
and those points in Snohomish County, Wash., which are not within the
area described in paragraph (b) of this section and which are west of
Washington Highway 9; and those points in Kitsap County, Wash., which
are not within the area described in paragraph (b) of this section lying
within the area bounded by a line beginning at the intersection of the
line described in paragraph (b) of this section and Washington Highway 3
to the boundary of Olympic View Industrial Park/Bremerton-Kitsap County
Airport, thence westerly, southerly, easterly, and northerly along the
boundary of Olympic View Industrial Park/ Bremerton-Kitsap County
Airport to its juncture with Washington Highway 3 to its intersection
with the line described in paragraph (b) of this section.
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Seattle or by any
other municipality included under the terms of paragraph (d) of this
section.
[41 FR 56654, Dec. 29, 1976, as amended at 46 FR 25314, May 6, 1981; 62
FR 15422, Apr. 1, 1997]
Sec. 372.219 Washington, DC
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:
(a) The municipality of Washington, D.C., itself;
(b) All points within a line drawn 15 miles beyond the municipal
limits of Washington, DC
(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.
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c) of this section,
and
(e) All of any municipality wholly surrounded, or so surrounded
except for a water boundary, by the municipality of Washington, D.C., or
by any other
[[Page 72]]
municipality included under the terms of paragraph (d) of this section.
[41 FR 56654, Dec. 29, 1976, as amended at 46 FR 56424, Nov. 17, 1981;
62 FR 15422, Apr. 1, 1997]
Sec. 372.221 Twin Cities.
For the purpose of determining commercial zones, utilizing the
general population-mileage formula as set forth in Sec. 372.241, each
of the following combinations of cities shall be considered as a single
municipality:
(a) Having a population equal to the sum of their combined
populations, and
(b) Having boundaries comprised of their combined corporate limits,
with the common portion thereof disregarded:
(1) Bluefield, Va.-W. Va.
(2) Bristol, Va.-Tenn.
(3) Davenport, Iowa, and Rock Island and Moline, Ill.
(4) Delmar, Del-Md.
(5) Harrison, Ohio-West Harrison, Ind.
(6) Junction City, Ark.-La.
(7) Kansas City, Mo.-Kansas City, Kans.
(8) Minneapolis-St. Paul, Minn.
(9) St. Louis, Mo.-East St. Louis, Ill.
(10) Texarkana, Ark.-Tex.
(11) Texhoma, Tex.-Okla.
(12) Union City, Ind.-Ohio.
[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.223 Consolidated governments.
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:
(a) All points within the boundaries of the consolidated government.
(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.
(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.
(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.
[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.225 Lexington-Fayette Urban County, KY.
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:
(a) Lexington-Fayette Urban County, Ky., itself.
(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.
[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]
Sec. 372.227 Syracuse, NY.
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:
(a) The municipality of Syracuse, N.Y., itself;
[[Page 73]]
(b) All points within a line drawn 10 miles beyond the municipal
limits of Syracuse;
(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;
(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
(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.
[42 FR 44816, Sept. 7, 1977. Redesignated at 55 FR 42198, Oct. 18, 1990,
as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.229 Spokane, WA.
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:
(a) The municipality of Spokane, WA, itself,
(b) All points within a line drawn 8 miles beyond the municipal
limits of Spokane;
(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;
(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
(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.
[45 FR 62085, Sept. 18, 1980. Redesignated and amended at 55 FR 42198,
Oct. 18, 1990; 62 FR 15422, Apr. 1, 1997]
Sec. 372.231 Tacoma, WA.
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:
(a) The municipality of Tacoma, WA, itself;
(b) All points within a line drawn 8 miles beyond the municipal
limits of Tacoma;
(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.
(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
[[Page 74]]
(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.
[45 FR 66460, Oct. 7, 1980. Redesignated at 55 FR 42198, Oct. 18, 1990,
as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.233 Chicago, IL.
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:
(a) The municipality of Chicago, IL, itself;
(b) All points within a line drawn 20 miles beyond the municipal
limits of Chicago;
(c) All points in Lake County, IL.
(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
(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.
[46 FR 11286, Feb. 6, 1981. Redesignated at 55 FR 42198, Oct. 18, 1990,
as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.235 New York, NY.
