[Title 49 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2017 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 49

Transportation


________________________

Parts 300 to 399

                         Revised as of October 1, 2017

          Containing a codification of documents of general 
          applicability and future effect

          As of October 1, 2017
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 49:
    SUBTITLE B--Other Regulations Relating to Transportation 
      (Continued)
          Chapter III--Federal Motor Carrier Safety 
          Administration, Department of Transportation               5
  Finding Aids:
      Table of CFR Titles and Chapters........................     731
      Alphabetical List of Agencies Appearing in the CFR......     751
      List of CFR Sections Affected...........................     761

[[Page iv]]





                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 49 CFR 303.1 refers 
                       to title 49, part 303, 
                       section 1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

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collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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INCORPORATION BY REFERENCE

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[[Page vii]]

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    Oliver A. Potts,
    Director,
    Office of the Federal Register.
    October 1, 2017.







[[Page ix]]



                               THIS TITLE

    Title 49--Transportation is composed of nine volumes. The parts in 
these volumes are arranged in the following order: Parts 1-99, parts 
100-177, parts 178-199, parts 200-299, parts 300-399, parts 400-571, 
parts 572-999, parts 1000-1199, and part 1200 to end. The first volume 
(parts 1-99) contains current regulations issued under subtitle A--
Office of the Secretary of Transportation; the second volume (parts 100-
177) and the third volume (parts 178-199) contain the current 
regulations issued under chapter I--Pipeline and Hazardous Materials 
Safety Administration (DOT); the fourth volume (parts 200-299) contains 
the current regulations issued under chapter II--Federal Railroad 
Administration (DOT); the fifth volume (parts 300-399) contains the 
current regulations issued under chapter III--Federal Motor Carrier 
Safety Administration (DOT); the sixth volume (parts 400-571) contains 
the current regulations issued under chapter IV--Coast Guard (DHS), and 
some of chapter V--National Highway Traffic Safety Administration (DOT); 
the seventh volume (parts 572-999) contains the rest of the regulations 
issued under chapter IV, and the current regulations issued under 
chapter VI--Federal Transit Administration (DOT), chapter VII--National 
Railroad Passenger Corporation (AMTRAK), and chapter VIII--National 
Transportation Safety Board; the eighth volume (parts 1000-1199) 
contains 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, 2017.

    In the volume containing parts 100-177, see Sec.  172.101 for the 
Hazardous Materials Table. The Federal Motor Vehicle Safety Standards 
appear in part 571.

    For this volume, Gabrielle E. Burns was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[Page 1]]



                        TITLE 49--TRANSPORTATION




                  (This book contains parts 300 to 399)

  --------------------------------------------------------------------

  SUBTITLE B--Other Regulations Relating to Transportation (Continued)

                                                                    Part

chapter iii--Federal Motor Carrier Safety Administration, 
  Department of Transportation..............................         303

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  Subtitle B--Other Regulations Relating to Transportation (Continued)

[[Page 5]]



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




  --------------------------------------------------------------------


  Editorial Note: Nomenclature changes to chapter III appear at 59 FR 
60323, Nov. 23, 1994, 60 FR 38742, July 28, 1995, and 69 FR 18803, Apr. 
9, 2004.

                    SUBCHAPTER A--GENERAL REGULATIONS
Part                                                                Page
300-302

[Reserved]

303             Civil rights................................           7
325             Compliance with interstate motor carrier 
                    noise emission standards................           7
         SUBCHAPTER B--FEDERAL MOTOR CARRIER SAFETY REGULATIONS
350             Motor carrier safety assistance program and 
                    high priority program...................          19
355             Compatibility of State laws and regulations 
                    affecting interstate motor carrier 
                    operations..............................          36
356             Motor carrier routing regulations...........          39
360             Fees for motor carrier registration and 
                    insurance...............................          39
365             Rules governing applications for operating 
                    authority...............................          46
366             Designation of process agent................          63
367             Standards for registration with States......          65
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.....................          66
369             Reports of motor carriers...................          70
370             Principles and practices for the 
                    investigation and voluntary disposition 
                    of loss and damage claims and processing 
                    salvage.................................          75
371             Brokers of property.........................          78
372             Exemptions, commercial zones, and terminal 
                    areas...................................          82
373             Receipts and bills..........................          96
374             Passenger carrier regulations...............          97

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375             Transportation of household goods in 
                    interstate commerce; consumer protection 
                    regulations.............................         105
376             Lease and interchange of vehicles...........         147
377             Payment of transportation charges...........         154
378             Procedures governing the processing, 
                    investigation, and disposition of 
                    overcharge, duplicate payment, or 
                    overcollection claims...................         158
379             Preservation of records.....................         160
380             Special training requirements...............         165
381             Waivers, exemptions, and pilot programs.....         197
382             Controlled substances and alcohol use and 
                    testing.................................         205
383             Commercial driver's license standards; 
                    requirements and penalties..............         232
384             State compliance with commercial driver's 
                    license program.........................         276
385             Safety fitness procedures...................         289
386             Rules of practice for FMCSA proceedings.....         346
387             Minimum levels of financial responsibility 
                    for motor carriers......................         381
388             Cooperative agreements with States..........         410
389             Rulemaking procedures--Federal motor carrier 
                    safety regulations......................         412
390             Federal motor carrier safety regulations; 
                    general.................................         418
391             Qualifications of drivers and longer 
                    combination vehicle (LCV) driver 
                    instructors.............................         464
392             Driving of commercial motor vehicles........         504
393             Parts and accessories necessary for safe 
                    operation...............................         514
394

[Reserved]

395             Hours of service of drivers.................         604
396             Inspection, repair, and maintenance.........         669
397             Transportation of hazardous materials; 
                    driving and parking rules...............         677
398             Transportation of migrant workers...........         695
399             Employee safety and health standards........         702
Appendix A to Subchapter B [Reserved]
Appendix B to Subchapter B--Special Agents..................         705
Appendixes C-E to Subchapter B [Reserved]
Appendix F to Subchapter B--Commercial Zones................         706
Appendix G to Subchapter B--Minimum Periodic Inspection 
  Standards.................................................         724

[[Page 7]]



                    SUBCHAPTER A_GENERAL REGULATIONS



                        PARTS 300	302 [RESERVED]



PART 303_CIVIL RIGHTS--Table of Contents



Sec.
303.1 Purpose.
303.3 Application of this part.

    Authority: Public Law 105-159, 113 Stat. 1748, Title I, sections 
107(a) and 106 (Dec. 9, 1999) (49 U.S.C. 113); 42 U.S.C. 2000d, et seq.; 
and 49 CFR 1.87.

    Source: 70 FR 7414, Feb. 14, 2005, unless otherwise noted.



Sec.  303.1  Purpose.

    The purpose of this part is to provide guidelines and procedures for 
implementing the Federal Motor Carrier Safety Administration's (FMCSA) 
Title VI program under Title VI of the Civil Rights Act of 1964 and 
related civil rights laws and regulations. For FMCSA-only programs or 
activities, Federal financial assistance recipients or grantees will 
continue to apply and use the Departmental Title VI provisions at 49 CFR 
part 21. For joint and multi-agency programs/projects, FMCSA Federal 
assistance recipients or grantees must use the Title VI requirements at 
49 CFR part 21, unless agreement is reached by the Federal funding 
agencies for the recipients to use the Title VI procedures of another 
agency.



Sec.  303.3  Application of this part.

    The provisions of this part are applicable to all elements of the 
FMCSA and to any program or activity for which Federal financial 
assistance is authorized under a law administered by the FMCSA. This 
part provides Title VI guidelines for State Departments of 
Transportation and local State agencies, including their sub-recipients, 
to implement Title VI. It also applies to money paid, property 
transferred, or other Federal financial assistance extended under any 
program of the FMCSA after the date of this part.



PART 325_COMPLIANCE WITH INTERSTATE MOTOR CARRIER NOISE EMISSION STANDARDS
--Table of Contents



                      Subpart A_General Provisions

Sec.
325.1 Scope of the rules in this part.
325.3 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; and 49 CFR 1.87.

    Source: 40 FR 42437, Sept. 12, 1975, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 325 appear at 66 FR 
49869, Oct. 1, 2001.



                      Subpart A_General Provisions



Sec.  325.1  Scope of the rules in this part.

    (a) The rules in this part prescribe procedures for inspection, 
surveillance, and measurement of motor vehicles and motor vehicle 
equipment operated by motor carriers to determine whether those vehicles 
and that equipment conform to the Interstate Motor Carrier Noise 
Emission Standards of the Environmental Protection Agency, 40 CFR part 
202.
    (b) Except as provided in paragraph (c) of this section, the rules 
in this part apply to motor carriers engaged in interstate commerce. The 
rules apply at any time or under any condition of highway grade, load, 
acceleration or deceleration.
    (c) The rules in this part do not apply to--
    (1) A motor vehicle that has a Gross Vehicle Weight Rating (GVWR) of 
10,000 pounds (4,536 kg.) or less;
    (2) A combination of motor vehicles that has a Gross Combination 
Weight Rating (GCWR) of 10,000 pounds (4,536 kg.) or less;
    (3) The sound generated by a warning device, such as a horn or 
siren, installed in a motor vehicle, unless such device is intentionally 
sounded in order to preclude an otherwise valid noise emission 
measurement;
    (4) An emergency motor vehicle, such as a fire engine, an ambulance, 
a police van, or a rescue van, when it is responding to an emergency 
call;
    (5) A snow plow in operation; or
    (6) The sound generated by auxiliary equipment which is normally 
operated only when the motor vehicle on which it is installed is stopped 
or is operating at a speed of 5 miles per hour (8 kph) or less, unless 
such device is intentionally operated at speeds greater than 5 mph (8 
kph) in order to preclude an otherwise valid noise measurement. Examples 
of that type of auxiliary equipment include, but are not limited to, 
cranes, asphalt spreaders, ditch diggers, liquid or slurry pumps, 
auxiliary air compressors, welders, and trash compactors.

[40 FR 42437, Sept. 12, 1975, as amended at 78 FR 58477, Sept. 24, 2013]



Sec.  325.3  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

[[Page 9]]

a site which does not contain significant concave curvatures or slope 
reversals that may result in the focusing of sound waves toward the 
microphone location point.



Sec.  325.7  Allowable noise levels.

    Motor vehicle noise emissions, when measured according to the rules 
of this part, shall not exceed the values specified in Table 1.

                      Table 1--Maximum Permissible Sound Level Readings (Decibel (A)) \1 2\
----------------------------------------------------------------------------------------------------------------
                                                        Highway operation test               Stationary tests
                                             -------------------------------------------------------------------
                                                    Soft site             Hard Site
                                             --------------------------------------------
                                               35 mi/h    Above 35   35 mi/h    Above 35   Soft site   Hard site
                                               or less      mi/h     or less      mi/h
----------------------------------------------------------------------------------------------------------------
If the distance between the microphone
 location point and the microphone target
 point is--
    31 ft (9.5m) or more but less than 35 ft         87         91         89         93          89          91
     (10.7m)................................
    35 ft (10.7m) or more but less than 39           86         90         88         92          88          90
     ft (11.9m).............................
    39 ft (11.9m) or more but less than 43           85         89         87         91          87          89
     ft (13.1m).............................
    43 ft (13.1m) or more but less than 48           84         88         86         90          86          88
     ft (14.6m).............................
    48 ft (14.6m) or more but less than 58           83         87         85         89          85          87
     ft (17.1m).............................
    58 ft (17.1m) or more but less than 70           82         86         84         88          84          86
     ft (21.3m).............................
    70 ft (21.3m) or more but less than 83           81         85         83         87          83          85
     ft (25.3m).............................
----------------------------------------------------------------------------------------------------------------
\1\ The speeds shown refer to measurements taken at sites having speed limits as indicated. These speed limits
  do not necessarily have to be posted.
\2\ This table is based on motor carrier noise emission requirements specified in 40 CFR 202.20 and 40 CFR
  202.21.


[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]



Sec.  325.9  Measurement tolerances.

    (a) Measurement tolerances will be allowed to take into account the 
effects of the following factors:
    (1) The consensus standard practice of reporting filed sound level 
measurements to the nearest whole decibel.
    (2) Variations resulting from commercial instrument tolerances.
    (3) Variations resulting from the topography of the noise 
measurement site.
    (4) Variations resulting from atmospheric conditions such as wind, 
ambient temperature, and atmospheric pressure.
    (5) Variations resulting from reflected sound from small objects 
allowed within the test site.
    (6) The interpretation of the effects of the above cited factors by 
enforcement personnel.
    (b) Measurement tolerances shall not exceed 2 decibels for a given 
measurement.



                   Subpart B_Administrative Provisions



Sec.  325.11  Issuance, amendment, and revocation of the rules in this part.

    The procedures specified in part 389 of this chapter for the 
issuance, amendment, or revocation of the Federal Motor Carrier Safety 
Regulations apply to rulemaking proceedings for the issuance, amendment, 
or revocation of the rules in this part.



Sec.  325.13  Inspection and examination of motor vehicles.

    (a) Any special agent of the Federal Motor Carrier Safety 
Administration (designated in appendix B to subchapter B of this 
chapter) is authorized to inspect, examine, and test a motor vehicle 
operated by a motor carrier in accordance with the procedures specified 
in this part for the purpose of ascertaining whether the motor vehicle 
and equipment installed on the motor vehicle conforms to the Interstate

[[Page 10]]

Motor Carrier Noise Emission Standards of the Environmental Protection 
Agency, 40 CFR part 202.
    (b) A motor carrier, its officers, drivers, agents, and employees 
must, at any time, submit a motor vehicle used in its operations for 
inspection, examination, and testing for the purpose of ascertaining 
whether the motor vehicle and equipment installed on it conforms to the 
Interstate Motor Carrier Noise Emission Standards of the Environmental 
Protection Agency, 40 CFR part 202.
    (c) Prescribed inspection report. Form MCS-141, Noise Level 
Compliance Check shall be used to record findings from motor vehicles 
selected for noise emission inspection by authorized employees.
    (d) Motor carrier's disposition of form MCS-141. (1) The driver of 
any motor vehicle receiving a Form MCS-141 shall deliver such MCS-141 to 
the motor carrier operating the vehicle upon his/her arrival at the next 
terminal or facility of the motor carrier, if such arrival occurs within 
twenty-four (24) hours. If the driver does not arrive at a terminal or 
facility of the motor carrier operating the vehicle within twenty-four 
(24) hours he/she shall immediately mail the Form MCS-141 to the motor 
carrier. For operating convenience, motor carriers may designate any 
shop, terminal, facility, or person to which it may instruct its drivers 
to deliver or forward Form MCS-141. It shall be the sole responsibility 
of the motor carrier that Form MCS-141 is returned to the Federal Motor 
Carrier Safety Administration, in accordance with the terms prescribed 
thereon and in paragraphs (d) (2) and (3) of this section. A driver, if 
himself/herself a motor carrier, shall return Form MCS-141 to the 
Federal Motor Carrier Safety Administration, in accordance with the 
terms prescribed thereon and in paragraphs (d) (2) and (3) of this 
section.
    (2) Motor carriers shall carefully examine Forms MCS-141. 
Appropriate corrective action shall be taken on vehicles found to be not 
in compliance with the requirements of this part.
    (3) Motor carriers must complete the ``Motor Carrier Certification 
of Action Taken'' on Form MCS-141 in accordance with the terms 
prescribed thereon. Motor carriers must return Forms MCS-141 to the 
Division Office at the address indicated on Form MCS-141 within fifteen 
(15) days following the date of the vehicle inspection.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976; 
54 FR 50385, Dec. 6, 1989; 60 FR 38743, July 28, 1995; 66 FR 49869, Oct. 
1, 2001; 78 FR 58477, Sept. 24, 2013]



                        Subpart C_Instrumentation



Sec.  325.21  Scope of the rules in this subpart.

    The rules in this subpart specify criteria for sound level 
measurement systems which are used to make the sound level measurements 
specified in subpart D and subpart E of this part.



Sec.  325.23  Type of measurement systems which may be used.

    The sound level measurement system must meet or exceed the 
requirements of American National Standard Specification for Sound Level 
Meters (ANSI S1.4-1971), approved April 27, 1971, issued by the American 
National Standards Institute, \1\ throughout the applicable frequency 
range for either:
---------------------------------------------------------------------------

    \1\ Copies of the specification may be secured from the American 
National Standards Institute, 1430 Broadway, New York, New York, 10018.
---------------------------------------------------------------------------

    (a) A Type 1 sound level meter;
    (b) A Type 2 sound level meter; or
    (c) A Type S sound level meter which has--
    (1) A weighing frequency response;
    (2) Fast dynamic characteristics of its indicating instrument; and
    (3) A relative response level tolerance consistent with those of 
either a Type 1 or Type 2 sound level meter, as specified in section 3.2 
of ANSI S1.4-1971.



Sec.  325.25  Calibration of measurement systems.

    (a)(1) The sound level measurement system must be calibrated and 
appropriately adjusted at one or more frequencies in the range from 250 
to 1,000 Hz at the beginning of each series of measurements and at 
intervals of 5-15 minutes thereafter, until it has been determined that 
the sound level measurement system has not significantly drifted from 
its calibrated level. Once

[[Page 11]]

this fact has been established, calibrations may be made at intervals 
once every hour. A significant drift shall be considered to have 
occurred if a 0.3 dB or more excursion is noted from the system's 
predetermined reference calibration level. In the case of systems using 
displays with whole decibel increments, the operator may visually judge 
when the 0.3 dB drift has been met or exceeded.
    (2) The sound level measurement system must be checked periodically 
by its manufacturer, a representative of its manufacturer, or a person 
of equivalent special competence to verify that its accuracy meets the 
manufacturer's design criteria.
    (b) An acoustical calibrator of the microphone coupler type designed 
for the sound level measurement system in use shall be used to calibrate 
the sound level measurement system in accordance with paragraph (a) of 
this section. The calibration must meet or exceed the accuracy 
requirements specified in section 5.4.1 of the American National 
Standard Institute Standard Methods for Measurements of Sound Pressure 
Levels (ANSI S1.13-1971) for field method measurements.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



Sec.  325.27  Use of a windscreen.

    A properly installed windscreen, of the type recommended by the 
manufacturer of the Sound Level Measurement System, shall be used during 
the time that noise emission measurements are being taken.



      Subpart D_Measurement of Noise Emissions; Highway Operations



Sec.  325.31  Scope of the rules in this subpart.

    The rules in this subpart specify conditions and procedures for 
measurement of the sound level generated by a motor vehicle engaged in a 
highway operation for the purpose of ascertaining whether the motor 
vehicle conforms to the Standards for Highway Operations set forth in 40 
CFR 202.20.



Sec.  325.33  Site characteristics; highway operations.

    (a) Measurement shall be made at a test site which is adjacent to, 
and includes a portion of, a traveled lane of a public highway. A 
microphone target point shall be established on the centerline of the 
traveled lane of the highway, and a microphone location point shall be 
established on the ground surface not less than 31 feet (9.5 m) or more 
than 83 feet (25.3 m) from the microphone target point and on a line 
that is perpendicular to the centerline of the traveled lane of the 
highway and that passes through the microphone target point. In the case 
of a standard test site, the microphone location point is 50 feet (15.2 
m) from the microphone target point. Within the test site is a 
triangular measurement area. A plan view diagram of a standard test 
site, having an open site within a 50-foot (15.2 m) radius of both the 
microphone target point and the microphone location point, is shown in 
Figure 1. Measurements may be made at a test site having smaller or 
greater dimensions in accordance with the rules in subpart F of this 
part.
[GRAPHIC] [TIFF OMITTED] TC01AP91.010

    (b) The test site must be an open site, essentially free of large 
sound-reflecting objects. However, the following objects may be within 
the test site, including the triangular measurement area:
    (1) Small cylindrical objects such as fire hydrants or telephone or 
utility poles.
    (2) Rural mailboxes.

[[Page 12]]

    (3) Traffic railings of any type of construction except solid 
concrete barriers (see Sec.  325.5(c)(4)).
    (4) One or more curbs having a vertical height of 1 foot (.3 m) or 
less.
    (c) The following objects may be within the test site if they are 
outside of the triangular measurement area of the site:
    (1) Any vertical surface (such as billboard), regardless of size, 
having a lower edge more than 15 feet (4.6 m) higher than the surface of 
the traveled lane of the highway.
    (2) Any uniformly smooth sloping surface slanting away from the 
highway (such as a rise in grade alongside the highway) with a slope 
that is less than 45 degrees above the horizontal.
    (3) Any surface slanting away from the highway that is 45 degrees or 
more and not more than 90 degrees above the horizontal, if all points on 
the surface are more than 15 feet (4.6 m) above the surface of the 
traveled lane of the highway.
    (d) The surface of the ground within the measurement area must be 
relatively flat (see Sec.  325.5(c)(5)). The site shall be a ``soft'' 
test site. However, if the site is determined to be ``hard,'' the 
correction factor specified in Sec.  325.75(a) of this part shall be 
applied to the measurement.
    (e) The traveled lane of the highway within the test site must be 
dry, paved with relatively smooth concrete or asphalt, and substantially 
free of--
    (1) Holes or other defects which would cause a motor vehicle to emit 
irregular tire, body, or chassis impact noise; and
    (2) Loose material, such as gravel or sand.
    (f) The traveled lane of the highway on which the microphone target 
point is situated must not pass through a tunnel or underpass located 
within 200 feet (61 m) of that point.

[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]



Sec.  325.35  Ambient conditions; highway operations.

    (a)(1) Sound. The ambient A-weighted sound level at the microphone 
location point shall be measured, in the absence of motor vehicle noise 
emanating from within the clear zone, with fast meter response using a 
sound level measurement system that conforms to the rules of Sec.  
325.23.
    (2) The measured ambient level must be 10 dB(A) or more below that 
level specified in Sec.  325.7, Table 1, which corresponds to the 
maximum permissible sound level reading which is applicable at the test 
site at the time of testing.
    (b) Wind. The wind velocity at the test shall be measured at the 
beginning of each series of noise measurements and at intervals of 5-15 
minutes thereafter until it has been established that the wind velocity 
is essentially constant. Once this fact has been established, wind 
velocity measurements may be made at intervals of once every hour. Noise 
measurements may only be made if the measured wind velocity is 12 mph 
(19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2 kph) 
are allowed.
    (c) Precipitation. Measurements are prohibited under any condition 
of precipitation, however, measurements may be made with snow on the 
ground. The ground surface within the measurement area must be free of 
standing water.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976; 
41 FR 28267, July 9, 1976]



Sec.  325.37  Location and operation of sound level measurement system;
highway operations.

    (a) The microphone of a sound level measurement system that conforms 
to the rules in Sec.  325.23 of this part shall be located at a height 
of not less than 2 feet (.6 m) nor more than 6 feet (1.8 M) above the 
plane of the roadway surface and not less than 3\1/2\ feet (1.1 m) above 
the surface on which the microphone stands. The preferred microphone 
height on flat terrain is 4 feet (1.2 m).
    (b)(1) When the sound level measurement system is hand-held or is 
otherwise monitored by a person located near its microphone, the holder 
must orient himself/herself relative to the highway in a manner 
consistent with the recommendation of the manufacturer of the sound 
level measurement system.
    (2) In no case shall the holder or observer be closer than 2 feet 
(.6 m) from the system's microphone, nor shall he/

[[Page 13]]

she locate himself/herself between the microphone and the vehicle being 
measured.
    (c) The microphone of the sound level measurement system shall be 
oriented toward the traveled lane of the highway at the microphone 
target point at an angle that is consistent with the recommendation of 
the system's manufacturer. If the manufacturer of the system does not 
recommend an angle of orientation for its microphone, the microphone 
shall be oriented toward the highway at an angle of not less than 70 
degrees and not more than perpendicular to the horizontal plane of the 
traveled lane of the highway at the microphone target point.
    (d) The sound level measurement system shall be set to the A-
weighting network and ``fast'' meter response mode.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



Sec.  325.39  Measurement procedure; highway operations.

    (a) In accordance with the rules in this subpart, a measurement 
shall be made of the sound level generated by a motor vehicle operating 
through the measurement area on the traveled lane of the highway within 
the test site, regardless of the highway grade, load, acceleration or 
deceleration.
    (b) The sound level generated by the motor vehicle is the highest 
reading observed on the sound level measurement system as the vehicle 
passes through the measurement area, corrected, when appropriate, in 
accordance with the rules in subpart F of this part. (Table 1 in Sec.  
325.7 lists the range of maximum permissible sound level readings for 
various test conditions.) The sound level of the vehicle being measured 
must be observed to rise at least 6 dB(A) before the maximum sound level 
occurs and to fall at least 6 dB(A) after the maximum sound level occurs 
in order to be considered a valid sound level reading.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



        Subpart E_Measurement of Noise Emissions; Stationary Test



Sec.  325.51  Scope of the rules in this subpart.

    (a) The rules in this subpart specify conditions and procedures for 
measuring the sound level generated by a vehicle when the vehicle's 
engine is rapidly accelerated from idle to governed speed at wide open 
throttle with the vehicle stationary, its transmission in neutral, and 
its clutch engaged, for the purpose of ascertaining whether the motor 
vehicle conforms to the Standard for Operation Under Stationary Test, 40 
CFR 202.21.
    (b) The rules in this subpart apply only to a motor vehicle that is 
equipped with an engine speed governor.
    (c) Tests conducted in accordance with the rules of this subpart may 
be made on either side of the vehicle.



Sec.  325.53  Site characteristics; stationary test.

    (a)(1) The motor vehicle to be tested shall be parked on the test 
site. A microphone target point shall be established on the ground 
surface of the site on the centerline of the lane in which the motor 
vehicle is parked at a point that is within 3 feet (.9 m) of the 
longitudinal position of the vehicle's exhaust system outlet(s). A 
microphone location point shall be established on the ground surface not 
less than 31 feet (9.5 m) and not more than 83 feet (25.3 m) from the 
microphone target point. Within the test site is a triangular 
measurement area. A plan view diagram of a standard test site, having an 
open site within a 50-foot (15.2 m) radius of both the microphone target 
point and the microphone location point, is shown in Figure 2.

[[Page 14]]

[GRAPHIC] [TIFF OMITTED] TC01AP91.011

    (2) Measurements may be made at a test site having smaller or 
greater dimensions in accordance with the rules in subpart F of this 
part.
    (b) The test site must be an open site, essentially free of large 
sound-reflecting objects. However, the following objects may be within 
the test site, including the triangular measurement area:
    (1) Small cylindrical objects such as fire hydrants or telephone or 
utility poles.
    (2) Rural mailboxes.
    (3) Traffic railings of any type of construction except solid 
concrete barriers (see Sec.  325.5(c)(4)).
    (4) One or more curbs having a height of 1 foot (.3 m) or less.
    (c) The following objects may be within the test site if they are 
outside of the triangular measurement area of the site:
    (1) Any vertical surface, regardless of size (such as a billboard), 
having a lower edge more than 15 feet (4.6 m) above the ground.
    (2) Any uniformly smooth surface slanting away from the vehicle with 
a slope that is less than 45 degrees above the horizontal.
    (3) Any surface slanting away from the vehicle that is 45 degrees or 
more and not more than 90 degrees above the horizontal, if all points on 
the surface are more than 15 feet (4.6 m) above the surface of the 
ground in the test site.
    (d) The surface of the ground within the measurement area must be 
relatively flat. (See Sec.  325.5(c)(5)). The site shall be a ``hard'' 
site. However, if the site is determined to be ``soft,'' the correction 
factor specified in Sec.  325.75(b) of this part shall be applied to the 
measurement.

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



Sec.  325.55  Ambient conditions; stationary test.

    (a)(1) Sound. The ambient A-weighted sound level at the microphone 
location point shall be measured, in the absence of motor vehicle noise 
emanating from within the clear zone, with fast meter response using a 
sound level measurement system that conforms to the rules of Sec.  
325.23.
    (2) The measured ambient level must be 10 dB(A) or more below that 
level specified in Sec.  325.7, Table 1, which corresponds to the 
maximum permissible sound level reading which is applicable at the test 
site at the time of testing.
    (b) Wind. The wind velocity at the test site shall be measured at 
the beginning of each series of noise measurements and at intervals of 
5-15 minutes thereafter until it has been established that the wind 
velocity is essentially constant. Once this fact has been established, 
wind velocity measurements may be made at intervals of once every hour. 
Noise measurements may only be made if the measured wind velocity is 12 
mph (19.3 kph) or less. Gust wind measurements of up to 20 mph (33.2 
kph) are allowed.
    (c) Precipitation. Measurements are prohibited under any conditions 
of precipitation, however, measurements may be made with snow on the 
ground. The ground within the measurement area must be free of standing 
water.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 28267, July 9, 1976]



Sec.  325.57  Location and operation of sound level measurement systems;
stationary test.

    (a) The microphone of a sound level measurement system that conforms 
to the rules in Sec.  325.23 shall be located at a height of not less 
than 2 feet (.6 m) nor more than 6 feet (1.8 m) above the plane of the 
roadway surface and not less than 3\1/2\ feet (1.1 m) above the surface 
on which the microphone stands. The preferred microphone height on flat 
terrain is 4 feet (1.2 m).

[[Page 15]]

    (b) When the sound level measurement system is hand-held or 
otherwise monitored by a person located near its microphone, the holder 
must orient himself/herself relative to the highway in a manner 
consistent with the recommendation of the manufacturer of the sound 
level measurement system. In no case shall the holder or observer be 
closer than 2 feet (.6 m) from the system's microphone, nor shall he/she 
locate himself/herself between the microphone and the vehicle being 
measured.
    (c) The microphone of the sound level measurement system shall be 
oriented toward the vehicle at an angle that is consistent with the 
recommendation of the system's manufacturer. If the manufacturer of the 
system does not recommend an angle of orientation for its microphone, 
the microphone shall be oriented at an angle of not less than 70 degrees 
and not more than perpendicular to the horizontal plane of the test site 
at the microphone target point.
    (d) The sound level measurement system shall be set to the A-
weighting network and ``fast'' meter response mode.

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10227, Mar. 10, 1976]



Sec.  325.59  Measurement procedure; stationary test.

    In accordance with the rules in this subpart, a measurement shall be 
made of the sound level generated by a stationary motor vehicle as 
follows:
    (a) Park the motor vehicle on the test site as specified in Sec.  
325.53 of this subpart. If the motor vehicle is a combination 
(articulated) vehicle, park the combination so that the longitudinal 
centerlines of the towing vehicle and the towed vehicle or vehicles are 
in substantial alinement.
    (b) Turn off all auxiliary equipment which is installed on the motor 
vehicle and which is designed to operate under normal conditions only 
when the vehicle is operating at a speed of 5 mph (8 kph) or less. 
Examples of such equipment include cranes, asphalt spreaders, liquid or 
slurry pumps, auxiliary air compressors, welders, and trash compactors.
    (c) If the motor vehicle's engine radiator fan drive is equipped 
with a clutch or similar device that automatically either reduces the 
rotational speed of the fan or completely disengages the fan from its 
power source in response to reduced engine cooling loads, park the 
vehicle before testing with its engine running at high idle or any other 
speed the operator may choose, for sufficient time but not more than 10 
minutes, to permit the engine radiator fan to automatically disengage 
when the vehicle's noise emissions are measured under stationary test.
    (d) With the motor vehicle's transmission in neutral and its clutch 
engaged, rapidly accelerate the vehicle's engine from idle to its 
maximum governed speed with wide open throttle. Return the engine's 
speed to idle.
    (e) Observe the maximum reading on the sound level measurement 
system during the time the procedures specified in paragraph (d) of this 
section are followed. Record that reading, if the reading has not been 
influenced by extraneous noise sources such as motor vehicles operating 
on adjacent roadways.
    (f) Repeat the procedures specified in paragraphs (d) and (e) of 
this section until the first two maximum sound level readings that are 
within 2 dB(A) of each other are recorded. Numerically average those two 
maximum sound level readings. When appropriate, correct the average 
figure in accordance with the rules in subpart F of this part.
    (g) The average figure, corrected as appropriate, contained in 
accordance with paragraph (f) of this section, is the sound level 
generated by the motor vehicle for the purpose of determining whether it 
conforms to the Standard for Operation Under Stationary Test, 40 CFR 
202.21. (Table 1 in Sec.  325.7 lists the range of maximum permissible 
sound level readings for various test conditions.)

[40 FR 42437, Sept. 12, 1975, as amended at 41 FR 10226, Mar. 10, 1976]

[[Page 16]]



                      Subpart F_Correction Factors



Sec.  325.71  Scope of the rules in this subpart.

    (a) The rules in this subpart specify correction factors which are 
added to, or subtracted from, the reading of the sound level generated 
by a motor vehicle, as displayed on a sound level measurement system, 
during the measurement of the motor vehicle's sound level emissions at a 
test site which is not a standard site.
    (b) The purpose of adding or subtracting a correction factor is to 
equate the sound level reading actually generated by the motor vehicle 
to the sound level reading it would have generated if the measurement 
had been made at a standard test site.



Sec.  325.73  Microphone distance correction factors. \1\
---------------------------------------------------------------------------

    \1\ Table 1, in Sec.  325.7 is a tabulation of the maximum allowable 
sound level readings taking into account both the distance correction 
factors contained in Sec.  325.73 and the ground surface correction 
factors contained in Sec.  325.75.
---------------------------------------------------------------------------

    If the distance between the microphone location point and the 
microphone target point is other than 50 feet (15.2 m), the maximum 
observed sound level reading generated by the motor vehicle in 
accordance with Sec.  325.39 of this part or the numerical average of 
the recorded maximum observed sound level readings generated by the 
motor vehicle in accordance with Sec.  325.59 of this part shall be 
corrected as specified in the following table:

                  Table 2--Distance Correction Factors
------------------------------------------------------------------------
                                                               The value
                                                               dB(A) to
                                                              be applied
                                                                to the
  If the distance between the microphone location point and    observed
               the microphone target point is                    sound
                                                                 level
                                                                reading
                                                                 is--
------------------------------------------------------------------------
31 feet (9.5 m) or more but less than 35 feet (10.7 m)......          -4
35 feet (10.7 m) or more but less than 39 feet (11.9 m).....          -3
39 feet (11.9 m) or more but less than 43 feet (13.1 m).....          -2
43 feet (13.1 m) or more but less than 48 feet (14.6 m).....          -1
48 feet (14.6 m) or more but less than 58 feet (17.7 m).....           0
58 feet (17.7 m) or more but less than 70 feet (21.3 m).....         + 1
70 feet (21.3 m) or more but less than 83 feet (25.3 m).....         + 2
------------------------------------------------------------------------


[40 FR 42437, Sept. 12, 1975, as amended at 54 FR 50385, Dec. 6, 1989]



Sec.  325.75  Ground surface correction factors. \1\
---------------------------------------------------------------------------

    \1\ Table 1, in Sec.  325.7 is a tabulation of the maximum allowable 
sound level readings taking into account both the distance correction 
factors contained in Sec.  325.73 and the ground surface correction 
factors contained in Sec.  325.75.
---------------------------------------------------------------------------

    (a) Highway operations. When measurements are made in accordance 
with the rules in subpart D of this part upon a test site which is 
``hard,'' a correction factor of 2 dB(A) shall be subtracted from the 
maximum observed sound level reading generated by the motor vehicle to 
determine whether the motor vehicle conforms to the Standards for 
Highway Operations, 40 CFR 202.20.
    (b) Stationary test. When measurements are made in accordance with 
the rules in subpart E of this part upon a test site which is ``soft,'' 
a correction factor of 2 dB(A) shall be added to the numerical average 
of the recorded maximum observed sound level readings generated by the 
motor vehicle to determine whether the motor vehicle conforms to the 
Standard for Operation Under Stationary Test, 40 CFR 202.21.



Sec.  325.77  Computation of open site requirements--nonstandard sites.

    (a) If the distance between the microphone location point and the 
microphone target point is other than 50 feet (15.2 m), the test site 
must be an open site within a radius from both points which is equal to 
the distance between the microphone location point and the microphone 
target point.

[[Page 17]]

    (b) Plan view diagrams of nonstandard test sites are shown in 
Figures 3 and 4. Figure 3 illustrates a test site which is larger than a 
standard test site and is based upon a 60-foot (18.3 m) distance between 
the microphone location point and the microphone target point. (See 
Sec.  325.79(b)(1) for an example of the application of the correction 
factor to a sound level reading obtained at such a site.) Figure 4 
illustrates a test site which is smaller than a standard test site and 
is based upon a 35-foot (10.7 m) distance between the microphone 
location point and the microphone target point. (See Sec.  325.79(b)(2) 
for an example of the application of the correction factor to a sound 
level reading obtained at such a site.)
[GRAPHIC] [TIFF OMITTED] TC01AP91.012

[GRAPHIC] [TIFF OMITTED] TC01AP91.013



Sec.  325.79  Application of correction factors.

    (a) If two correction factors apply to a measurement they are 
applied cumulatively.
    (b) The following examples illustrate the application of correction 
factors to sound level measurement readings:
    (1) Example 1--Highway operations. Assume that a motor vehicle 
generates a maximum observed sound level reading of 86 dB(A) during a 
measurement in accordance with the rules in subpart D of this part. 
Assume also that the distance between the microphone location point and 
the microphone target point is 60 feet (18.3 m) and that the measurement 
area of the test site is acoustically ``hard.'' The corrected sound 
level generated by the motor vehicle would be 85 dB(A), calculated as 
follows:

 86 dB(A) Uncorrected reading
 + 1 dB(A) Distance correction factor
-2 dB(A) Ground surface correction factor
_____
 85 dB(A) Corrected reading

    (2) Example 2--Stationary test. Assume that a motor vehicle 
generates maximum sound level readings which average 88 dB(A) during a 
measurement in accordance with the rules in subpart E of this part. 
Assume also that the distance between the microphone location point and 
the microphone target point is 35 feet (10.7 m), and that the 
measurement area of the test site is acoustically ``soft.'' The 
corrected sound level generated by the motor vehicle would be 87 dB(A), 
calculated as follows:

 88 dB(A) Uncorrected average of readings
-3 dB(A) Distance correction factor
 + 2 dB(A) Ground surface correction factor
_____

 87 dB(A) Corrected reading



                   Subpart G_Exhaust Systems and Tires



Sec.  325.91  Exhaust systems.

    A motor vehicle does not conform to the visual exhaust system 
inspection requirements, 40 CFR 202.22, of the Interstate Motor Carrier 
Noise Emission Standards, if inspection of the exhaust system of the 
motor vehicle discloses that the system--

[[Page 18]]

    (a) Has a defect which adversely affects sound reduction, such as 
exhaust gas leaks or alteration or deterioration of muffler elements, 
(small traces of soot on flexible exhaust pipe sections shall not 
constitute a violation of this subpart);
    (b) Is not equipped with either a muffler or other noise dissipative 
device; or
    (c) Is equipped with a cut-out, by-pass, or similar device, unless 
such device is designed as an exhaust gas driven cargo unloading system.

[40 FR 42437, Sept. 12, 1975, as amended at 75 FR 57193, Sept. 20, 2010]



Sec.  325.93  Tires.

    (a) Except as provided in paragraph (b) of this section, a motor 
vehicle does not conform to the visual tire inspection requirements, 40 
CFR 202.23, of the Interstate Motor Carrier Noise Emissions Standards, 
if inspection of any tire on which the vehicle is operating discloses 
that the tire has a tread pattern composed primarily of cavities in the 
tread (excluding sipes and local chunking) which are not vented by 
grooves to the tire shoulder or circumferentially to each other around 
the tire.
    (b) Paragraph (a) of this section does not apply to a motor vehicle 
operated on a tire having a tread pattern of the type specified in that 
paragraph, if the motor carrier who operates the motor vehicle 
demonstrates to the satisfaction of the Administrator or his/her 
designee that either--
    (1) The tire did not have that type of tread pattern when it was 
originally manufactured or newly remanufactured; or
    (2) The motor vehicle generates a maximum sound level reading of 90 
dB(A) or less when measured at a standard test site for highway 
operations at a distance of 15.3 meters (50 feet) and under the 
following conditions:
    (i) The measurement must be made at a time and place and under 
conditions specified by the Administrator or his/her designee.
    (ii) The motor vehicle must be operated on the same tires that were 
installed on it when the inspection specified in paragraph (a) of this 
section occurred.
    (iii) The motor vehicle must be operated on a highway having a 
posted speed limit of more than 56.3 kph (35 mph).
    (iv) The sound level measurement must be made while the motor 
vehicle is operating at the posted speed limit.