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:
(a) The municipality of New York, NY, itself;
(b) All points within a line drawn 20 miles beyond the municipal
limits of New York, NY;
(c) All points in Morris County, NJ;
(d) All of any municipality any part of which is within the limits
of the combined areas defined in paragraphs (b) and (c); and
(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.
[50 FR 34478, Aug. 26, 1985. Redesignated at 55 FR 42198, Oct. 18, 1990,
as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.237 Cameron, Hidalgo, Starr, and Willacy Counties, TX.
(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).
(b) To the extent that commercial zones of municipalities within the
four counties (as determined under Sec. 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).
[51 FR 1815, Jan. 15, 1986. Redesignated at 55 FR 42198, Oct. 18, 1990,
as amended at 62 FR 15422, Apr. 1, 1997]
Sec. 372.239 Definitions.
For the purposes of this part, the following terms are defined:
(a) Municipality 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.
(b) Contiguous municipalities means municipalities, as defined in
paragraph (a) of this section, which have at some point a common
municipal or corporate boundary.
(c) Unincorporated area means any area not within the corporate or
municipal boundaries of any municipality
[[Page 75]]
as defined in paragraph (a) of this section.
[32 FR 20048, Dec. 20, 1967]
Sec. 372.241 Commercial zones determined generally, with exceptions.
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:
(a) The municipality itself, hereinafter called the base
municipality;
(b) All municipalities which are contiguous to the base
municipality;
(c) All other municipalities and all unincorporated areas within the
United States which are adjacent to the base municipality as follows:
(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,
(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.
(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
(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.
(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.
(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.
(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
(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.
Note: Except: Municipalities the commercial zones of which have been
or are hereafter individually or specially determined.
[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]
Sec. 372.243 Controlling distances and population data.
In the application of Sec. 372.241:
(a) Air-line distances or mileages about corporate limits of
municipalities shall be used.
(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.
(c) Contraction of municipal boundaries will not alter the size of
commercial zones.
[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]
Subpart C_Terminal Areas
Source: 32 FR 20049, Dec. 20, 1967, unless otherwise noted.
Redesignated at 61 FR 54708, Oct. 21, 1996.
[[Page 76]]
Sec. 372.300 Distances and population data.
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.
[62 FR 15422, Apr. 1, 1997]
Sec. 372.301 Terminal areas of motor carriers and freight forwarders
at municipalities served.
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:
(a) Within the commercial zone, as defined by the Secretary, of that
municipality, and
(b) Not beyond the limits of the operating authority of such motor
carrier of property or freight forwarder.
[62 FR 15422, Apr. 1, 1997]
Sec. 372.303 Terminal areas of motor carriers and freight forwarders
at unincorporated communities served.
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:
(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;
(b) All of any municipality any part of which is included under
paragraph (a) of this section; and
(c) Any municipality wholly surrounded by any municipality included
under paragaph (b) of this section, or so wholly surrounded except for a
water boundary.
[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]
PART 373_RECEIPTS AND BILLS--Table of Contents
Subpart A_Motor Carrier Receipts and Bills
Sec.
373.101 Motor Carrier bills of lading.
373.103 Expense bills.
373.105 Low value packages.
Subpart B_Freight Forwarders; Bills of Lading
373.201 Bills of lading for freight forwarders.
Authority: 49 U.S.C. 13301 and 14706; and 49 CFR 1.73.
Subpart A_Motor Carrier Receipts and Bills
Source: 55 FR 11198, Mar. 27, 1990, unless otherwise noted.
Redesignated at 61 FR 54708, Oct. 21, 1996.
Sec. 373.101 Motor Carrier bills of lading.
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:
(a) Names of consignor and consignee.
(b) Origin and destination points.
(c) Number of packages.
(d) Description of freight.
(e) Weight, volume, or measurement of freight (if applicable to the
rating of the freight).
[[Page 77]]
The carrier shall keep a record of this information as prescribed in 49
CFR part 379.
[55 FR 11198, Mar. 27, 1990, as amended at 56 FR 30874, July 8, 1991; 62
FR 15423, Apr. 1, 1997]
Sec. 373.103 Expense bills.