[40 FR 42437, Sept. 12, 1975, as amended at 60 FR 38743, July 28, 1995]

[[Page 19]]



          SUBCHAPTER B_FEDERAL MOTOR CARRIER SAFETY REGULATIONS





PART 350_MOTOR CARRIER SAFETY ASSISTANCE PROGRAM AND HIGH PRIORITY PROGRAM
--Table of Contents



                            Subpart A_General

Sec.
350.101 What is the Motor Carrier Safety Assistance Program (MCSAP) and 
          High Priority Program?
350.103 What is the purpose of this part?
350.105 What definitions are used in this part?
350.107 What entities are eligible for funding under this part?
350.109 What are the national Motor Carrier Safety Assistance Program 
          (MCSAP) elements?
350.110 What are the national High Priority 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 MCSAP Funds?
350.203 What conditions must an applicant meet to qualify for High 
          Priority Program Funds?
350.205 How and when does a State apply for MCSAP funding?
350.206 How and when does one apply for High Priority Program funding?
350.207 What response does a State receive to its CVSP submission?
350.208 What response will the applicant for a High Priority Program 
          receive?
350.209 How does a State demonstrate that it satisfies the conditions 
          for Basic Program funding?
350.210 How does an applicant demonstrate it satisfies the conditions 
          for High Priority 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?

                            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 
          the MCSAP and High Priority Program?
350.305 Are U.S. Territories subject to the MCSAP matching funds 
          requirement?
350.307 How long are MCSAP funds available to a State?
350.308 How long are High Priority Program funds available?
350.309 What activities are eligible for reimbursement under the MCSAP?
350.310 What types of activities and projects are eligible for 
          reimbursement under the High Priority Program?
350.311 What specific items are eligible for reimbursement under the 
          MCSAP and High Priority Program?
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?
350.323 What criteria are used in the Basic Program Funds allocation?
350.325 [Reserved]
350.327 How may States qualify for Incentive 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, 31101-31104, 31108, 31136, 31140-31141, 
31161, 31310-31311, 31502; and 49 CFR 1.87.

    Source: 65 FR 15102, Mar. 21, 2000, unless otherwise noted.

[[Page 20]]



                            Subpart A_General



Sec.  350.101  What is the Motor Carrier Safety Assistance Program (MCSAP)
and High Priority Program?

    (a) What is the 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 (CMVs). The goal of the MCSAP is to reduce 
CMV-involved accidents, fatalities, and injuries through 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 State 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.
    (b) What is the High Priority Program? The High Priority Program is 
a discretionary financial assistance program that supports, enriches, 
and augments State CMV safety programs through partnerships with States, 
local governments, federally recognized Indian tribes, other political 
jurisdictions, and other persons to carry out high priority activities 
and projects that augment motor carrier safety activities and, projects 
planned in accordance with the MCSAP. It also promotes the deployment of 
innovative technology for the CMV information systems and networks.

[81 FR 71010, Oct. 14, 2016]



Sec.  350.103  What is the purpose of this part?

    The purpose of this part is to ensure that the Federal Motor Carrier 
Safety Administration (FMCSA), and States, local government agencies, 
other political jurisdictions, federally recognized Indian tribes, and 
other organizations and persons work in partnership to establish 
programs to improve motor carrier, CMV, and driver safety to support a 
safe and efficient transportation system by--
    (a) Making targeted investments to promote safe CMV transportation, 
including transportation of passengers and hazardous materials;
    (b) Investing in activities likely to generate maximum reductions in 
the number and severity of CMV crashes and fatalities resulting from 
such crashes;
    (c) Adopting and enforcing effective motor carrier, CMV, and driver 
safety regulations and practices consistent with Federal requirements; 
and
    (d) Assessing and improving State-wide performance by setting 
program goals and meeting performance standards, measures, and 
benchmarks.

[78 FR 60230, Oct. 1, 2013, as amended at 81 FR 71010, Oct. 14, 2016]



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 
Highway Administration (FHWA) 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 Vehicles Miles Traveled (VMT) as defined by the 
Federal Highway Administration (FHWA) 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 total MCSAP funds less the Administrative 
Takedown and Incentive Funds.

[[Page 21]]

    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) or the Plan 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.
    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.
    Innovative Technology Deployment funds means funds provided to 
States for carrying out the deployment of innovative technology that 
support commercial vehicle information systems and networks.
    Large truck means a truck over 10,000 pounds gross vehicle weight 
rating including single unit trucks and truck tractors (FARS 
definition).
    Lead State Agency means the State CMV safety agency designated by 
the Governor to be responsible for administering the Plan throughout the 
State.
    Level of effort--see Maintenance of effort.
    Maintenance of effort means the level of effort Lead State Agencies 
are required to maintain each fiscal year in accordance with 49 CFR 
350.301. Maintenance of effort is also referred to as ``maintenance of 
expenditure'' and ``level of effort.''
    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.
    Operating authority means the registration required by 49 U.S.C. 
13902 and 31144, 49 CFR parts 365 and 368, and Sec.  392.9a.
    Plan--see Commercial Vehicle Safety Plan or CVSP.
    State or States means 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.

[65 FR 15102, Mar. 21, 2000, as amended at 71 FR 50866, Aug. 28, 2006; 
72 FR 36769, July 5, 2007; 77 FR 59823, Oct. 1, 2012; 80 FR 59071, Oct. 
1, 2015; 81 FR 71010, Oct. 14, 2016]



Sec.  350.107  What entities are eligible for funding under this part?

    (a) For MCSAP, 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 FMCSA.
    (b) For the High Priority Program, the Administrator may make 
discretionary grants to and enter into cooperative agreements with 
States, local governments, federally recognized Indian tribes, other 
political jurisdictions as necessary, and any person to carry out high 
priority activities and projects

[[Page 22]]

that augment motor carrier safety activities and to States for projects 
planned in accordance with the Innovative Technology Deployment Program.

[81 FR 71010, Oct. 14, 2016]



Sec.  350.109  What are the national Motor Carrier Safety Assistance
Program (MCSAP) 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.  350.110  What are the national High Priority Program elements?

    FMCSA may generally use these funds to support, enrich, or evaluate 
State CMV safety programs and to accomplish the objectives listed below:
    (a) Increase public awareness and education on commercial motor 
vehicle safety.
    (b) Target unsafe driving of commercial motor vehicles and 
noncommercial motor vehicles in areas identified as high risk crash 
corridors.
    (c) Improve the safe and secure movement of hazardous materials.
    (d) Improve safe transportation of goods and persons in foreign 
commerce.
    (e) Demonstrate new technologies to improve commercial motor vehicle 
safety.
    (f) Support participation in performance and registration 
information systems management developed under 49 U.S.C. 31106--
    (1) For entities not responsible for submitting the CVSP under this 
part, or
    (2) For entities responsible for submitting the CVSP under this 
part--
    (i) Before October 1, 2020, to achieve compliance with the 
requirements of participation; and
    (ii) Beginning October 1, 2020, or once compliance is achieved, 
whichever is sooner, for special initiatives or projects that exceed 
routine operations required for participation.
    (g) Conduct Safety Data improvement Projects--
    (1) That complete or exceed the requirements of the program 
developed to meet Sec.  350.201(r) of this part for entities not 
responsible for submitting the CVSP under this part; or
    (2) That exceed the requirements of the program developed to meet 
Sec.  350.201(r) of this part for entities that are responsible for 
submitting the CVSP under this part.
    (h) Otherwise improve commercial motor vehicle safety regulations.

[81 FR 71010, Oct. 14, 2016]



Sec.  350.111  What constitutes traffic enforcement for the purpose of
the MCSAP?

    Traffic enforcement means enforcement activities of State or local 
officials, including the stopping of vehicles operating on highways, 
streets, or roads for moving violations of State or local motor vehicle 
or traffic laws (e.g., speeding, following too closely, reckless 
driving, improper lane changes).

[72 FR 36769, July 5, 2007]



                Subpart B_Requirements for Participation



Sec.  350.201  What conditions must a State meet to qualify for MCSAP
Funds?

    To qualify for MCSAP Funds, each State must:
    (a) Assume responsibility for improving motor carrier safety by 
adopting and enforcing State safety laws and regulations, standards, and 
orders that are compatible with Federal regulations, 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), and standards, and orders of the Federal 
Government, except as may be determined by the Administrator to be 
inapplicable to a State enforcement program.
    (b) Implement performance-based activities, including deployment and 
maintenance of technology to enhance the efficiency and effectiveness of 
CMV safety programs.
    (c) Designate a Lead State Agency responsible for administering the 
CVSP throughout the State.
    (d) Give satisfactory assurances that the Lead State Agency has or 
will have the legal authority, resources, and

[[Page 23]]

qualified personnel necessary to enforce the FMCSRs and HMRs or 
compatible State laws or regulations, standards and orders in the CVSP.
    (e) Give satisfactory assurances that the State will devote adequate 
resources to the administration of the CVSP including the enforcement of 
the FMCSRs, HMRs, or compatible State laws, regulations, standards, and 
orders throughout the State.
    (f) Provide that the total expenditure of amounts of the Lead State 
Agency responsible for administering the Plan will be maintained at a 
level of effort each fiscal year in accordance with 49 CFR 350.301.
    (g) Provide a right of entry (or other method a State may use that 
is adequate to obtain necessary information) and inspection to carry out 
the CVSP.
    (h) Provide that all reports required in the CVSP under this section 
be available to FMCSA upon request.
    (i) Provide that the Lead State Agency adopt the reporting standards 
and use the forms for recordkeeping, inspections, and investigations 
that FMCSA prescribes.
    (j) Require all registrants of CMVs to demonstrate their knowledge 
of applicable FMCSRs, HMRs, or compatible State laws or regulations, 
standards, and orders.
    (k) Grant maximum reciprocity for inspections conducted under the 
North American Inspection Standards through the use of a nationally 
accepted system that allows ready identification of previously inspected 
CMVs.
    (l) Ensure that activities described in 49 CFR 350.309, if financed 
through MCSAP funds, will not diminish the effectiveness of the 
development and implementation of the programs to improve motor carrier, 
CMV, and driver safety.
    (m) Ensure that the Lead State Agency will coordinate the CVSP, data 
collection and information systems, with the State highway safety 
improvement program under 23 U.S.C. 148(c).
    (n) Ensure participation in appropriate FMCSA information technology 
and data systems 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) Provide satisfactory assurances that the State will undertake 
efforts that will emphasize and improve enforcement of State and local 
traffic laws and regulations related to CMV safety.
    (q) Provide satisfactory assurances that the State will address 
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 regulations 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 training to MCSAP personnel to 
recognize drivers impaired by alcohol or controlled substances.
    (3) Activities related to criminal interdiction, including human 
trafficking, when conducted with an appropriate CMV inspection, and 
appropriate strategies for carrying out those interdiction activities, 
including interdiction activities that affect the transportation of 
controlled substances (as defined in section 102 of the Comprehensive 
Drug Abuse Prevention and Control Act of 1970 (21 U.S.C. 802) and listed 
in part 1308 of title 21, Code of Federal Regulations) by any occupant 
of a CMV.
    (r) Establish and dedicate sufficient resources to a program to 
ensure that accurate, complete, and timely motor carrier safety data are 
collected and reported, and to ensure the State's participation in a 
national motor carrier safety data correction system prescribed by 
FMCSA.
    (s)(1) Provide that the State will enforce registration (i.e., 
operating authority) requirements under 49 U.S.C. 13902 and 31134, and 
49 CFR 392.9a by prohibiting the operation of (i.e., placing out of 
service) any vehicle discovered to be operating without the required 
operating authority or beyond the scope of the motor carrier's operating 
authority.
    (2) Ensure that the State will cooperate in the enforcement of 
financial responsibility requirements under 49

[[Page 24]]

U.S.C. 13906, 31138, 31139, and 49 CFR part 387.
    (t) Ensure consistent, effective, and reasonable sanctions.
    (u) Ensure that roadside inspections will be conducted at locations 
that are adequate to protect the safety of drivers and enforcement 
personnel.
    (v) Provide that the State will include in the training manual for 
the licensing examination to drive a CMV and the training manual for the 
licensing examination to drive a non-CMV information on best practices 
for driving safely in the vicinity of non-CMVs and CMVs.
    (w) Provide that the State will conduct comprehensive and highly 
visible traffic enforcement and CMV safety inspection programs in high-
risk locations and corridors.
    (x) Except in the case of an imminent or obvious safety hazard, 
ensure that an inspection of a vehicle transporting passengers for a 
motor carrier of passengers is conducted at a bus station, terminal, 
border crossing, maintenance facility, destination, or other location 
where a motor carrier may make a planned stop (excluding a weigh 
station).
    (y) Ensure that it transmits to roadside inspectors the notice of 
each Federal exemption under 49 U.S.C. 31315(b) and 49 CFR 390.23 and 
390.25 provided to the State by FMCSA, including the name of the person 
granted the exemption and any terms and conditions that apply to the 
exemption.
    (z) Except for a territory of the United States, conduct new entrant 
safety audits of interstate and, at the State's discretion, intrastate 
new entrant motor carriers under 49 U.S.C. 31144(g). The State must 
verify the quality of the work conducted by a third party authorized to 
conduct new entrant safety audits under 49 U.S.C. 31144(g) on its behalf 
and the State remains solely responsible for the management and 
oversight of the activities.
    (aa) Agree to fully participate in performance and registration 
information systems management under 49 U.S.C. 31106(b) not later than 
October 1, 2020, by complying with the conditions for participation 
under paragraph (3) of that section, or demonstrate to the FMCSA an 
alternative approach for identifying and immobilizing a motor carrier 
with serious safety deficiencies in a manner that provides an equivalent 
level of safety.
    (bb) In the case of a State that shares a land border with another 
country, conduct a border CMV safety program focusing on international 
commerce that includes enforcement and related projects or forfeit all 
funds based on border-related activities.
    (cc) Comply with the requirements of the innovative technology 
deployment program in 49 U.S.C. 31102(l)(3) if the State funds operation 
and maintenance costs associated with innovative technology deployment 
with its MCSAP funding.

[81 FR 71011, Oct. 14, 2016]



Sec.  350.203  What conditions must an applicant meet to qualify for
High Priority Program Funds?

    (a) States must meet the requirements of Sec.  350.201, as 
applicable.
    (b) If applicable, other applicants, as described in Sec.  350.107, 
must meet the following conditions:
    (1) Prepare a proposal in accordance with Sec.  350.213, and 
coordinate the proposal with the Lead State Agency to ensure the 
proposal is consistent with State and national CMV safety program 
priorities.
    (2) Prepare a proposal that is responsive to the notice of funding 
availability.
    (3) Certify that the applicant 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 15 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 or cooperative 
agreement.
    (7) Agree to use the forms and reporting criteria required by the 
Lead State Agency and/or the FMCSA to record work activities to be 
performed under the proposal.

[[Page 25]]

    (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 databases appropriate to the 
project.

[81 FR 71012, Oct. 14, 2016]



Sec.  350.205  How and when does a State apply for MCSAP funding?

    (a) The Lead State Agency must submit the State's CVSP to FMCSA, on 
or before August 1 of each year.
    (b) This deadline may, for good cause, be extended by the Division 
Administrator/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.

[65 FR 15102, Mar. 21, 2000, as amended at 77 FR 59823, Oct. 1, 2012; 78 
FR 58478, Sept. 24, 2013; 81 FR 71012, Oct. 14, 2016]



Sec.  350.206  How and when does one apply for High Priority Program
funding?

    The FMCSA establishes and publishes application instructions and 
criteria for eligible activities to be funded with financial assistance 
agreements under this section in a notice of funding availability which 
is published at least 30 days before the financial assistance program 
application period closes.

[81 FR 71012, Oct. 14, 2016]



Sec.  350.207  What response does a State receive to its CVSP submission?

    (a) FMCSA will notify the State, in writing, within 30 days of 
receipt of the CVSP whether FMCSA--
    (1) Approves the CVSP; or
    (2) Withholds approval of the CVSP because it 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 FMCSA withholds approval--
    (1) FMCSA will give the State a written explanation of the reasons 
for withholding approval of the CVSP and allow the State to modify and 
resubmit the CVSP for approval.
    (2) The State will have 30 days from the date of the notice to 
modify and resubmit the CVSP.
    (c) Disapproval of a resubmitted CVSP is final for that fiscal year.
    (d) Any State aggrieved by an adverse decision under this section 
may seek judicial review under 5 U.S.C. chapter 7.

[81 FR 71012, Oct. 14, 2016]



Sec.  350.208  What response will the applicant for a High Priority
Program receive?

    (a) If the grant or cooperative agreement is approved, the applicant 
will receive a grant agreement to execute.
    (b) If the grant or cooperative agreement is denied, the applicant 
will receive a letter of denial from the Agency.

[81 FR 71012, Oct. 14, 2016]



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.  350.210  How does an applicant demonstrate it satisfies the
conditions for High Priority Program Funding?

    An applicant for a High Priority Program Grant or cooperative 
agreement should refer to Sec.  350.203. There is no separate 
certification for this program.

[81 FR 71012, Oct. 14, 2016]



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

[[Page 26]]

authority of 49 U.S.C. 31102, as amended, do hereby certify as follows:
    (a) The State has adopted commercial motor carrier and highway 
hazardous materials safety regulations, standards and orders that are 
compatible with the FMCSRs and the HMRs, and the standards and orders of 
the Federal Government.
    (b) The State has designated (name of Lead State Agency) as the Lead 
State Agency to administer the Commercial Vehicle Safety Plan throughout 
the State for the grant sought and (names of agencies) to perform 
defined functions under the CVSP. The Lead State Agency has the legal 
authority, resources, and qualified personnel necessary to enforce the 
State's commercial motor carrier, driver, and highway hazardous 
materials safety laws, regulations, standards, and orders.
    (c) 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, regulations, 
standards, and orders in a manner consistent with the approved Plan.
    (d) The laws of the State provide the State's enforcement officials 
right of entry (or other method a State may use that is adequate to 
obtain the necessary information) 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.
    (e) 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.
    (f) The State has uniform reporting requirements and uses FMCSA-
designated forms for record keeping, inspection, investigations, and 
other enforcement activities.
    (g) The State has in effect a requirement that all registrants of 
CMVs demonstrate their knowledge of the applicable Federal or State CMV 
safety laws or regulations.
    (h) The State must ensure that the total expenditure of amounts of 
the Lead State Agency will be maintained at a level of effort each 
fiscal year in accordance with 49 CFR 350.301.
    (i) The State will ensure that MCSAP-funded enforcement of 
activities under 49 CFR 350.309 will not diminish the effectiveness of 
the development and implementation of the programs to improve motor 
carrier, CMV, and driver safety.
    (j) 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.
    (k) The State will ensure that violation sanctions imposed and 
collected by the State are consistent, effective, and reasonable.
    (l) The State will:
    (1) Establish and dedicate sufficient resources to a program to 
provide FMCSA with accurate, complete, and timely reporting of motor 
carrier safety information that includes documenting the effects of the 
State's CMV safety programs;
    (2) Participate in a national motor carrier safety data correction 
program (DataQs);
    (3) Participate in appropriate FMCSA systems including information 
technology and data systems and other information systems; and
    (4) Ensure information is exchanged in a timely manner with other 
States.
    (m) The State will ensure that the Plan, data collection, and 
information data systems are coordinated with the State highway safety 
improvement program under sec. 148(c) of title 23, U.S. Code. The name 
of the Governor's highway safety representative (or other authorized 
State official through whom coordination was accomplished) is ______. 
(Name)
    (n) The State has undertaken efforts to emphasize and improve 
enforcement of State and local traffic laws and regulations as they 
pertain to CMV safety.
    (o) The State will ensure that it has departmental policies 
stipulating that roadside inspections will be conducted

[[Page 27]]

at locations that are adequate to protect the safety of drivers and 
enforcement personnel.
    (p) The State will ensure that MCSAP-funded personnel, including 
sub-grantees, meet 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 
inspection.
    (q) The State will enforce registration (i.e., operating authority) 
requirements under 49 U.S.C 13902, 31134, and 49 CFR 392.9a by 
prohibiting the operation of any vehicle discovered to be operating 
without the required registration or beyond the scope of the motor 
carrier's registration.
    (r) The State will cooperate in the enforcement of financial 
responsibility requirements under 49 U.S.C. 13906, 31138, 31139, and 49 
CFR part 387.
    (s) The State will include, in the training manual for the licensing 
examination to drive a non-CMV and the training manual for the licensing 
examination to drive a CMV, information on best practices for safe 
driving in the vicinity of noncommercial and commercial motor vehicles.
    (t) The State will conduct comprehensive and highly visible traffic 
enforcement and CMV safety inspection programs in high-risk locations 
and corridors.
    (u) The State will ensure that, except in the case of an imminent or 
obvious safety hazard, an inspection of a vehicle transporting 
passengers for a motor carrier of passengers is conducted at a bus 
station, terminal, border crossing, maintenance facility, destination, 
or other location where motor carriers may make planned stops (excluding 
a weigh station).
    (v) The State will transmit to roadside inspectors the notice of 
each Federal exemption under 49 U.S.C. 31315(b) and 49 CFR 390.23 and 
390.25 as provided to the State by FMCSA, including the name of the 
entity granted the exemption and any terms and conditions that apply to 
the exemption.
    (w) Except for a territory of the United States, the State will 
conduct safety audits of interstate and, at the State's discretion, 
intrastate new entrant motor carriers under 49 U.S.C. 31144(g). The 
State will verify the quality of the work conducted by a third party 
authorized to conduct safety audits under 49 U.S.C. 31144(g) on its 
behalf and the State remains solely responsible for the management and 
oversight of the activities.
    (x) The State fully participates in the performance and registration 
information systems management under 49 U.S.C. 31106(b) not later than 
October 1, 2020, or demonstrates to FMCSA an alternative approach for 
identifying and immobilizing a motor carrier with serious safety 
deficiencies in a manner that provides an equivalent level of safety.
    (y) In the case of a State that shares a land border with another 
country, the State will conduct a border CMV safety program focusing on 
international commerce that includes enforcement and related projects or 
it will forfeit all MCSAP funds based on border-related activities.
    (z) If a State meets all MCSAP requirements and funds operation and 
maintenance costs associated with innovative technology deployment with 
MCSAP funds, the State agrees to comply with the Innovative Technology 
Deployment requirements established pursuant to 49 CFR 350.310 and 
350.311.

Date____________________________________________________________________

Signature_______________________________________________________________

[81 FR 71012, Oct. 14, 2016]



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

[[Page 28]]

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) Criminal interdiction activities, including human trafficking, 
and appropriate strategies for carrying out those interdiction 
activities, including interdiction activities affecting the 
transportation of controlled substances by any occupant of a CMV.
    (4) Activities to enforce registration requirements under 49 U.S.C. 
13902 and 31134 and to cooperate in the enforcement of 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.
    (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) List of MCSAP contacts.
    (p) Annual Certification of Compatibility, Sec.  350.331.

[[Page 29]]

    (q) State Training Plan.

[65 FR 15102, Mar. 21, 2000, as amended at 67 FR 61820, Oct. 2, 2002; 67 
FR 63019, Oct. 9, 2002; 77 FR 59823, Oct. 1, 2012; 81 FR 71014, Oct. 14, 
2016]



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 FMCSA--
    (1) Withdrawing approval of the Plan and withholding all MCSAP 
funding; or
    (2) Finding the State in noncompliance and withholding--
    (i) Up to 5 percent of MCSAP funds during the fiscal year that the 
FMCSA notifies the State of its noncompliance;
    (ii) Up to 10 percent of MCSAP funds for the first full fiscal year 
of noncompliance;
    (iii) Up to 25 percent of MCSAP funds for the second full fiscal 
year of noncompliance; and
    (iv) Not more than 50 percent of MCSAP funds for the third and any 
subsequent full fiscal year of noncompliance.
    (f) Any State aggrieved by an adverse decision under this section 
may seek judicial review under 5 U.S.C. chapter 7.

[65 FR 15102, Mar. 21, 2000, as amended at 81 FR 81 FR 71014, Oct. 14, 
2016]



                            Subpart C_Funding



Sec.  350.301  What level of effort must a State maintain to qualify
for MCSAP funding?

    (a) Each fiscal year, the State must maintain the average aggregate 
expenditure (level of effort) of the Lead State Agency, exclusive of 
Federal funds and State matching funds, for CMV safety programs eligible 
for funding under this part at a level at least equal to the average 
level of that expenditure for fiscal years 2004 and 2005.
    (b) In determining a State's average level of effort, FMCSA--
    (1) May allow the State to exclude State expenditures for federally 
sponsored demonstration and pilot CMV safety programs and strike forces.
    (2) May allow the State to exclude expenditures for activities 
related to border enforcement and new entrant safety audits;
    (3) Shall require the State to exclude Federal funds; and
    (4) Shall require the State to exclude State matching funds.
    (c) The State must include costs associated with activities 
performed during the base period by the Lead State Agency that receives 
funds under this part. It must include only those activities which meet 
the current requirements for funding eligibility under the grant 
program.
    (d) States may use amounts generated under 49 U.S.C. 14504a as part 
of the State's maintenance of effort, provided the amounts are not 
applied to the match required under 49 CFR 350.303.
    (e) Waivers and Modifications--Upon the request of a State, FMCSA 
may waive or modify the requirements of this section for a total of 1 
fiscal year per request if FMCSA determines that the waiver or 
modification is reasonable, based on circumstances described by the 
State.

[81 FR 71014, Oct. 14, 2016]

[[Page 30]]



Sec.  350.303  What are the State and Federal shares of expenses incurred
under the MCSAP and High Priority Program?

    (a) FMCSA will reimburse at least 85 percent of the eligible costs 
incurred under the MCSAP and High Priority Program.
    (b) In-kind contributions are acceptable in meeting the matching 
share if they represent eligible costs as established by 2 CFR part 200 
or FMCSA policy.
    (c) States may use amounts generated under 49 U.S.C. 14504a as part 
of the State's match required for MCSAP, provided the amounts are not 
applied to the maintenance of effort required under Sec.  350.301.

[81 FR 71014, Oct. 14, 2016]



Sec.  350.305  Are U.S. Territories subject to the MCSAP matching funds
requirement?

    The Administrator waives the requirement for matching funds under 
the MCSAP for the Virgin Islands, American Samoa, Guam, and the 
Commonwealth of the Northern Mariana Islands.

[81 FR 71014, Oct. 14, 2016]



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.  350.308  How long are High Priority Program funds available?

    (a) Funds for CMV safety activities under 49 CFR 350.310(a)-(h) 
obligated to an entity will remain available for the rest of the fiscal 
year in which they were obligated and the next 2 full fiscal years.
    (b) Funds for Innovative Technology Deployment activities under 49 
CFR 350.310(i) obligated to a State will remain available for the rest 
of the fiscal year in which they were obligated and the next 4 full 
fiscal years.

[81 FR 71014, Oct. 14, 2016]



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 activities are also eligible for reimbursement 
when part of the approved Plan
    (1) When accompanied by an appropriate North American Standard 
Inspection and inspection report--
    (i) Enforcement of CMV size and weight limitations at locations, 
excluding fixed-weight facilities, such as near steep grades or 
mountainous terrains, where the weight of a CMV can significantly affect 
the safe operation of the vehicle, or at ports were intermodal shipping 
containers enter and leave the United States; and
    (ii) Detection of and enforcement activities taken as a result of 
criminal activity, including the trafficking of human beings, in a CMV 
or by any occupant, including the operator of the CMV; and
    (2) For documented enforcement of State traffic laws and regulations 
designed to promote the safe operation of CMVs, including documented 
enforcement of such laws and regulations relating to non-CMVs when 
necessary to promote the safe operation of CMVs, if--
    (i) The number of motor carrier safety activities, including 
roadside safety inspections is maintained at a level at least equal to 
the average level of such activities conducted in the State in fiscal 
years 2004 and 2005; and
    (ii) The State does not use more than 10 percent of the MCSAP Basic 
funds for enforcement activities relating to non-CMVs necessary to 
promote the safe operation of CMVs, unless the Administrator determines 
that a higher percentage will result in significant increases in CMV 
safety.

[65 FR 15102, Mar. 21, 2000, as amended at 72 FR 36770, July 5, 2007; 81 
FR 71014, Oct. 14, 2016]

[[Page 31]]



Sec.  350.310  What types of activities and projects are eligible for
reimbursement under the High Priority Program?

    The types of activities eligible for reimbursement under the High 
Priority Program include:
    (a) Increasing public awareness and education about CMV safety;
    (b) Targeting unsafe driving of CMVs and non-CMVs in areas 
identified as high risk crash corridors;
    (c) Improving the safe and secure movement of hazardous materials;
    (d) Improving safe transportation of goods and persons in foreign 
commerce;
    (e) Demonstrating new technologies to improve CMV safety;
    (f) Supporting participation in performance and registration 
information systems management (PRISM) under 49 U.S.C. 31106(b)--
    (1) For Non-Lead State Agencies; or
    (2) For Lead State Agencies--
    (i) Before October 1, 2020, to achieve compliance with the 
requirements of participation; and
    (ii) Beginning on October 1, 2020, or once compliance is achieved, 
whichever is sooner, for special initiatives or projects that exceed 
routine operations required for participation;
    (g) Conducting safety data improvement projects--
    (1) That complete or exceed the requirements under 49 U.S.C. 
31102(c)(2)(P) for Non-Lead State Agencies; or
    (2) That exceed the requirements under 49 U.S.C. 31102(c)(2)(P) for 
Lead State Agencies;
    (h) Improving CMV safety and compliance with CMV safety regulations; 
and
    (i) Implementing and maintaining the Innovative Technology 
Deployment of CMV information systems and networks in accordance with 49 
U.S.C. 31102(l)(3).

[81 FR 71014, Oct. 14, 2016]



Sec.  350.311  What specific items are eligible for reimbursement under
the MCSAP and High Priority Program?

    (a) FMCSA shall establish criteria for eligible activities to be 
funded and publish those criteria in a notice of funding availability 
before the MCSAP and High Priority Program application periods.
    (b) All reimbursable items must be necessary, reasonable, allocable 
and allowable under this part and 2 CFR part 200. The eligibility of 
specific items is subject to review by FMCSA. The following types of 
expenses are eligible for reimbursement:
    (1) Personnel expenses, including recruitment and screening, 
training, salaries and fringe benefits, and supervision.
    (2) 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.
    (3) Indirect expenses as allowed by 2 CFR part 200.
    (4) 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, including operation and 
maintenance costs related to innovative technology deployment.
    (5) Clerical and administrative expenses, to the extent necessary 
and directly attributable to the MCSAP.
    (6) 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.

[81 FR 71015, Oct. 14, 2016]



Sec.  350.313  How are MCSAP funds allocated?

    After deducting administrative expenses authorized in 49 U.S.C. 
31104(c), the MCSAP funds are allocated among States with approved CVSPs 
in two ways:
    (a) As Basic Program Funds in accordance with Sec.  350.323 of this 
part,
    (b) As Incentive Funds in accordance with Sec.  350.327 of this 
part.

[81 FR 71015, Oct. 14, 2016]



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.

[[Page 32]]



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.  350.323  What criteria are used in the Basic Program Funds
allocation?

    (a) First, 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 FHWA.
    (2) All vehicle miles traveled (VMT) as defined by the FHWA.
    (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 FHWA.
    (b) Next, the FMCSA will average the funding awarded to a State, or 
other equitable amounts, in fiscal years 2013, 2014, and 2015 for--
    (1) Border enforcement grants under 49 U.S.C. 31107; and
    (2) New entrant audit grants under 49 U.S.C. 31144(g)(5).
    (c) FMCSA will add the amount in paragraph (a) of this section to 
the amount in paragraph (b) of this section to calculate the total 
amount of MCSAP Basic funding.
    (d) Subject to the availability of funding and notwithstanding 
fluctuations in the data elements used by FMCSA, the initial amounts 
resulting from the calculation in paragraph (c) of this section shall be 
adjusted to ensure that, for each State, the amount shall not be less 
than 97 percent of the average amount of funding received or other 
equitable amounts in fiscal years 2013, 2014, and 2015 for--
    (1) MCSAP funds under 49 U.S.C. 31102;
    (2) Border enforcement grants under 49 U.S.C. 31107; and
    (3) New entrant audit grants under 49 U.S.C. 31144(g)(5).
    (e) Distribution of Basic Program Funds for Puerto Rico and the U.S. 
territories is subject to allocation as follows:
    (1) U.S. territories receive a fixed amount of $350,000;
    (2) Puerto Rico receives a maximum allocation of 4.944 percent or a 
minimum allocation of 0.44 percent or $350,000, whichever is greater.

[81 FR 71015, Oct. 14, 2016]



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

[[Page 33]]

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.
    (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.

[65 FR 15102, Mar. 21, 2000, as amended at 77 FR 59823, Oct. 1, 2012]



Sec.  350.331  How does a State ensure its laws and regulations are
compatible with the FMCSRs and HMRs?

    (a) States must submit a copy of new or amended State laws or 
regulations on CMV safety immediately after the enactment or issuance.
    (b) A State must conduct a review of its laws and regulations for 
compatibility and report the results of that review in the 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.
    (c) 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.

[65 FR 15102, Mar. 21, 2000, as amended at 77 FR 59823, Oct. 1, 2012; 81 
FR 71015, Oct. 14, 2016]



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:

[[Page 34]]



            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 a State has laws or
regulations incompatible with the Federal regulations?

    (a) FMCSA may initiate a proceeding to withdraw Plan approval or 
withhold MCSAP funds in accordance with 49 CFR 320.215 in the following 
situations:
    (1) When a State that currently has compatible CMV safety laws and 
regulations pertaining to interstate commerce (i.e., rules identical to 
the FMCSRs and HMRs or have the same effect as the FMCSRs and identical 
to the HMRs) and intrastate commerce (i.e., rules identical to or within 
the tolerance guidelines for the FMCSRs and identical to the HMRs) 
enacts a law or regulation which results in an incompatible rule;
    (2) When a State fails to adopt a new FMCSR or HMR or an amendment 
to an FMCSR or HMR within 3 years of its effective date; or
    (3) Upon a finding by FMCSA, based upon its own initiative or upon a 
petition of any person, including any State, that a State law, 
regulation or enforcement practice pertaining to CMV safety, in either 
interstate or intrastate commerce, is incompatible with the FMCSRs or 
HMRs.
    (b) Any decision regarding the compatibility of State law or 
regulation with the HMRs that requires an interpretation will be 
referred to the Pipeline and Hazardous Materials Safety Administration 
of the DOT for such interpretation before proceeding under Sec.  
350.215.

[81 FR 71015, Oct. 14, 2016]



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.



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

[[Page 35]]

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 effect on 
safety.
    (3) The State may decide not to adopt laws and regulations that 
implement a registry of medical examiners trained and qualified to apply 
physical qualification standards or variances continued in effect or 
adopted by the State under this paragraph that apply to drivers of CMVs 
in intrastate commerce.

[65 FR 15102, Mar. 21, 2000, as amended at 77 FR 24126, Apr. 20, 2012; 
78 FR 58478, Sept. 24, 2013]



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.
    (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.

[[Page 36]]



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.; and 49 CFR 1.87.

    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 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

[[Page 37]]

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 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.

[[Page 38]]



    Sec. 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, for-hire 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

    The following is a high-level summary of the hours-of-service 
regulations governing property and passenger carriers. The description 
below outlines only some of the major provisions, but does not capture 
all the detailed requirements. For the detailed provisions, which 
include rest breaks, sleeper berth, and records of duty status issues, 
see part 395 of this subchapter.
    The hours-of-service regulations prohibit both property and 
passenger carriers from allowing or requiring any driver to drive as 
follows:
    1. Property. More than 11 hours after 10 consecutive hours off duty 
within a consecutive 14-hour duty period, and more than 60/70 hours on 
duty in 7/8 consecutive days. A driver may restart a 7/8 consecutive day 
period after taking 34 or more consecutive hours off duty, which 
includes two periods from 1 a.m. to 5 a.m., home terminal time. The 
restart may be used only once per week, or 168 hours, measured from the 
beginning of the previous restart.
    2. Passenger. More than 10 hours after 8 consecutive hours off duty 
within a 15-hour duty period, and more than 60/70 hours on duty in 7/8 
consecutive days.

                       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 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

[[Page 39]]

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 at 58 FR 33776, June 21, 1993; 
62 FR 37151, July 11, 1997; 65 FR 15110, Mar. 21, 2000; 78 FR 58478, 
Sept. 24, 2013; 79 FR 59455, Oct. 2, 2014; 81 FR 68344, Oct. 4, 2016]



PART 356_MOTOR CARRIER ROUTING REGULATIONS--Table of Contents



Sec.
356.1 Authority to serve a particular area--construction.
356.3 [Reserved]
356.5 Traversal authority.

    Authority: 5 U.S.C. 553; 49 U.S.C. 13301 and 13902; and 49 CFR 1.87.

    Source: 62 FR 32041, June 12, 1997, unless otherwise noted.

    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  [Reserved]



Sec.  356.5  Traversal authority.

    (a) Scope. An irregular route motor carrier may operate between 
authorized service points over any reasonably direct or logical route 
unless expressly prohibited.
    (b) Requirements. Before commencing operations, the carrier must, 
regarding each State traversed:
    (1) Notify the State regulatory body in writing, attaching a copy of 
its operating rights;
    (2) Designate a process agent; and
    (3) Comply with 49 CFR 387.315.



PART 360_FEES FOR MOTOR CARRIER REGISTRATION AND INSURANCE
--Table of Contents



Sec.
360.1 Fees for registration-related services.

[[Page 40]]

360.1T Fees for registration-related services.
360.2 [Reserved]
360.3 Filing fees.
360.3T Filing fees.
360.4 [Reserved]
360.5 Updating user fees.
360.5T Updating user fees.

    Authority: 31 U.S.C. 9701; 49 U.S.C. 13908; and 49 CFR 1.87.

    Source: 80 FR 63702, Oct. 21, 2015, unless otherwise noted.

    Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec. Sec.  360.1-
360.5 were suspended, effective Jan. 14, 2017.



Sec.  360.1  Fees for registration-related services.

    Certifications and copies of public records and documents on file 
with the Federal Motor Carrier Safety Administration (FMCSA) will be 
furnished on the following basis, pursuant to USDOT Freedom of 
Information Act regulations at 49 CFR part 7:
    (a) Certificate of the Director, Office of Management and 
Information Services, as to the authenticity of documents, $12;
    (b) Service involved in locating records to be certified and 
determining their authenticity, including clerical and administrative 
work, at the rate of $21 per hour;
    (c) Copies of the public documents, at the rate of $.80 per letter 
size or legal size exposure. A minimum charge of $5 will be made for 
this service; and
    (d) Search and copying services requiring information technology 
(IT), as follows:
    (1) A fee of $50 per hour for professional staff time will be 
charged when it is required to fulfill a request for electronic data.
    (2) The fee for computer searches will be set at the current rate 
for computer service. Information on those charges can be obtained from 
the Office of Information Technology (MC-RI).
    (3) Printing will be charged at the rate of $.10 per page of 
computer-generated output with a minimum charge of $1. There will also 
be a charge for the media provided (e.g., CD ROMs) based on the Agency's 
costs for such media.
    (e) Exception. No fee shall be charged under this section to the 
following entities:
    (1) Any Agency of the Federal Government or a State government or 
any political subdivision of any such government for access to or 
retrieval of information and data from the Unified Carrier Registration 
System for its own use; or
    (2) Any representative of a motor carrier, motor private carrier, 
broker, or freight forwarder (as each is defined in 49 U.S.C. 13102) for 
the access to or retrieval of the information related to such entity 
from the Unified Carrier Registration System for the individual use of 
such entity.

    Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec.  360.1 was 
suspended, effective Jan. 14, 2017.



Sec.  360.1T  Fees for registration-related services.

    Certifications and copies of public records and documents on file 
with the Federal Motor Carrier Safety Administration will be furnished 
on the following basis, pursuant to the Freedom of Information Act 
regulations at 49 CFR part 7:
    (a) Certificate of the Director, Office of 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-RIS).
    (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

[[Page 41]]

be permanently retained by the requestor.

[82 FR 5297, Jan. 17, 2017]



Sec.  360.2  [Reserved]

    Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec.  360.2 was 
suspended, effective Jan. 14, 2017.



Sec.  360.3  Filing fees.