(a) Property. Every motor common carrier shall issue a freight or
expense bill for each shipment transported containing the following
information:
(1) Names of consignor and consignee (except on a reconsigned
shipment, not the name of the original consignor).
(2) Date of shipment.
(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).
(4) Number of packages.
(5) Description of freight.
(6) Weight, volume, or measurement of freight (if applicable to the
rating of the freight).
(7) Exact rate(s) assessed.
(8) Total charges due, including the nature and amount of any
charges for special service and the points at which such service was
rendered.
(9) Route of movement and name of each carrier participating in the
transportation.
(10) Transfer point(s) through which shipment moved.
(11) Address where remittance must be made or address of bill
issuer's principal place of business.
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.
(b) Charter service. Every motor passenger common carrier providing
charter service shall issue an expense bill containing the following
information:
(1) Serial number, consisting of one of a series of consecutive
numbers assigned in advance and imprinted on the bill.
(2) Name of carrier.
(3) Names of payor and organization, if any, for which
transportation is performed.
(4) Date(s) transportation was performed.
(5) Origin, destination, and general routing of trip.
(6) Identification and seating capacity of each vehicle used.
(7) Number of persons transported.
(8) Mileage upon which charges are based, including any deadhead
mileage, separately noted.
(9) Applicable rates per mile, hour, day, or other unit.
(10) Itemized charges for transportation, including special services
and fees.
(11) Total charges assessed and collected.
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.
[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]
Sec. 373.105 Low value packages.
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.
[55 FR 11198, Mar. 27, 1990. Redesignated at 61 FR 54708, Oct. 21, 1996,
as amended at 62 FR 15423, Apr. 1, 1997]
Subpart B_Freight Forwarders; Bills of Lading
Sec. 373.201 Bills of lading for freight forwarders.
Every household goods freight forwarder (HHGFF) shall issue the
shipper
[[Page 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.
[55 FR 11201, Mar. 27, 1990. Redesignated at 61 FR 54708, Oct. 21,
1996.]
PART 374_PASSENGER CARRIER REGULATIONS--Table of Contents
Subpart A_Discrimination in Operations of Interstate Motor Common
Carriers of Passengers
Sec.
374.101 Discrimination prohibited.
374.103 Notice to be printed on tickets.
374.105 Discrimination in terminal facilities.
374.107 Notice to be posted at terminal facilities.
374.109 Carriers not relieved of existing obligations.
374.111 Reports of interference with regulations.
374.113 Definitions.
Subpart B_Limitation of Smoking on Interstate Passenger Carrier Vehicles
374.201 Prohibition against smoking on interstate passenger-carrying
motor vehicles.
Subpart C_Adequacy of Intercity Motor Common Carrier Passenger Service
374.301 Applicability.
374.303 Definitions.
374.305 Ticketing and information.
374.307 Baggage service.
374.309 Terminal facilities.
374.311 Service responsibility.
374.313 Equipment.
374.315 Transportation of passengers with disabilities.
374.317 Identification--bus and driver.
374.319 Relief from provisions.
Subpart D_Notice of and Procedures for Baggage Excess Value Declaration
374.401 Minimum permissible limitations for baggage liability.
374.403 Notice of passenger's ability to declare excess value on
baggage.
374.405 Baggage excess value declaration procedures.
Subpart E_Incidental Charter Rights
374.501 Applicability.
374.503 Authority.
374.505 Exceptions.
Authority: 49 U.S.C. 13301 and 14101; and 49 CFR 1.73.
Editorial Note: Nomenclature changes to part 374 appear at 66 FR
49871, Oct. 1, 2001.
Subpart A_Discrimination in Operations of Interstate Motor Common
Carriers of Passengers
Source: 36 FR 1338, Jan. 28, 1971, unless otherwise noted.
Redesignated at 61 FR 54709, Oct. 21, 1996.
Sec. 374.101 Discrimination prohibited.
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.
[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996,
as amended at 62 FR 15423, Apr. 1, 1997]
Sec. 374.103 Notice to be printed on tickets.
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.''
Note: The following interpretation of the provisions of Sec.
374.103 (formerly Sec. 1055.2) appears at 27 FR 230, Jan. 9, 1962:
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
[[Page 79]]
sufficient for the purposes of Sec. 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.