    (a) Manner of payment. (1) Except for the insurance fees described 
in the next sentence, all filing fees must be paid at the time the 
application, petition, or other document is electronically filed. The 
service fee for insurance, surety or self-insurer accepted certificate 
of insurance, surety bond or other instrument submitted in lieu of a 
broker surety bond must be charged to an insurance service account 
established by FMCSA in accordance with paragraph (a)(2) of this 
section.
    (2) Billing account procedure. A request must be submitted to the 
Office of Registration and Safety Information (MC-RS) at http://
www.fmcsa.dot.gov to establish an insurance service fee account.
    (i) Each account will have a specific billing date within each month 
and a billing cycle. The billing date is the date that the bill is 
prepared and printed. The billing cycle is the period between the 
billing date in one month and the billing date in the next month. A bill 
for each account that has activity or an unpaid balance during the 
billing cycle will be sent on the billing date each month. Payment will 
be due 20 days from the billing date. Payments received before the next 
billing date are applied to the account. Interest will accrue in 
accordance with 31 CFR 901.9.
    (ii) The Federal Claims Collection Standards, including disclosure 
to consumer reporting agencies and the use of collection agencies, as 
set forth in 31 CFR part 901, will be utilized to encourage payment 
where appropriate.
    (iii) An account holder who files a petition for bankruptcy or who 
is the subject of a bankruptcy proceeding must provide the following 
information to the Office of Registration and Safety Information (MC-RS) 
at http://www.fmcsa.dot.gov:
    (A) The filing date of the bankruptcy petition;
    (B) The court in which the bankruptcy petition was filed;
    (C) The type of bankruptcy proceeding;
    (D) The name, address, and telephone number of its representative in 
the bankruptcy proceeding; and
    (E) The name, address, and telephone number of the bankruptcy 
trustee, if one has been appointed.
    (3) Fees will be payable through the U.S. Department of Treasury 
secure payment system, Pay.gov, and are made directly from the payor's 
bank account or by credit/debit card.
    (b) Any filing that is not accompanied by the appropriate filing fee 
will be rejected.
    (c) Fees not refundable. Fees will be assessed for every filing 
listed in the schedule of fees contained in paragraph (f) of this 
section, titled, ``Schedule of filing fees,'' subject to the exceptions 
contained in paragraphs (d) and (e) of this section. After the 
application, petition, or other document has been accepted for filing by 
FMCSA, the filing fee will not be refunded, regardless of whether the 
application, petition, or other document is granted or approved, denied, 
rejected before docketing, dismissed, or withdrawn.
    (d) Multiple authorities. (1) A separate filing fee is required for 
each type of authority sought, for example broker authority requested by 
an entity that already holds motor property carrier authority or 
multiple types of authority requested in the same application.
    (2) Separate fees will be assessed for the filing of temporary 
operating authority applications as provided in paragraph (f)(2) of this 
section, regardless of whether such applications are related to an 
application for corresponding permanent operating authority.
    (e) Waiver or reduction of filing fees. It is the general policy of 
the Federal Motor Carrier Safety Administration not to waive or reduce 
filing fees except as follows:
    (1) Filing fees are waived for an application that is filed by a 
Federal government agency, or a State or local government entity. For 
purposes of

[[Page 42]]

this section the phrases ``Federal government agency'' or ``government 
entity'' do not include a quasi-governmental corporation or government 
subsidized transportation company.
    (2) Filing fees are waived for a motor carrier of passengers that 
receives a grant from the Federal Transit Administration either directly 
or through a third-party contract to provide passenger transportation 
under an agreement with a State or local government pursuant to 49 
U.S.C. 5307, 5310, 5311, 5316, or 5317.
    (3) The FMCSA will consider other requests for waivers or fee 
reductions only in extraordinary situations and in accordance with the 
following procedure:
    (i) When to request. At the time that a filing is submitted to 
FMCSA, the applicant may request a waiver or reduction of the fee 
prescribed in this part. Such request should be addressed to the 
Director, Office of Registration and Safety Information.
    (ii) Basis. The applicant must show that the waiver or reduction of 
the fee is in the best interest of the public, or that payment of the 
fee would impose an undue hardship upon the requester.
    (iii) FMCSA action. The Director, Office of Registration and Safety 
Information, will notify the applicant of the decision to grant or deny 
the request for waiver or reduction.
    (f) Schedule of filing fees:

------------------------------------------------------------------------
      Type of proceeding                                       Fee
------------------------------------------------------------------------
Part I: Registration
    (1)......................  An application for       $300.
                                USDOT Registration
                                pursuant to 49 CFR
                                part 390, subpart E.
    (2)......................  An application for       $100.
                                motor carrier
                                temporary authority to
                                provide emergency
                                relief in response to
                                a national emergency
                                or natural disaster
                                following an emergency
                                declaration under Sec.
                                  390.23 of this
                                subchapter.
    (3)......................  Biennial update of       $0.
                                registration.
    (4)......................  Request for change of    $0.
                                name, address, or form
                                of business.
    (5)......................  Request for              $0.
                                cancellation of
                                registration.
    (6)......................  Request for              $10.
                                registration
                                reinstatement.
    (7)......................  Designation of process   $0.
                                agent.
    (8)......................  Notification of          $0.
                                Transfer of Operating
                                Authority.
Part II: Insurance
    (9)......................  A service fee for        $10 per accepted
                                insurer, surety, or      certificate,
                                self-insurer accepted    surety bond or
                                certificate of           other
                                insurance, surety        instrument
                                bond, and other          submitted in
                                instrument submitted     lieu of a
                                in lieu of a broker      broker surety
                                surety bond.             bond.
    (10).....................  (i) An application for   $4,200.
                                original qualification
                                as self-insurer for
                                bodily injury and
                                property damage
                                insurance (BI&PD).
                               (ii) An application for  $420.
                                original qualification
                                as self-insurer for
                                cargo insurance.
------------------------------------------------------------------------


    Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec.  360.3 was 
suspended, effective Jan. 14, 2017.



Sec.  360.3T  Filing fees.

    (a) Manner of payment. (1) Except for the insurance fees described 
in the next sentence, all filing fees will be payable at the time and 
place the application, petition, or other document is tendered for 
filing. The service fee for insurance, surety or self-insurer accepted 
certificate of insurance, surety bond or other instrument submitted in 
lieu of a broker surety bond must be charged to an insurance service 
account established by the Federal Motor Carrier Safety Administration 
in accordance with paragraph (a)(2) of this section.
    (2) Billing account procedure. A written request must be submitted 
to the Office of Enforcement and Compliance, Insurance Compliance 
Division (MC-ECI) 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

[[Page 43]]

date each month. Payment will be due 20 days from the billing date. 
Payments received before the next billing date are applied to the 
account. Interest will accrue in accordance with 4 CFR 102.13.
    (ii) The Debt Collection Act of 1982, including disclosure to the 
consumer reporting agencies and the use of collection agencies, as set 
forth in 4 CFR 102.5 and 102.6 will be utilized to encourage payment 
where appropriate.
    (iii) An account holder who files a petition in bankruptcy or who is 
the subject of a bankruptcy proceeding must provide the following 
information to the Office of Enforcement and Compliance, Insurance 
Division (MC-ECI):
    (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

[[Page 44]]

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.

----------------------------------------------------------------------------------------------------------------
          Type of proceeding                                                                    Fee
----------------------------------------------------------------------------------------------------------------
Part I: Licensing:
    (1)...............................  An application for motor carrier          $300.
                                         operating authority, a certificate of
                                         registration for certain foreign
                                         carriers, property broker authority, or
                                         freight forwarder authority.
    (2)...............................  A petition to interpret or clarify an     3,000.
                                         operating authority.
    (3)...............................  A request seeking the modification of     50.
                                         operating authority only to the extent
                                         of making a ministerial correction,
                                         when the original error was caused by
                                         applicant, a change in the name of the
                                         shipper or owner of a plant site, or
                                         the change of a highway name or number.
    (4)...............................  A petition to renew authority to          250.
                                         transport explosives.
    (5)...............................  An application for authority to deviate   150.
                                         from authorized regular-route authority.
    (6)...............................  An application for motor carrier          100.
                                         temporary authority issued in an
                                         emergency situation.
    (7)...............................  Request for name change of a motor        14.
                                         carrier, property broker, or freight
                                         forwarder.
    (8)...............................  An application involving the merger,      300.
                                         transfer, or lease of the operating
                                         rights of motor passenger and property
                                         carriers, property brokers, and
                                         household goods freight forwarders
                                         under 49 U.S.C. 10321 and 10926.
    (9)-(49)..........................  [Reserved]..............................
Part II: Insurance:
    (50)..............................  (i) An application for original           4,200.
                                         qualification as self-insurer for
                                         bodily injury and property damage
                                         insurance (BI&PD).
                                        (ii) An application for original          420.
                                         qualification as self-insurer for cargo
                                         insurance.
    (51)..............................  A service fee for insurer, surety, or     $10 per accepted certificate,
                                         self-insurer accepted certificate of      surety bond or other
                                         insurance, surety bond, and other         instrument submitted in lieu
                                         instrument submitted in lieu of a         of a broker surety bond.
                                         broker surety bond.
    (52)..............................  A petition for reinstatement of revoked   80.
                                         operating authority.
    (53)-(79).........................  [Reserved]..............................
Part III: Services:
    (80)..............................  Request for service or pleading list for  13 per list.
                                         proceedings.
    (81)..............................  Faxed copies of operating authority to    5.
                                         applicants or their representatives who
                                         did not receive a served copy.
----------------------------------------------------------------------------------------------------------------

    (g) Returned check policy. (1) If a check submitted to the FMCSA for 
a filing or service fee is dishonored by a bank or financial institution 
on which it is drawn, the FMCSA will notify the person who submitted the 
check that:
    (i) All work will be suspended on the filing or proceeding, until 
the check is made good;
    (ii) A returned check charge of $6.00 and any bank charges incurred 
by the FMCSA as a result of the dishonored check must be submitted with 
the filing fee which is outstanding; and
    (iii) If payment is not made within the time specified by the FMCSA, 
the proceeding will be dismissed or the filing may be rejected.
    (2) If a person repeatedly submits dishonored checks to the FMCSA 
for filing fees, the FMCSA may notify the person that all future filing 
fees must be submitted in the form of a certified or cashier's check, 
money order, or credit card.

[82 FR 5297, Jan. 17, 2017]



Sec.  360.4  [Reserved]

    Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec.  360.4 was 
suspended, effective Jan. 14, 2017.



Sec.  360.5  Updating user fees.

    (a) Update. Each fee established in this subpart may be updated, as 
deemed necessary by FMCSA.
    (b) Publication and effective dates. Notice of updated fees shall be 
published in the Federal Register and shall become effective 30 days 
after publication.

[[Page 45]]

    (c) Payment of fees. Any person submitting a filing for which a 
filing fee is established must pay the fee applicable on the date of the 
filing or request for services.
    (d) Method of updating fees. Each fee shall be updated by updating 
the cost components comprising the fee. However, fees shall not exceed 
the maximum amounts established by law. Cost components shall be updated 
as follows:
    (1) Direct labor costs shall be updated by multiplying base level 
direct labor costs by percentage changes in average wages and salaries 
of FMCSA employees. Base level direct labor costs are direct labor costs 
determined by the cost study in Regulations Governing Fees For Service, 
1 I.C.C. 2d 60 (1984), or subsequent cost studies. The base period for 
measuring changes shall be April 1984 or the year of the last cost 
study.
    (2) Operations overhead shall be developed on the basis of current 
relationships existing on a weighted basis, for indirect labor 
applicable to the first supervisory work centers directly associated 
with user fee activity. Actual updating of operations overhead shall be 
accomplished by applying the current percentage factor to updated direct 
labor, including current governmental overhead costs.
    (3)(i) Office general and administrative costs shall be developed on 
the basis of current levels costs, i.e., dividing actual office general 
and administrative costs for the current fiscal year by total office 
costs for the office directly associated with user fee activity. Actual 
updating of office general and administrative costs shall be 
accomplished by applying the current percentage factor to updated direct 
labor, including current governmental overhead and current operations 
overhead costs.
    (ii) The FMCSA general and administrative costs shall be developed 
on the basis of current level costs; i.e., dividing actual FMCSA general 
and administrative costs for the current fiscal year by total Agency 
expenses for the current fiscal year. Actual updating of FMCSA general 
and administrative costs shall be accomplished by applying the current 
percentage factor to updated direct labor, including current 
governmental overhead, operations overhead and office general and 
administrative costs.
    (4) Publication costs shall be adjusted on the basis of known 
changes in the costs applicable to publication of material in the 
Federal Register or FMCSA Register.
    (e) Rounding of updated fees. Updated fees shall be rounded as 
follows. (This rounding procedure excludes copying, printing and search 
fees.)
    (1) Fees between $1 and $30 shall be rounded to the nearest $1;
    (2) Fees between $30 and $100 shall be rounded to the nearest $10;
    (3) Fees between $100 and $999 shall be rounded to the nearest $50; 
and
    (4) Fees above $1,000 shall be rounded to the nearest $100.

    Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec.  360.5 was 
suspended, effective Jan. 14, 2017.



Sec.  360.5T  Updating user fees.

    (a) Update. Each fee established in this part may be updated in 
accordance with this section as deemed necessary by the FMCSA.
    (b) Publication and effective dates. Updated fees shall be published 
in the Federal Register and shall become effective 30 days after 
publication.
    (c) Payment of fees. Any person submitting a filing for which a fee 
is established shall pay the fee in effect at the time of the filing.
    (d) Method of updating fees. Each fee shall be updated by updating 
the cost components comprising the fee. Cost components shall be updated 
as follows:
    (1) Direct labor costs shall be updated by multiplying base level 
direct labor costs by percentage changes in average wages and salaries 
of FMCSA employees. Base level direct labor costs are direct labor costs 
determined by the cost study in Regulations Governing Fees For Service, 
1 I.C.C. 2d 60 (1984), or subsequent cost studies. The base period for 
measuring changes shall be April 1984 or the year of the last cost 
study.
    (2) Operations overhead shall be developed each year on the basis of 
current relationships existing on a weighted basis, for indirect labor 
applicable to the first supervisory work centers

[[Page 46]]

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.

[82 FR 5298, Jan. 17, 2017]



PART 365_RULES GOVERNING APPLICATIONS FOR OPERATING AUTHORITY
--Table of Contents



             Subpart A_How To Apply for Operating Authority

Sec.
365.101 Applications governed by these rules.
365.101T Applications governed by these rules.
365.102-365.103 [Reserved]
365.103T Modified procedure.
365.104 [Reserved]
365.105 Starting the application process: Form MCSA-1.
365.105T Starting the application process: Form OP-1.
365.106 [Reserved]
365.106T Starting the application process: URS online application.
365.107 Types of applications.
365.107T Types of applications.
365.108 [Reserved]
365.109 FMCSA review of the application.
365.109T FMCSA review of the application.
365.110 Need to complete New Entrant Safety Assurance Program.
365.111 Appeals to rejections of the application.
365.111T Appeals to rejections of the application.
365.113 Changing the request for authority or filing supplementary 
          evidence after the application is filed.
365.115 After publication in the FMCSA Register.
365.117 Obtaining a copy of the application.
365.119 Opposed applications.
365.119T Opposed applications.
365.121 Filing a reply statement.
365.123 Applicant withdrawal.

             Subpart B_How To Oppose Requests for Authority

365.201 Definitions.
365.201T Definitions.
365.203 Time for filing.
365.203T Time for filing.
365.205 Contents of the protest.
365.207 Withdrawal.

        Subpart C_General Rules Governing the Application Process

365.301 [Reserved]
365.301T Applicable rules.
365.303 Contacting another party.
365.305 Serving copies of pleadings.
365.307 Replies to motions.
365.309 FAX filings.

[[Page 47]]

      Subpart D_Transfer of Operating Rights Under 49 U.S.C. 10926

365.401 Scope of rules.
365.403 Definitions.
365.405 Reporting requirement.

      Subpart D_Transfer of Operating Rights Under 49 U.S.C. 10926

365.401T Scope of rules.
365.403T Definitions.
365.405T Applications.
365.407T Notice.
365.409T FMCSA action and criteria for approval.
365.411T Responsive pleadings.
365.413T Procedures for changing the name or business form of a motor 
          carrier, freight forwarder, or property broker.

      Subpart E_Special Rules for Certain Mexico-Domiciled Carriers

365.501 Scope of rules.
365.503 Application.
365.505 Re-registration and fee waiver for certain applicants.
365.507 FMCSA action on the application.
365.507T FMCSA action on the application.
365.509 Requirement to notify FMCSA of change in applicant information.
365.509T Requirement to notify FMCSA of change in applicant information.
365.511 Requirement for CVSA inspection of vehicles during first three 
          consecutive years of permanent operating authority.

Appendix A to Subpart E of Part 365--Explanation of Pre-Authorization 
          Safety Audit Evaluation Criteria for Mexico-Domiciled Motor 
          Carriers

    Authority: 5 U.S.C. 553 and 559; 49 U.S.C. 13101, 13301, 13901-
13906, 13908, 14708, 31133, 31138, and 31144; 49 CFR 1.87.

    Source: 59 FR 63728, Dec. 9, 1994, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.

    Editorial Note: Nomenclature changes to part 365 appear at 66 FR 
49870, Oct. 1, 2001.

    Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec. Sec.  
365.101-365.109 were suspended, effective Jan. 14, 2017.



             Subpart A_How To Apply for Operating Authority



Sec.  365.101  Applications governed by these rules.

    These rules govern the handling of applications for operating 
authority of the following type:
    (a) Applications for certificates of motor carrier registration to 
operate as a motor carrier of property or passengers.
    (b) Applications for permits to operate as a freight forwarder.
    (c) [Reserved]
    (d) Applications for licenses to operate as a broker of motor 
vehicle transportation.
    (e) Applications for certificates under 49 U.S.C. 13902(b)(3) to 
operate as a motor carrier of passengers in intrastate commerce over 
regular routes if such intrastate transportation is to be provided on a 
route over which the carrier provides interstate transportation of 
passengers.
    (f) [Reserved]
    (g) Applications for temporary motor carrier authority.
    (h) Applications for Mexico-domiciled motor carriers to operate in 
foreign commerce as for-hire or private motor carriers of property 
(including exempt items) between Mexico and all points in the United 
States. Under NAFTA Annex 1, 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.
    (i) Applications for non-North America-domiciled motor carriers to 
operate in foreign commerce as for-hire motor carriers of property and 
passengers within the United States.
    (j) The rules in this part do not apply to ``pipeline welding 
trucks'' as defined in 49 CFR 390.38(b).

[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 62 
FR 49940, Sept. 24, 1997; 67 FR 12714, Mar. 19, 2002; 67 FR 61820, Oct. 
2, 2002; 73 FR 76488, Dec. 16, 2008; 74 FR 2901, Jan. 16, 2009; 81 FR 
47720, July 22, 2016; 80 FR 63704, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec.  365.101 was 
suspended, effective Jan. 14, 2017.



Sec.  365.101T  Applications governed by these rules.

    These rules govern the handling of applications for operating 
authority of the following type:
    (a) Applications for certificates and permits to operate as a motor 
common or contract carrier of property or passengers.

[[Page 48]]

    (b) Applications for permits to operate as a freight forwarder.
    (c) [Reserved]
    (d) Applications for licenses to operate as a broker of motor 
vehicle transportation.
    (e) Applications for certificates under 49 U.S.C. 13902(b)(3) to 
operate as a motor carrier of passengers in intrastate commerce over 
regular routes if such intrastate transportation is to be provided on a 
route over which the carrier provides interstate transportation of 
passengers.
    (f) [Reserved]
    (g) Applications for temporary motor carrier authority.
    (h) Applications for Mexico-domiciled motor carriers to operate in 
foreign commerce as common, contract or private motor carriers of 
property (including exempt items) between Mexico and all points in the 
United States. Under NAFTA Annex I, pageI-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.
    (i) Applications for non-North America-domiciled motor carriers to 
operate in foreign commerce as for-hire motor carriers of property and 
passengers within the United States.
    (j) The rules in this part do not apply to ``pipeline welding 
trucks'' as defined in 49 CFR 390.38(b).

[82 FR 5299, Jan. 17, 2017]



Sec.  365.102-365.103  [Reserved]

    Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec. Sec.  
365.102 and 365.103 were suspended, effective Jan. 14, 2017.



Sec.  365.103T  Modified procedure.

    The FMCSA will handle licensing application proceedings using the 
modified procedure, if possible. The applicant and protestants send 
statements made under oath (verified statements) to each other and to 
the FMCSA. There are no personal appearances or formal hearings.

[82 FR 5299, Jan. 17, 2017]



Sec.  365.104  [Reserved]

    Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec.  365.104 was 
suspended, effective Jan. 14, 2017.



Sec.  365.105  Starting the application process: Form MCSA-1.

    (a) Each applicant must apply for operating authority by 
electronically filing Form MCSA-1, the URS online application, to 
request authority pursuant to 49 U.S.C. 13902, 13903 or 13904 to operate 
as a:
    (1) Motor carrier of property or passengers,
    (2) Broker of general commodities or household goods, or
    (3) Freight forwarder of general commodities or household goods.
    (b) Obtain forms at a FMCSA Division Office in each State or at one 
of the FMCSA Service Centers. Addresses and phone numbers for the 
Division Offices and Service Centers can be found at: https://
www.fmcsa.dot.gov/mission/field-offices. The forms and information about 
filing procedures can be downloaded at: https://www.fmcsa.dot.gov/
registration/registration-forms.
    (c) Form MCSA-1 is the URS online application and is available, 
including complete instructions, from the FMCSA Web site at http://
www.fmcsa.dot.gov/urs.

[80 FR 63704, Oct. 21, 2015; 81 FR 68344, Oct. 4, 2016]

    Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec.  365.105 was 
suspended, effective Jan. 14, 2017.



Sec.  365.105T  Starting the application process: Form OP-1.

    (a)(1) Each applicant must file the appropriate form in the OP-1 
series. Form OP-1 must be filed when requesting authority to operate as 
a motor property carrier, a broker of general freight, or a broker of 
household goods; Form OP-1(P) must be filed when requesting authority to 
operate as a motor passenger carrier; Form OP-1(FF) must be filed when 
requesting authority to operate as a freight forwarder; Form OP-1(MX) 
must be filed by a Mexico-domiciled motor property, including household 
goods, carrier, or a

[[Page 49]]

motor passenger carrier requesting authority to operate within the 
United States; and effective December 16, 2009.
    (2) Form OP-1(NNA) must be filed by a non-North America-domiciled 
motor property, including household goods, carrier or a motor passenger 
carrier requesting authority to operate within the United States. A 
separate filing fee in the amount set forth at 49 CFR 360.3T(f)(1) is 
required for each type of authority sought.
    (b) Obtain forms at a FMCSA Division Office in each State or at one 
of the FMCSA Service Centers. Addresses and phone numbers for the 
Division Offices and Service Centers can be found at:https://
www.fmcsa.dot.gov/mission/field-offices. The forms and information about 
filing procedures can be downloaded at:https://www.fmcsa.dot.gov/
registration/registration-forms.

[82 FR 5299, Jan. 17, 2017]



Sec.  365.106  [Reserved]

    Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec.  365.106 was 
suspended, effective Jan. 14, 2017.



Sec.  365.106T  Starting the application process: URS online application.

    (a) Notwithstanding Sec.  365.105T, new applicants as defined in 
paragraph (b) of this section must apply for a USDOT number and if 
applicable, operating authority by electronically filing Form MCSA-1, 
the URS online application, to request authority pursuant to 49 U.S.C. 
13902, 13903, or 13904 to operate as a:
    (1) Motor carrier of property (not household goods), property 
(household goods) or passengers;
    (2) Broker of general commodities or household goods; or
    (3) Freight forwarder of general commodities or household goods.
    (b) For purposes of this section, a ``new applicant'' is an entity 
applying for a USDOT number and if applicable, operating authority who 
does not at the time of application have an active registration or 
USDOT, Motor Carrier (MC), Mexico owned or controlled (MX) or Freight 
Forwarder (FF) number, and who has never had an active registration or 
USDOT, MC, MX, or FF number.
    (c) Form MCSA-1 is the URS online application, and both the 
application and its instructions are available from the FMCSA Web site 
at http://www.fmcsa.dot.gov/urs.

[82 FR 5299, Jan. 17, 2017]



Sec.  365.107  Types of applications.

    (a) Fitness applications. Motor property applications and certain 
types of motor passenger applications require the finding that the 
applicant is fit, willing and able to perform the involved operations 
and to comply with all applicable statutory and regulatory provisions. 
These applications can be opposed only on the grounds that applicant is 
not fit [e.g., is not in compliance with applicable financial 
responsibility and safety fitness requirements]. These applications are:
    (1) Motor carrier of property (except household goods).
    (2) Broker of general commodities or household goods.
    (3) Certain types of motor carrier of passenger applications as 
described in Form MCSA-1.
    (b) Motor carrier of passenger ``public interest'' applications as 
described in Form MCSA-1.
    (c) Intrastate motor passenger applications under 49 U.S.C. 
13902(b)(3) as described in Form MCSA-1.
    (d) Motor carrier of household goods applications, including Mexico- 
or non-North America-domiciled carrier applicants. In addition to 
meeting the fitness standard under paragraph (a) of this section, an 
applicant seeking authority to operate as a motor carrier of household 
goods must:
    (1) Provide evidence of participation in an arbitration program and 
provide a copy of the notice of the arbitration program as required by 
49 U.S.C. 14708(b)(2);
    (2) Identify its tariff and provide a copy of the notice of the 
availability of that tariff for inspection as required by 49 U.S.C. 
13702(c);
    (3) Provide evidence that it has access to, has read, is familiar 
with, and will observe all applicable Federal laws

[[Page 50]]

relating to consumer protection, estimating, consumers' rights and 
responsibilities, and options for limitations of liability for loss and 
damage; and
    (4) Disclose any relationship involving common stock, common 
ownership, common management, or common familial relationships between 
the applicant and any other motor carrier, freight forwarder, or broker 
of household goods within 3 years of the proposed date of registration.
    (e) Temporary authority (TA) for motor carriers. These applications 
require a finding that there is or soon will be an immediate 
transportation need that cannot be met by existing carrier service.
    (1) Applications for TA will be entertained only when an emergency 
declaration has been made pursuant to Sec.  390.23 of this subchapter.
    (2) Temporary authority must be requested by filing Form MCSA-1.
    (3) Applications for temporary authority are not subject to protest.
    (4) Motor carriers granted temporary authority must comply with 
financial responsibility requirements under part 387 of this subchapter.
    (5) Only a U.S.-domiciled motor carrier is eligible to receive 
temporary authority.

[80 FR 63704, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec.  365.107 was 
suspended, effective Jan. 14, 2017.



Sec.  365.107T  Types of applications.

    (a) Fitness applications. Motor property applications and certain 
types of motor passenger applications require only the finding that the 
applicant is fit, willing and able to perform the involved operations 
and to comply with all applicable statutory and regulatory provisions. 
These applications can be opposed only on the grounds that applicant is 
not fit [e.g., is not in compliance with applicable financial 
responsibility and safety fitness requirements]. These applications are:
    (1) Motor common and contract carrier of property (except household 
goods), Mexican motor property carriers that perform private carriage 
and transport exempt items, and motor contract carrier of passengers 
transportation.
    (2) Motor carrier brokerage of general commodities (except household 
goods).
    (3) Certain types of motor passenger applications as described in 
Form OP-1 (P).
    (b) Motor passenger ``public interest'' applications as described in 
Form OP-1 (P).
    (c) Intrastate motor passenger applications under 49 U.S.C. 
13902(b)(3) as described in Form OP-1, Schedule B.
    (d) Motor common carrier of household goods applications, including 
Mexican carrier applicants. These applications require a finding that:
    (1) The applicant is fit, willing, and able to provide the involved 
transportation and to comply with all applicable statutory and 
regulatory provisions; and
    (2) The service proposed will serve a useful public purpose, 
responsive to a public demand or need.
    (e) Motor contract carrier of household goods, household goods 
property broker, and freight forwarder applications. These applications 
require a finding that:
    (1) The applicant is fit, willing, and able to provide the involved 
transportation and to comply with all applicable statutory and 
regulatory provisions; and
    (2) The transportation to be provided will be consistent with the 
public interest and the national transportation policy of 49 U.S.C. 
13101.
    (f) Temporary authority (TA) for motor and water carriers. These 
applications require a finding that there is or soon will be an 
immediate transportation need that cannot be met by existing carrier 
service.
    (g) In view of the expedited time frames established in this part 
for processing requests for permanent authority, applications for TA 
will be entertained only in exceptional circumstances (i.e., natural 
disasters or national emergencies) when evidence of immediate service 
need can be specifically documented in a narrative supplement appended 
to Form OP-1 for motor property carriers, Form OP-1MX for Mexican 
property carriers and, Form OP-1(P) for motor passenger carriers.

[82 FR 5299, Jan. 17, 2017]

[[Page 51]]



Sec.  365.108  [Reserved]

    Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec.  365.108 was 
suspended, effective Jan. 14, 2017.



Sec.  365.109  FMCSA review of the application.

    (a) FMCSA staff will review the application for correctness, 
completeness, and adequacy of the evidence (the prima facie case).
    (1) Minor errors will be corrected without notification to the 
applicant.
    (2) Materially incomplete applications will be rejected. 
Applications that are in substantial compliance with these rules may be 
accepted.
    (3) All motor carrier applications will be reviewed for consistency 
with the FMCSA's operational safety fitness policy. Applicants with 
``Unsatisfactory'' safety fitness ratings from DOT will have their 
applications rejected.
    (4) FMCSA staff will review completed applications that conform with 
the FMCSA's safety fitness policy and that are accompanied by evidence 
of adequate financial responsibility.
    (5) All applicants must file the appropriate evidence of financial 
responsibility pursuant to 49 CFR part 387 within 90 days from the date 
notice of the application is published in the FMCSA Register:
    (i) Form BMC-91 or 91X or BMC 82 surety bond--Bodily injury and 
property damage (motor property and passenger carriers; and freight 
forwarders that provide pickup or delivery service directly or by using 
a local delivery service under their control),
    (ii) Form BMC-84--Surety bond or Form BMC-85--trust fund agreement 
(property brokers of general commodities and household goods).
    (iii) Form BMC-34 or BMC 83 surety bond--Cargo liability (household 
goods motor carriers and household goods freight forwarders).
    (6) Applicants also must submit Form BOC-3--Designation of Agents--
Motor Carriers, Brokers and Freight Forwarders--within 90 days from the 
date notice of the application is published in the FMCSA Register.
    (7) Applicants seeking to conduct operations for which tariffs are 
required may not commence such operations until tariffs are in effect.
    (8) All applications must be completed in English.
    (b) A summary of the application will be published in the FMCSA 
Register to give notice to the public in case anyone wishes to oppose 
the application.

[59 FR 63728, Dec. 9, 1994, as amended at 60 FR 63981, Dec. 13, 1995; 67 
FR 61820, Oct. 2, 2002; 75 FR 35328, June 22, 2010; 81 FR 63704, Oct. 
21, 2015]

    Effective Date Note: At 82 FR 5299, Jan. 17, 2017, Sec.  365.109 was 
suspended, effective Jan. 14, 2017.



Sec.  365.109T  FMCSA review of the application.

    (a) FMCSA staff will review the application for correctness, 
completeness, and adequacy of the evidence (the prima facie case).
    (1) Minor errors will be corrected without notification to the 
applicant.
    (2) Materially incomplete applications will be rejected. 
Applications that are in substantial compliance with these rules may be 
accepted.
    (3) All motor carrier applications will be reviewed for consistency 
with the FMCSA's operational safety fitness policy. Applicants with 
``Unsatisfactory'' safety fitness ratings from DOT will have their 
applications rejected.
    (4) FMCSA staff will review completed applications that conform with 
the FMCSA's safety fitness policy and that are accompanied by evidence 
of adequate financial responsibility.
    (5) Financial responsibility is indicated by filing within 20 days 
from the date an application notice is published in the FMCSA Register:
    (i) Form BMC-91 or 91X or BMC 82 surety bond--Bodily injury and 
property damage (motor property and passenger carriers; household goods 
freight forwarders that provide pickup or delivery service directly or 
by using a local delivery service under their control).
    (ii) Form BMC-84--Surety bond or Form BMC-85--trust fund agreement 
(property brokers of general commodities and household goods).
    (iii) Form BMC 34 or BMC 83 surety bond--Cargo liability (household 
goods motor carriers and household goods freight forwarders).

[[Page 52]]

    (6) Applicants also must submit Form BOC-3--designation of legal 
process agents--within 20 days from the date an application notice is 
published in the FMCSA Register.
    (7) Applicants seeking to conduct operations for which tariffs are 
required may not commence such operations until tariffs are in effect.
    (8) All applications must be completed in English.
    (b) A summary of the application will be published as a preliminary 
grant of authority in the FMCSA Register to give notice to the public in 
case anyone wishes to oppose the application.

[82 FR 5300, Jan. 17, 2017]



Sec.  365.110  Need to complete New Entrant Safety Assurance Program.

    For motor carriers operating commercial motor vehicles as defined in 
49 U.S.C. 31132, operating authority obtained under procedures in this 
part does not become permanent until the applicant satisfactorily 
completes the New Entrant Safety Assurance Program in part 385 of this 
subchapter.

[80 FR 63705, Oct. 21, 2015]



Sec.  365.111  Appeals to rejections of the application.

    (a) An applicant has the right to appeal rejection of the 
application. The appeal must be filed at the FMCSA, Office of 
Registration and Safety Information, 1200 New Jersey Ave. SE., 
Washington, DC 20590, within 10 days of the date of the letter of 
rejection.
    (b) If the appeal is successful and the filing is found to be 
proper, the application shall be deemed to have been properly filed as 
of the decision date of the appeal.

[59 FR 63728, Dec. 9, 1994, as amended at 80 FR 63705, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5300, Jan. 17, 2017, Sec.  365.111 was 
suspended, effective Jan. 14, 2017.



Sec.  365.111T  Appeals to rejections of the application.

    (a) An applicant has the right to appeal rejection of the 
application. The appeal must be filed at the FMCSA within 10 days of the 
date of the letter of rejection.
    (b) If the appeal is successful and the filing is found to be 
proper, the application shall be deemed to have been properly filed as 
of the decision date of the appeal.

[82 FR 5300, Jan. 17, 2017]



Sec.  365.113  Changing the request for authority or filing supplementary
evidence after the application is filed.

    (a) Once the application is filed, the applicant may supplement 
evidence only with approval of the FMCSA.
    (b) Amendments to the application generally are not permitted, but 
in appropriate instances may be entertained at the discretion of the 
FMCSA.



Sec.  365.115  After publication in the FMCSA Register.

    (a) Interested persons have 10 days from the date of FMCSA Register 
publication to file protests. See Subpart B of this part.
    (b) If no one opposes the application, the grant published in the 
FMCSA Register will become effective by issuance of a certificate, 
permit, or license.



Sec.  365.117  Obtaining a copy of the application.

    After publication, interested persons may request a copy of the 
application by contacting the FMCSA-designated contract agent (as 
identified in the FMCSA Register).



Sec.  365.119  Opposed applications.

    If the application is opposed, opposing parties are required to send 
a copy of their protest to the applicant and to FMCSA. All protests must 
include statements made under oath (verified statements). There are no 
personal appearances or formal hearings.

[80 FR 63705, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5300, Jan. 17, 2017, Sec.  365.119 was 
suspended, effective Jan. 14, 2017.



Sec.  365.119T  Opposed applications.

    If the application is opposed, opposing parties are required to send 
a copy of their protest to the applicant

[82 FR 5300, Jan. 17, 2017]

[[Page 53]]



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 operating authority files a 
protest. A person filing a valid protest is known as a protestant.

[81 FR 63705, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5300, Jan. 17, 2017, Sec.  365.201 was 
suspended, effective Jan. 14, 2017.



Sec.  365.201T  Definitions.

    A person wishing to oppose a request for permanent authority files a 
protest. A person filing a valid protest becomes a protestant.

[82 FR 5300, Jan. 17, 2017]



Sec.  365.203  Time for filing.

    A protest shall be filed (received at the FMCSA, Office of the 
Associate Administrator for Research and Information Technology, 1200 
New Jersey Ave. SE., Washington, DC 20590) within 10 days after notice 
of the application appears in the FMCSA Register. A copy of the protest 
shall be sent to applicant's representative at the same time. Failure 
timely to file a protest waives further participation in the proceeding

[80 FR 63705, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5300, Jan. 17, 2017, Sec.  365.203 was 
suspended, effective Jan. 14, 2017.



Sec.  365.203T  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.

[82 FR 5300, Jan. 17, 2017]



Sec.  365.205  Contents of the protest.

    (a) All information upon which the protestant plans to rely is put 
into the protest.
    (b) A protest must be verified, as follows:

    I, __________, verify under penalty of perjury under laws of the 
United States of America, that the information above is true and 
correct. Further, I certify that I am qualified and authorized to file 
this protest. (See 18 U.S.C. 1001 and 18 U.S.C. 1621 for penalties.)

(Signature and Date)

    (c) A protest not in substantial compliance with applicable 
statutory standards or these rules may be rejected.
    (d) Protests must respond directly to the statutory standards for 
FMCSA review of the application. As these standards vary for particular 
types of applications, potential protestants should refer to the general 
criteria addressed at Sec.  365.107 and may consult the FMCSA at 800-
832-5660 or via the web form at https://www.fmcsa.dot.gov/ask for 
further assistance in developing their evidence.

[59 FR 63728, Dec. 9, 1994. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 49940, Sept. 24, 1997; 81 FR 68344, Oct. 4, 2016]



Sec.  365.207  Withdrawal.

    A protestant wishing to withdraw from a proceeding shall inform the 
FMCSA and applicant in writing.

[[Page 54]]



        Subpart C_General Rules Governing the Application Process



Sec.  365.301  [Reserved]

    Effective Date Note: At 82 FR 5300, Jan. 17, 2017, Sec.  365.301 was 
suspended, effective Jan. 14, 2017.



Sec.  365.301T  Applicable rules.

    Generally, all application proceedings are governed by the FMCSA's 
Rules of Practice at part 386 of this chapter except as designated 
below.

[82 FR 5300, Jan. 17, 2017]



Sec.  365.303  Contacting another party.

    When a person wishes to contact a party or serve a pleading or 
letter on that party, it shall do so through its representative. The 
phone and FAX numbers and address of applicant's representative shall be 
listed in the FMCSA Register.



Sec.  365.305  Serving copies of pleadings.

    (a) An applicant must serve all pleadings and letters on the FMCSA 
and all known participants in the proceeding, except that a reply to a 
motion need only be served on the moving party.
    (b) A protestant need serve only the FMCSA and applicant with 
pleadings or letters.



Sec.  365.307  Replies to motions.

    Replies to motions filed under this part are due within 5 days of 
the date the motion is filed at the FMCSA.



Sec.  365.309  FAX filings.

    FAX filings of applications and supporting evidence are not 
permitted. To assist parties in meeting the expedited time frames 
established for protesting an application, however, the FMCSA will 
accept FAX filings of protests and any reply or rebuttal evidence. FAX 
filings of these pleadings must be followed by the original document, 
plus one copy for FMCSA recordkeeping purposes.



               Subpart D_Transfers of Operating Authority

    Source: 80 FR 63705, Oct. 21, 2015, unless otherwise noted.

    Effective Date Note: At 82 FR 5300, Jan. 17, 2017, subpart D was 
suspended, effective Jan. 14, 2017. At that time, subpart D consisted of 
Sec. Sec.  365.401, 365.403, and 365.405.



Sec.  365.401  Scope of rules.

    The rules in this subpart define the procedures for motor carriers, 
property brokers, and freight forwarders to report to FMCSA transactions 
that result in the transfer of operating authority and are not subject 
to approval by the U.S. Surface Transportation Board under 49 U.S.C. 
14303.



Sec.  365.403  Definitions.

    For the purposes of this subpart, the following definitions apply:
    (a) Transfer. A transfer means any transaction in which an operating 
authority issued to one person is taken over by another person or 
persons who assume legal responsibility for the operations. Such 
transactions include a purchase of all or some of the assets of a 
company, a merger of two or more companies, or acquisition of 
controlling interest in a company through a purchase of company stock.
    (b) Operating authority. Operating authority means a registration 
required by 49 U.S.C. 13902 issued to motor carriers; 49 U.S.C. 13903 
issued to freight forwarders; and 49 U.S.C. 13904 issued to brokers.
    (c) Person. An individual, partnership, corporation, company, 
association, or other form of business, or a trustee, receiver, 
assignee, or personal representative of any of these entities.



Sec.  365.405  Reporting requirement.

    (a) Every transfer of operating authority from one person to another 
person must be reported by both the transferee and transferor using the 
URS online application, Form MCSA-1, (available at http://
www.fmcsa.dot.gov/urs) in accordance with Sec.  390.201(d)(5) of this 
subchapter.
    (b) The following information must be furnished:

[[Page 55]]

    (1) Full name, address and USDOT Numbers of the transferee and 
transferor.
    (2) A copy of the operating authority being transferred.



      Subpart D_Transfer of Operating Rights Under 49 U.S.C. 10926

    Source: 82 FR 5300, Jan. 17, 2017, unless otherwise noted.



Sec.  365.401T  Scope of rules.