[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996,
as amended at 62 FR 15423, Apr. 1, 1997]
Sec. 374.105 Discrimination in terminal facilities.
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.
[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996,
as amended at 62 FR 15423, Apr. 1, 1997]
Sec. 374.107 Notice to be posted at terminal facilities.
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.''
[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996,
as amended at 62 FR 15423, Apr. 1, 1997]
Sec. 374.109 Carriers not relieved of existing obligations.
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.
[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996,
as amended at 62 FR 15423, Apr. 1, 1997]
Sec. 374.111 Reports of interference with regulations.
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.
[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996,
as amended at 62 FR 15423, Apr. 1, 1997]
Sec. 374.113 Definitions.
For the purpose of these regulations the following terms and phrases
are defined:
(a) Terminal facilities. 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.
(b) Separation. As used in Sec. 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.
[36 FR 1338, Jan. 28, 1971. Redesignated at 61 FR 54709, Oct. 21, 1996,
as amended at 62 FR 15423, Apr. 1, 1997]
[[Page 80]]
Subpart B_Limitation of Smoking on Interstate Passenger Carrier Vehicles
Sec. 374.201 Prohibition against smoking on interstate
passenger-carrying motor vehicles.
(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.
(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.
(c) The provisions of paragraph (a) of this section shall not apply
to charter operations as defined in Sec. 374.503 of this part.
[56 FR 1745, Jan. 17, 1991. Redesignated at 61 FR 54709, Oct. 21, 1996,
as amended at 62 FR 15423, Apr. 1, 1997]
Subpart C_Adequacy of Intercity Motor Common Carrier Passenger Service
Source: 55 FR 11199, Mar. 27, 1990, unless otherwise noted.
Redesignated at 61 FR 54709, Oct. 21, 1996.
Sec. 374.301 Applicability.
These rules govern only motor passenger common carriers conducting
regular-route operations.
Sec. 374.303 Definitions.
(a) Carrier means a motor passenger common carrier.
(b) Bus means a passenger-carrying vehicle, regardless of design or
seating capacity, used in a carrier's authorized operations.
(c) Facility means any structure provided by or for a carrier at or
near which buses pick up or discharge passengers.
(d) Terminal means a facility operated or used by a carrier chiefly
to furnish passengers transportation services and accommodations.
(e) Station means a facility, other than a terminal, operated by or
for a carrier to accommodate passengers.
(f) Service means passenger transportation by bus between authorized
points or over authorized routes.
(g) Commuter service, 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.
(h) Baggage means property a passenger takes with him for his
personal use or convenience.
(i) Restroom means a room in a bus or terminal equipped with a
toilet, washbowl, soap or a reasonable alternative, mirror, wastebasket,
and toilet paper.
[55 FR 11199, Mar. 27, 1990, as amended at 68 FR 56198, Sept. 30, 2003]
Sec. 374.305 Ticketing and information.
(a) Information service. (1) During business hours at each terminal
or station, information shall be provided as to schedules, tickets,
fares, baggage, and other carrier services.
(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.
(b) Telephone information service. 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.
(c) Schedules. 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
[[Page 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.
(d) Ticket refunds. 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.
(e) Announcements. 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.
Sec. 374.307 Baggage service.
(a) Checking procedures. (1) Carriers shall issue receipts, which
may be in the form of preprinted tickets, for all checked services
baggage.
(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.
(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.
(b) Baggage security. 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.
(c) Baggage liability. (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.
(2) Carriers may refuse to accept as checked baggage and, if
unknowingly accepted, may disclaim liability for loss or damage to the
following articles:
(i) Articles whose transportation as checked baggage is prohibited
by law or regulation;
(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;
(iii) Money; and
(iv) Those other articles that the Secretary exempts upon petition
by the carrier.
(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).
(d) Express shipments. Passengers and their baggage always take
precedence over express shipments.
(e) Baggage at destination. 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.
(f) Lost or delayed baggage. (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.
(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
[[Page 82]]
given. The passenger shall retain the duplicate copy.
(3) The carrier shall make immediate and diligent efforts to recover
lost baggage.
(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.
(g) Settlement of claims. 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.
[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996,
as amended at 62 FR 15423, Apr. 1, 1997]