    These rules define the procedures that enable motor passenger and 
property carriers, property brokers, and household goods freight 
forwarders to obtain approval from the FMCSA to merge, transfer, or 
lease their operating rights in financial transactions not subject to 49 
U.S.C. 11343. Transactions covered by these rules are governed by 49 
U.S.C. 10321 and 10926. The filing fee is set forth at 49 CFR 
360.3T(f)(8).



Sec.  365.403T  Definitions.

    For the purposes of this part, the following definitions apply:
    (a) Transfer. Transfers include all transactions (i.e., the sale or 
lease of 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.



Sec.  365.405T  Applications.

    (a) Procedural requirements. (1) At least 10 days before 
consummation, an original and two copies of a properly completed Form 
OP-FC-1 and any attachments (see paragraph (b)(1)(viii) of this section) 
must be filed with the Federal Motor Carrier Safety Administration, 
Office of Registration and Safety Information (MC-RS), 1200 New Jersey 
Ave. SE., Washington, DC 20590-0001.
    (2) At any time after the expiration of the 10-day waiting period, 
applicants may consummate the transaction, subject to the subsequent 
approval of the application by the FMCSA, as described below. The 
transferee may commence operations under the rights acquired from the 
transferor upon its compliance with the FMCSA's regulations governing 
insurance, and process agents. See 49 CFR parts 387, subpart C, and 366, 
respectively. In the alternative, applicants may wait until the FMCSA 
has issued a decision on their

[[Page 56]]

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.
    (vi) Certification by transferor and transferee of their current 
respective safety ratings by the United States Department of 
Transportation (i.e., satisfactory, conditional, unsatisfactory, or 
unrated).
    (vii) Certification by the transferee that it has sufficient 
insurance coverage under 49 U.S.C. 13906 for the service it intends to 
provide.
    (viii) Information to demonstrate that the proposed transaction is 
consistent with the national transportation policy and satisfies the 
criteria for approval set forth at Sec.  365.409T. (Such information may 
be appended to the application form and, if provided, would be embraced 
by the oath and verification contained on that form.)
    (ix) If motor carrier operating rights are being transferred, 
certification by the transferee that it is not domiciled in Mexico nor 
owned or controlled by persons of that country.
    (2) Category 2 applicants must also submit the following additional 
information:
    (i) Name(s) of the carrier(s), if any, with which the transferee is 
affiliated.
    (ii) Aggregate revenues of the transferor, transferee, and their 
carrier affiliates from interstate transportation sources for a 1-year 
period ending not earlier than 6 months before the date of the agreement 
of the parties concerning the transaction. If revenues exceed $2 
million, the transfer may be subject to 49 U.S.C. 14303 rather than 
these rules.



Sec.  365.407T  Notice.

    The FMCSA will give notice of approved transfer applications through 
publication in the FMCSA Register.



Sec.  365.409T  FMCSA action and criteria for approval.

    A transfer will be approved under this section if:
    (a) The transaction is not subject to 49 U.S.C. 14303; and
    (b) The transaction is consistent with the public interest; however,
    (c) If the transferor or transferee has an ``Unsatisfactory'' safety 
fitness rating from DOT, the transfer may be denied. If an application 
is denied, the FMCSA will set forth the basis for its action in a 
decision or letter notice. If parties with ``Unsatisfactory'' safety 
fitness ratings consummate a transaction pursuant to the 10-day rule at 
Sec.  365.405T prior to the notification of FMCSA action, they do so at 
their own risk and subject to any conditions we may impose subsequently. 
Transactions that have been consummated but later are denied by the 
FMCSA are null and void and must be rescinded. Similarly, if 
applications contain false or misleading information, they are void ab 
initio.



Sec.  365.411T  Responsive pleadings.

    (a) Protests must be filed within 20 days after the date of 
publication of an approved transfer application in the FMCSA Register. 
Protests received prior to the notice will be rejected. Applicants may 
respond within 20 days after the due date of protests. Petitions for 
reconsideration of decisions denying applications must be filed within 
20 days after the date of service of such decisions.

[[Page 57]]

    (b) Protests and petitions for reconsideration must be filed with 
the Federal Motor Carrier Safety Administration, Office of Registration 
and Safety Information (MC-RS), 1200 New Jersey Ave. SE., Washington, DC 
20590-0001, and be served on appropriate parties.



Sec.  365.413T  Procedures for changing the name or business form of a
motor carrier, freight forwarder, or property broker.

    (a) Scope. These procedures apply in the following circumstances:
    (1) A change in the form of a business, such as the incorporation of 
a partnership or sole proprietorship;
    (2) A change in the legal name of a corporation or partnership or 
change in the trade name or assumed name of any entity;
    (3) A transfer of operating rights from a deceased or incapacitated 
spouse to the other spouse;
    (4) A reincorporation and merger for the purpose of effecting a name 
change;
    (5) An amalgamation or consolidation of a carrier and a noncarrier 
into a new carrier having a different name from either of the 
predecessor entities; and
    (6) A change in the State of incorporation accomplished by 
dissolving the corporation in one State and reincorporating in another 
State.
    (b) Procedures. To accomplish these changes, a letter or signed copy 
of form MCSA-5889, ``Motor Carrier Records Change Form,'' OMB No. 2126-
0060, must be submitted to the Federal Motor Carrier Safety 
Administration. It must be submitted in one of the following three ways.
    (1) Scanned and submitted via the web form at https://
www.fmcsa.dot.gov/ask;
    (2) Faxed to (202-366-3477); or
    (3) Mailed to the Federal Motor Carrier Safety Administration, 
Office of Registration and Safety Information (MC-RS), 1200 New Jersey 
Ave. SE., Washington, DC 20590-0001. The envelope should be marked 
``NAME CHANGE''.
    (c) The registrant must provide:
    (1) The docket number(s) and name of the carrier, freight forwarder, 
or property broker requesting the change;
    (2) A copy of the articles of incorporation and the State 
certificate reflecting the incorporation;
    (3) The name(s) of the owner(s) of the stock and the distribution of 
the shares;
    (4) The names of the officers and directors of the corporation; and
    (5) A statement that there is no change in the ownership, 
management, or control of the business. When this procedure is being 
used to transfer operating rights from a deceased or incapacitated 
spouse to the other spouse, documentation that the other spouse has the 
legal right to effect such change must be included with the request. The 
fee for filing a name change request is in Sec.  360.3T(f) of this 
chapter.



      Subpart E_Special Rules for Certain Mexico-domiciled Carriers

    Source: 67 FR 12714, Mar. 19, 2002, unless otherwise noted.



Sec.  365.501  Scope of rules.

    (a) The rules in this subpart govern the application by a Mexico-
domiciled motor carrier to provide transportation of property or 
passengers in interstate commerce between Mexico and points in the 
United States beyond the municipalities and commercial zones along the 
United States-Mexico international border.
    (b) A Mexico-domiciled carrier may not provide point-to-point 
transportation services, including express delivery services, within the 
United States for goods other than international cargo.



Sec.  365.503  Application.

    (a) Each applicant applying under this subpart must submit an 
application that consists of:
    (1) Form OP-1 (MX)--Application to Register Mexican Carriers for 
Motor Carrier Authority To Operate Beyond U.S. Municipalities and 
Commercial Zones on the U.S.-Mexico Border;
    (2) Form MCS-150--Motor Carrier Identification Report; and
    (3) A notification of the means used to designate process agents, 
either by submission in the application package

[[Page 58]]

of Form BOC-3--Designation of Agents-Motor Carriers, Brokers and Freight 
Forwarders or a letter stating that the applicant will use a process 
agent service that will submit the Form BOC-3 electronically.
    (b) The Federal Motor Carrier Safety Administration (FMCSA) will 
only process your application if it meets the following conditions:
    (1) The application must be completed in English;
    (2) The information supplied must be accurate, complete, and include 
all required supporting documents and applicable certifications in 
accordance with the instructions to Form OP-1 (MX), Form MCS-150, and 
Form BOC-3;
    (3) The application must include the filing fee payable to the FMCSA 
in the amount set forth at 49 CFR 360.3(f)(1); and
    (4) The application must be signed by the applicant.
    (c) You must submit the application to the address provided in Form 
OP-1(MX).
    (d) You may obtain the application forms from any FMCSA Division 
Office or download them from the FMCSA Web site at: http://
www.fmcsa.dot.gov/mission/forms.

[67 FR 12714, Mar. 19, 2002, as amended at 80 FR 59071, Oct. 1, 2015]



Sec.  365.505  Re-registration and fee waiver for certain applicants.

    (a) If you filed an application using Form OP-1(MX) before May 3, 
2002, you are required to file a new Form OP-1(MX). You do not need to 
submit a new fee when you file a new application under this subpart.
    (b) If you hold a Certificate of Registration issued before April 
18, 2002, authorizing operations beyond the municipalities along the 
United States-Mexico border and beyond the commercial zones of such 
municipalities, you are required to file an OP-1(MX) if you want to 
continue those operations. You do not need to submit a fee when you file 
an application under this subpart.
    (1) You must file the application by November 4, 2003.
    (2) The FMCSA may suspend or revoke the Certificate of Registration 
of any applicable holder that fails to comply with the procedures set 
forth in this section.
    (3) Certificates of Registration issued before April 18, 2002, will 
remain valid until the FMCSA acts on the OP-1(MX) application.

[67 FR 12714, Mar. 19, 2002, as amended at 68 FR 56198, Sept. 30, 2003]



Sec.  365.507  FMCSA action on the application.

    (a) The FMCSA will review and act on each application submitted 
under this subpart in accordance with the procedures set out in this 
part.
    (b) The FMCSA will validate the accuracy of information and 
certifications provided in the application by checking data maintained 
in databases of the governments of Mexico and the United States.
    (c) Pre-authorization safety audit. Every Mexico-domiciled carrier 
that applies under this part must satisfactorily complete an FMCSA-
administered safety audit before FMCSA will grant provisional operating 
authority to operate in the United States. The safety audit is a review 
by the FMCSA of the carrier's written procedures and records to validate 
the accuracy of information and certifications provided in the 
application and determine whether the carrier has established or 
exercises the basic safety management controls necessary to ensure safe 
operations. The FMCSA will evaluate the results of the safety audit 
using the criteria in Appendix A to this subpart.
    (d) If a carrier successfully completes the pre-authorization safety 
audit and the FMCSA approves its application submitted under this 
subpart, FMCSA will publish a summary of the application as a 
preliminary grant of authority in the FMCSA Register to give notice to 
the public in case anyone wishes to oppose the application, as required 
in Sec.  365.109(b) of this part.
    (e) If the FMCSA grants provisional operating authority to the 
applicant, it will assign a distinctive USDOT Number that identifies the 
motor carrier as authorized to operate beyond the municipalities in the 
United States on the U.S.-Mexico international border and beyond the 
commercial zones of such municipalities. In order to operate in the 
United States, a Mexico-domiciled

[[Page 59]]

motor carrier with provisional operating authority must:
    (1) Have its surety or insurance provider file proof of financial 
responsibility in the form of certificates of insurance, surety bonds, 
and endorsements, as required by Sec.  387.301 of this subchapter;
    (2) Electronically file, or have its process agent(s) electronically 
file, Form BOC-3--Designation of Agents--Motor Carriers, Brokers and 
Freight Forwarders, as required by part 366 of this subchapter; and
    (3) Comply with all provisions of the safety monitoring system in 
subpart B of part 385 of this subchapter, including successfully passing 
CVSA Level I inspections at least every 90 days and having decals 
affixed to each commercial motor vehicle operated in the United States 
as required by Sec.  385.103(c) of this subchapter.
    (f) The FMCSA may grant permanent operating authority to a Mexico-
domiciled carrier no earlier than 18 months after the date that 
provisional operating authority is granted and only after successful 
completion to the satisfaction of the FMCSA of the safety monitoring 
system for Mexico-domiciled carriers set out in subpart B of part 385 of 
this subchapter. Successful completion includes obtaining a satisfactory 
safety rating as the result of a compliance review.

[67 FR 12714, Mar. 19, 2002, as amended at 80 FR 63705, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5302, Jan. 17, 2017, Sec.  365.507 was 
suspended, effective Jan. 14, 2017.



Sec.  365.507T  FMCSA action on the application.

    (a) The FMCSA will review and act on each application submitted 
under this subpart in accordance with the procedures set out in this 
part.
    (b) The FMCSA will validate the accuracy of information and 
certifications provided in the application by checking data maintained 
in databases of the governments of Mexico and the United States.
    (c) Pre-authorization safety audit. Every Mexico-domiciled carrier 
that applies under this part must satisfactorily complete an FMCSA-
administered safety audit before FMCSA will grant provisional operating 
authority to operate in the United States. The safety audit is a review 
by the FMCSA of the carrier's written procedures and records to validate 
the accuracy of information and certifications provided in the 
application and determine whether the carrier has established or 
exercises the basic safety management controls necessary to ensure safe 
operations. The FMCSA will evaluate the results of the safety audit 
using the criteria in appendix A to this subpart.
    (d) If a carrier successfully completes the pre-authorization safety 
audit and the FMCSA approves its application submitted under this 
subpart, FMCSA will publish a summary of the application as a 
preliminary grant of authority in the FMCSA Register to give notice to 
the public in case anyone wishes to oppose the application, as required 
in Sec.  365.109T(b).
    (e) If the FMCSA grants provisional operating authority to the 
applicant, it will assign a distinctive USDOT Number that identifies the 
motor carrier as authorized to operate beyond the municipalities in the 
United States on the U.S.-Mexico international border and beyond the 
commercial zones of such municipalities. In order to operate in the 
United States, a Mexico-domiciled motor carrier with provisional 
operating authority must:
    (1) Have its surety or insurance provider file proof of financial 
responsibility in the form of certificates of insurance, surety bonds, 
and endorsements, as required by Sec.  387.301T of this subchapter;
    (2) File a hard copy of, or have its process agent(s) electronically 
submit, Form BOC-3--Designation of Agents-Motor Carriers, Brokers and 
Freight Forwarders, as required by part 366 of this subchapter; and
    (3) Comply with all provisions of the safety monitoring system in 
subpart B of part 385 of this subchapter, including successfully passing 
CVSA Level I inspections at least every 90 days and having decals 
affixed to each commercial motor vehicle operated in the United States 
as required by Sec.  385.103(c) of this subchapter.
    (f) The FMCSA may grant permanent operating authority to a Mexico-
domiciled carrier no earlier than 18 months

[[Page 60]]

after the date that provisional operating authority is granted and only 
after successful completion to the satisfaction of the FMCSA of the 
safety monitoring system for Mexico-domiciled carriers set out in 
subpart B of part 385 of this subchapter. Successful completion includes 
obtaining a satisfactory safety rating as the result of a compliance 
review.

[82 FR 5302, Jan. 17, 2017]



Sec.  365.509  Requirement to notify FMCSA of change in applicant 
information.

    (a) A motor carrier subject to this subpart must notify FMCSA of any 
changes or corrections to the information in parts I, IA, or II of Form 
OP-1(MX), or in Form BOC-3--Designation of Agents--Motor Carriers, 
Brokers and Freight Forwarders, during the application process or after 
having been granted provisional operating authority. The carrier must 
notify FMCSA in writing within 30 days of the change or correction.
    (b) If a carrier fails to comply with paragraph (a) of this section, 
the FMCSA may suspend or revoke its operating authority until it meets 
those requirements.

[67 FR 12714, Mar. 19, 2002, as amended at 80 FR 63705, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5302, Jan. 17, 2017, Sec.  365.509 was 
suspended, effective Jan. 14, 2017.



Sec.  365.509T  Requirement to notify FMCSA of change in applicant
information.

    (a) A motor carrier subject to this subpart must notify the FMCSA of 
any changes or corrections to the information in parts I, IA or II 
submitted on the Form OP-1(MX) or the Form BOC-3--Designation of 
Agents--Motor Carriers, Brokers and Freight Forwarders during the 
application process or after having been granted provisional operating 
authority. The carrier must notify the FMCSA in writing within 45 days 
of the change or correction.
    (b) If a carrier fails to comply with paragraph (a) of this section, 
the FMCSA may suspend or revoke its operating authority until it meets 
those requirements

[82 FR 5302, Jan. 17, 2017]



Sec.  365.511  Requirement for CVSA inspection of vehicles during first
three consecutive years of permanent operating authority.

    A Mexico-domiciled motor carrier granted permanent operating 
authority must have its vehicles inspected by Commercial Vehicle Safety 
Alliance (CVSA)-certified inspectors every three months and display a 
current inspection decal attesting to the successful completion of such 
an inspection for at least three consecutive years after receiving 
permanent operating authority from the FMCSA.



      Sec. Appendix A to Subpart E of Part 365--Explanation of Pre-
  Authorization Safety Audit Evaluation Criteria for Mexico-Domiciled 
                             Motor Carriers

                               I. General

    (a) Section 350 of the Fiscal Year 2002 DOT Appropriations Act (Pub. 
L. 107-87) directed the FMCSA to perform a safety audit of each Mexico-
domiciled motor carrier before the FMCSA grants the carrier provisional 
operating authority to operate beyond United States municipalities and 
commercial zones on the United States-Mexico international border.
    (b) The FMCSA will decide whether it will conduct the safety audit 
at the Mexico-domiciled motor carrier's principal place of business in 
Mexico or at a location specified by the FMCSA in the United States, in 
accordance with the statutory requirements that 50 percent of all safety 
audits must be conducted onsite and on-site inspections cover at least 
50 percent of estimated truck traffic in any year. All records and 
documents must be made available for examination within 48 hours after a 
request is made. Saturdays, Sundays, and Federal holidays are excluded 
from the computation of the 48-hour period.
    (c) The safety audit will include:
    (1) Verification of available performance data and safety management 
programs;
    (2) Verification of a controlled substances and alcohol testing 
program consistent with part 40 of this title;
    (3) Verification of the carrier's system of compliance with hours-
of-service rules in part 395 of this subchapter, including recordkeeping 
and retention;
    (4) Verification of proof of financial responsibility;

[[Page 61]]

    (5) Review of available data concerning the carrier's safety 
history, and other information necessary to determine the carrier's 
preparedness to comply with the Federal Motor Carrier Safety 
Regulations, parts 382 through 399 of this subchapter, and the Federal 
Hazardous Material Regulations, parts 171 through 180 of this title;
    (6) Inspection of available commercial motor vehicles to be used 
under provisional operating authority, if any of these vehicles have not 
received a decal required by Sec.  385.103(c) of this subchapter;
    (7) Evaluation of the carrier's safety inspection, maintenance, and 
repair facilities or management systems, including verification of 
records of periodic vehicle inspections;
    (8) Verification of drivers' qualifications, including confirmation 
of the validity of the Licencia de Federal de Conductor of each driver 
the carrier intends to assign to operate under its provisional operating 
authority; and
    (9) An interview of carrier officials to review safety management 
controls and evaluate any written safety oversight policies and 
practices.
    (d) To successfully complete the safety audit, a Mexico-domiciled 
motor carrier must demonstrate to the FMCSA that it has the required 
elements in paragraphs (c)(2), (3), (4), (7), and (8) above and other 
basic safety management controls in place which function adequately to 
ensure minimum acceptable compliance with the applicable safety 
requirements. The FMCSA developed a ``safety audit evaluation 
criteria,'' which uses data from the safety audit and roadside 
inspections to determine that each applicant for provisional operating 
authority has basic safety management controls in place.
    (e) The safety audit evaluation process developed by the FMCSA is 
used to:
    (1) Evaluate basic safety management controls and determine if each 
Mexico-domiciled carrier and each driver is able to operate safely in 
the United States beyond municipalities and commercial zones on the 
United States-Mexico international border; and
    (2) Identify motor carriers and drivers who are having safety 
problems and need improvement in their compliance with the FMCSRs and 
the HMRs, before FMCSA grants the carriers provisional operating 
authority to operate beyond United States municipalities and commercial 
zones on the United States-Mexico international border.

     II. Source of the Data for the Safety Audit Evaluation Criteria

    (a) The FMCSA's evaluation criteria are built upon the operational 
tool known as the safety audit. The FMCSA developed this tool to assist 
auditors and investigators in assessing the adequacy of a Mexico-
domiciled carrier's basic safety management controls.
    (b) The safety audit is a review of a Mexico-domiciled motor 
carrier's operation and is used to:
    (1) Determine if a carrier has the basic safety management controls 
required by 49 U.S.C. 31144;
    (2) Meet the requirements of section 350 of the DOT Appropriations 
Act; and
    (3) In the event that a carrier is found not to be in compliance 
with applicable FMCSRs and HMRs, the safety audit can be used to educate 
the carrier on how to comply with U.S. safety rules.
    (c) Documents such as those contained in driver qualification files, 
records of duty status, vehicle maintenance records, and other records 
are reviewed for compliance with the FMCSRs and HMRs. Violations are 
cited on the safety audit. Performance-based information, when 
available, is utilized to evaluate the carrier's compliance with the 
vehicle regulations. Recordable accident information is also collected.

  III. Overall Determination of the Carrier's Basic Safety Management 
                                Controls

    (a) The carrier will not be granted provisional operating authority 
if the FMCSA fails to:
    (1) Verify a controlled substances and alcohol testing program 
consistent with part 40 of this title;
    (2) Verify a system of compliance with hours-of-service rules of 
this subchapter, including recordkeeping and retention;
    (3) Verify proof of financial responsibility;
    (4) Verify records of periodic vehicle inspections; and
    (5) Verify drivers' qualifications of each driver the carrier 
intends to assign to operate under such authority, as required by parts 
383 and 391 of this subchapter, including confirming the validity of 
each driver's Licencia de Federal de Conductor.
    (b) If the FMCSA confirms each item under III (a)(1) through (5) 
above, the carrier will be granted provisional operating authority, 
except if FMCSA finds the carrier has inadequate basic safety management 
controls in at least three separate factors described in part IV below. 
If FMCSA makes such a determination, the carrier's application for 
provisional operating authority will be denied.

                 IV. Evaluation of Regulatory Compliance

    (a) During the safety audit, the FMCSA gathers information by 
reviewing a motor carrier's compliance with ``acute'' and ``critical'' 
regulations of the FMCSRs and HMRs.
    (b) Acute regulations are those where noncompliance is so severe as 
to require immediate corrective actions by a motor carrier regardless of 
the overall basic safety management controls of the motor carrier.

[[Page 62]]

    (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 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

[[Page 63]]

another kind of mishap, the accident was preventable.''
    (k) Factor Ratings. (1) The following table shows the five 
regulatory factors, parts of the FMCSRs and HMRs associated with each 
factor, and the accident factor. Each carrier's level of basic safety 
management controls with each factor is determined as follows:
    (i) Factor 1--General: Parts 390 and 387;
    (ii) Factor 2--Driver: Parts 382, 383, and 391;
    (iii) Factor 3--Operational: Parts 392 and 395;
    (iv) Factor 4--Vehicle: Parts 393, 396 and the Out of Service Rate;
    (v) Factor 5--Hazardous Materials: Part 171, 177, 180 and 397; and
    (vi) Factor 6--Accident: Recordable Accident Rate per Million Miles;
    (2) For paragraphs IV (k)(1)(i) through (v) (Factors 1 through 5), 
if the combined violations of acute and or critical regulations for each 
factor is equal to three or more points, the carrier is determined not 
to have basic safety management controls for that individual factor.
    (3) For paragraphs IV (k)(1)(vi), if the recordable accident rate is 
greater than 1.7 recordable accidents per million miles for an urban 
carrier (1.5 for all other carriers), the carrier is determined to have 
inadequate basic safety management controls.
    (l) Notwithstanding FMCSA verification of the items listed in part 
III (a)(1) through (5) above, if the safety audit determines the carrier 
has inadequate basic safety management controls in at least three 
separate factors described in part IV, the carrier's application for 
provisional operating authority will be denied. For example, FMCSA 
evaluates a carrier finding:
    (1) One instance of noncompliance with a critical regulation in part 
387 scoring one point for Factor 1;
    (2) Two instances of noncompliance with acute regulations in part 
382 scoring three points for Factor 2;
    (3) Three instances of noncompliance with critical regulations in 
part 396 scoring three points for Factor 4; and
    (4) Three instances of noncompliance with acute regulations in parts 
171 and 397 scoring four and one-half (4.5) points for Factor 5.
    Under this example, the carrier will not receive provisional 
operating authority because it scored three or more points for Factors 
2, 4, and 5 and FMCSA determined the carrier had inadequate basic safety 
management controls in at least three separate factors.

[67 FR 12714, Mar. 19, 2002, as amended at 78 FR 58478, Sept. 24, 2013]



PART 366_DESIGNATION OF PROCESS AGENT--Table of Contents



Sec.
366.1 Applicability.
366.1T Applicability.
366.2 Form of designation.
366.2T Form of designation.
366.3 Eligible persons.
366.3T Eligible persons.
366.4 Required States.
366.4T Required States.
366.5 Blanket designations.
366.5T Blanket designations.
366.6 Cancellation or change.
366.6T Cancellation or change.

    Authority: 49 U.S.C. 502, 503, 13303, 13304 and 13908; and 49 CFR 
1.87.

    Source: 55 FR 11197, Mar. 27, 1990, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.

    Editorial Note: Nomenclature changes to part 366 appear at 66 FR 
49870, Oct. 1, 2001.



Sec.  366.1  Applicability.

    The rules in this part, relating to the filing of designations of 
persons upon whom court or Agency process may be served, apply to for-
hire and private motor carriers, brokers, freight forwarders and, as of 
the moment of succession, their fiduciaries (as defined at 49 CFR 
387.319(a)).

[80 FR 63705, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec.  366.1 was 
suspended, effective Jan. 14, 2017.



Sec.  366.1T  Applicability.

    These rules, relating to the filing of designations of persons upon 
whom court process may be served, govern motor carriers and brokers and, 
as of the moment of succession, their fiduciaries (as defined at 49 CFR 
387.319(a)).

[82 FR 5303, Jan. 17, 2017]



Sec.  366.2  Form of designation.

    (a) Designations shall be made on Form BOC-3--Designation of 
Agents--Motor Carriers, Brokers and Freight Forwarders. Only one 
completed current form may be on file. It must include all States for 
which agent designations are required. One copy must be retained by the 
carrier, broker or freight forwarder at its principal place of business.

[[Page 64]]

    (b) All Motor Carriers, Brokers, and Freight Forwarders that are 
registered with FMCSA on September 30, 2016 must file their Form BOC-3 
designation by no later than April 14, 2017. All other Motor Carriers, 
Brokers, and Freight Forwarders must file the FORM BOC-3 designation at 
the time of their application for registration. Failure to file a 
designation in accordance with this paragraph will result in 
deactivation of the carrier's USDOT Number.

[80 FR 63705, Oct. 21, 2015; 81 FR 49554, July 28, 2016]

    Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec.  366.2 was 
suspended, effective Jan. 14, 2017.



Sec.  366.2T  Form of designation.

    Designations shall be made on Form BOC-3, Designation of Agent for 
Service of Process. Only one completed current form may be on file. It 
must include all States for which agent designations are required. One 
copy must be retained by the carrier or broker at its principal place of 
business.

[82 FR 5303, Jan. 17, 2017]



Sec.  366.3  Eligible persons.

    All persons (as defined at 49 U.S.C. 13102(18)) designated as 
process agents must reside in or maintain an office in the State for 
which they are designated. If a State official is designated, evidence 
of his or her willingness to accept service of process must be 
furnished.

[80 FR 63705, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec.  366.3 was 
suspended, effective Jan. 14, 2017.



Sec.  366.3T  Eligible persons.

    All persons (as defined at 49 U.S.C. 13102(18)) designated as 
process agents must reside in or maintain an office in the State for 
which they are designated. If a State official is designated, evidence 
of his or her willingness to accept service of process must be 
furnished.

[82 FR 5303, Jan. 17, 2017]



Sec.  366.4  Required States.

    (a) Every motor carrier, except a motor carrier operating 
exclusively in Alaska or Hawaii, must designate process agents for all 
48 contiguous States and the District of Columbia, unless its operating 
authority registration is limited to fewer than 48 States and DC. When a 
motor carrier's operating authority registration is limited to fewer 
than 48 States and DC, it must designate process agents for each State 
in which it is authorized to operate and for each State traversed during 
such operations. Every motor carrier operating in the United States in 
the course of transportation between points in a foreign country shall 
file a designation for each State traversed. Every motor carrier 
maintaining a principal place of business and operating exclusively in 
Alaska or Hawaii must designate a process agent for the State where 
operations are conducted.
    (b) Brokers. Every broker shall make a designation for each State, 
including DC, in which its offices are located or in which contracts 
will be written.
    (c) Freight forwarders. Every freight forwarder shall make a 
designation for each State, including DC, in which its offices are 
located or in which contracts will be written.

[80 FR 63706, Oct. 21, 2015; 81 FR 49554, July 28, 2016]

    Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec.  366.4 was 
suspended, effective Jan. 14, 2017.



Sec.  366.4T  Required States.

    (a) Motor carriers. Every motor carrier (of property or passengers) 
shall make a designation for each State in which it is authorized to 
operate and for each State traversed during such operations. Every motor 
carrier (including private carriers) operating in the United States in 
the course of transportation between points in a foreign country shall 
file a designation for each State traversed.
    (b) Brokers. Every broker shall make a designation for each State in 
which its offices are located or in which contracts will be written.

[82 FR 5303, Jan. 17, 2017]

[[Page 65]]



Sec.  366.5  Blanket designations.

    Where an association or corporation has filed with the FMCSA a list 
of process agents for each State and DC (blanket agent), motor carriers, 
brokers and freight forwarders may make the required designations by 
using the following statement:
    I designate those persons named in the list of process agents on 
file with the Federal Motor Carrier Safety Administration

by______________________________________________________________________


(name of association or corporation)

and any subsequently filed revisions thereof, for the States in which 
this carrier is or may be authorized to operate (or arrange) as an 
entity of motor vehicle transportation, including States traversed 
during such operations, except those States for which individual 
designations are named.

[80 FR 63706, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec.  366.5 was 
suspended, effective Jan. 14, 2017.



Sec.  366.5T  Blanket designations.

    Where an association or corporation has filed with the FMCSA a list 
of process agents for each State, motor carriers may make the required 
designations by using the following statement:
    Those persons named in the list of process agents on file with the 
Federal Motor Carrier Safety Administration by ____ (Name of association 
or corporation) and any subsequently filed revisions thereof, for the 
States in which this carrier is or may be authorized to operate, 
including States traversed during such operations, except those States 
for which individual designations are named.

[82 FR 5303, Jan. 17, 2017]



Sec.  366.6  Cancellation or change.

    (a) A designation may be canceled or changed only by a new 
designation made by the motor carrier, broker, or freight forwarder, or 
by the process agent or company filing a blanket designation in 
accordance with Sec.  366.5. However, where a motor carrier, broker or 
freight forwarder's USDOT Number is inactive for at least 1 year, 
designation is no longer required and may be canceled without making 
another designation.
    (b) A change to a designation, such as name, address, or contact 
information, must be reported to FMCSA within 30 days of the change.
    (c) Whenever a motor carrier, broker or freight forwarder changes it 
name, address, or contact information, it must report the change to its 
process agents and/or the company making a blanket designation on its 
behalf in accordance with Sec.  366.5 within 30 days of the change.
    (d) Whenever a process agent and/or company making a blanket 
designation on behalf of a motor carrier, broker, or freight forwarder 
terminates its contract or relationship with the entity, it should 
report the termination to FMCSA within 30 days of the termination. If 
process agents and/or blanket agents do not keep their information up to 
date, FMCSA may withdraw its approval of their authority to make process 
agent designations with the Agency.

[80 FR 63706, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec.  366.6 was 
suspended, effective Jan. 14, 2017.



Sec.  366.6T  Cancellation or change.

    A designation may be canceled or changed only by a new designation 
except that, where a carrier or broker ceases to be subject to Sec.  
366.4T in whole or in part for 1 year, designation is no longer required 
and may be canceled without making another designation.

[82 FR 5303, Jan. 17, 2017]



PART 367_STANDARDS FOR REGISTRATION WITH STATES--Table of Contents



Subpart A [Reserved]

Subpart B_Fees Under the Unified Carrier Registration Plan and Agreement

Sec.
367.20 Fees under the Unified Carrier Registration Plan and Agreement 
          for each registration year until any subsequent adjustment in 
          the fees becomes effective.
367.30 Fees under the Unified Carrier Registration Plan and Agreement 
          for registration years beginning in 2010.


[[Page 66]]


    Authority: 49 U.S.C. 13301, 14504a; and 49 CFR 1.87.

    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.

Subpart A [Reserved]



Subpart B_Fees Under the Unified Carrier Registration Plan and Agreement



Sec.  367.20  Fees under the Unified Carrier Registration Plan and
Agreement for each registration year until any subsequent adjustment in
the fees becomes effective.

            Fees Under the Unified Carrier Registration Plan and Agreement for Each Registration Year
----------------------------------------------------------------------------------------------------------------
                                                                             Fee per company
                                               Number of commercial motor   for exempt or non-
                                             vehicles owned or operated by     exempt motor     Fee per company
                  Bracket                      exempt or non-exempt motor     carrier, motor     for broker or
                                                 carrier, motor private      private carrier,   leasing company
                                             carrier, or freight forwarder      or freight
                                                                                forwarder
----------------------------------------------------------------------------------------------------------------
B1.........................................  0-2..........................                $39                $39
B2.........................................  3-5..........................                116
B3.........................................  6-20.........................                231
B4.........................................  21-100.......................                806
B5.........................................  101-1,000....................              3,840
B6.........................................  1,001 and above..............             37,500  .................
----------------------------------------------------------------------------------------------------------------


[72 FR 48590, Aug. 24, 2007, as amended at 73 FR 10158, Feb. 26, 2008]



Sec.  367.30  Fees under the Unified Carrier Registration Plan and Agreement for registration years beginning in 2010.

            Fees Under the Unified Carrier Registration Plan and Agreement for Each Registration Year
----------------------------------------------------------------------------------------------------------------
                                                                               Fee per entity
                                                Number of commercial motor      for exempt or
                                               vehicles owned or operated by  non-exempt motor   Fee per entity
                   Bracket                      exempt or non-exempt motor     carrier, motor     for broker or
                                                  carrier, motor private      private carrier,   leasing company
                                               carrier, or freight forwarder     or freight
                                                                                  forwarder
----------------------------------------------------------------------------------------------------------------
B1..........................................  0-2...........................               $76               $76
B2..........................................  3-5...........................               227
B3..........................................  6-20..........................               452
B4..........................................  21-100........................             1,576
B5..........................................  101-1,000.....................             7,511
B6..........................................  1,001 and above...............            73,346  ................
----------------------------------------------------------------------------------------------------------------


[75 FR 22012, Apr. 27, 2010]



  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.

[[Page 67]]

368.3 Applying for a certificate of registration.
368.3-1T Starting the application process: URS online application.
368.3T Applying for a certificate of registration.
368.4 Requirement to notify FMCSA of change in applicant information.
368.4T Requirement to notify FMCSA of change in applicant information.
368.5 Re-registration of certain carriers holding certificates of 
          registration.
368.6 FMCSA action on an application.
368.7 Requirement to carry certificate of registration in the vehicle.
368.8 Appeals.
368.8T Appeals.

    Authority: 49 U.S.C. 13301, 13902 and 13908; Pub. L. 106-159, 113 
Stat. 1748; and 49 CFR 1.87.

    Source: 67 FR 12660, Mar. 19, 2002, unless otherwise noted.



Sec.  368.1  Certificate of registration.

    (a) A Mexico-domiciled motor carrier must apply to the FMCSA and 
receive a Certificate of Registration to provide interstate 
transportation in municipalities in the United States on the United 
States-Mexico international border or within the commercial zones of 
such municipalities as defined in 49 U.S.C. 13902(c)(4)(A).
    (b) A certificate of registration permits only interstate 
transportation of property in municipalities in the United States on the 
United States-Mexico international border or within the commercial zones 
of such municipalities. A holder of a Certificate of Registration who 
operates a vehicle beyond this area is subject to applicable penalties 
and out-of-service orders.



Sec.  368.2  Definitions.

    Interstate transportation means transportation described at 49 
U.S.C. 13501, and transportation in the United States otherwise exempt 
from the Secretary's jurisdiction under 49 U.S.C. 13506(b)(1).
    Mexico-domiciled motor carrier means a motor carrier of property 
whose principal place of business is located in Mexico.



Sec.  368.3  Applying for a certificate of registration.

    (a) If you wish to obtain a certificate of registration under this 
part, you must electronically file an application that includes the 
following:
    (1) Form MCSA-1--URS online application.
    (2) Form BOC-3--Designation of Agents--Motor Carriers, Brokers and 
Freight Forwarders or indicate on the application that the applicant 
will use a process agent service that will submit the Form BOC-3 
electronically.
    (b) The FMCSA will only process your application for a Certificate 
of Registration if it meets the following conditions:
    (1) The application must be completed in English;
    (2) The information supplied must be accurate and complete in 
accordance with the instructions to Form MCSA-1, the URS online 
application, and Form BOC-3.
    (3) The application must include all the required supporting 
documents and applicable certifications set forth in the instructions to 
Form MCSA-1, the URS online application, and Form BOC-3.
    (c) If you fail to furnish the complete application as described 
under paragraph (b) of this section your application may be rejected.
    (d) If you submit false information under this section, you will be 
subject to applicable Federal penalties.
    (e) [Reserved]
    (f) Form MCSA-1 is the URS online application and is available, 
including complete instructions, from the FMCSA Web site at http://
www.fmcsa.dot.gov/urs.

[67 FR 12660, Mar. 19, 2002, as amended by 78 FR 52648, Aug. 23, 2013; 
80 FR 63706, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5297, Jan. 17, 2017, Sec.  368.3 was 
suspended, effective Jan. 14, 2017.



Sec.  368.3-1T  Starting the application process: URS online application.

    (a) Notwithstanding any other provision of this part, new applicants 
as defined in paragraph (b) of this section must apply for a USDOT 
number and operating authority by electronically filing Form MCSA-1, the 
URS online application (available at http://www.fmcsa.dot.gov/urs) to 
request authority pursuant to 49 U.S.C. 13902 to provide interstate 
transportation in

[[Page 68]]

municipalities in the United States on the United States-Mexico 
international border or within the commercial zones of such 
municipalities as defined in 49 U.S.C. 13902(c)(4)(A).
    (b) For purposes of this section, a ``new applicant'' is an citizen 
of Mexico or a motor carrier owned or controlled by a citizen of Mexico, 
applying for a USDOT number and operating authority who does not at the 
time of application have an active registration or USDOT, Motor Carrier 
(MC), Mexico owned or controlled (MX) or Freight Forwarder (FF) number, 
and who has never had an active registration or USDOT, MC, MX, or FF 
number.
    (c) Form MCSA-1, is the URS online application, and both the 
application and its instructions are available from the FMCSA Web site 
at http://www.fmcsa.dot.gov/urs.

[82 FR 5303, Jan. 17, 2017]



Sec.  368.3T  Applying for a certificate of registration.

    (a) If you wish to obtain a certificate of registration under this 
part, you must submit an application that includes the following:
    (1) Form OP-2--Application for Mexican Certificate of Registration 
for Foreign Motor Carriers and Foreign Motor Private Carriers Under 49 
U.S.C. 13902;
    (2) Form MCS-150--Motor Carrier Identification Report; and
    (3) A notification of the means used to designate process agents, 
either by submission in the application package of Form BOC-3--
Designation of Agents--Motor Carriers, Brokers and Freight Forwarders or 
a letter stating that the applicant will use a process agent service 
that will submit the Form BOC-3 electronically.
    (b) The FMCSA will only process your application for a Certificate 
of Registration if it meets the following conditions:
    (1) The application must be completed in English;
    (2) The information supplied must be accurate and complete in 
accordance with the instructions to the Form OP-2, Form MCS-150 and Form 
BOC-3;
    (3) The application must include all the required supporting 
documents and applicable certifications set forth in the instructions to 
the Form OP-2, Form MCS-150 and Form BOC-3;
    (4) The application must include the filing fee payable to the FMCSA 
in the amount set forth in 49 CFR 360.3T(f)(1); and
    (5) The application must be signed by the applicant.
    (c) If you fail to furnish the complete application as described 
under paragraph (b) of this section your application may be rejected.
    (d) If you submit false information under this section, you will be 
subject to applicable Federal penalties.
    (e) You must submit the application to the address provided in the 
instructions to the Form OP-2.
    (f) You may obtain the application described in paragraph (a) of 
this section from any FMCSA Division Office or download it from the 
FMCSA Web site at: http://www.fmcsa.dot.gov/factsfigs/formspubs.htm.

[82 FR 5303, Jan. 17, 2017]



Sec.  368.4  Requirement to notify FMCSA of change in applicant
information.

    (a) You must notify FMCSA of any changes or corrections to the 
information in Section A of Form MCSA-1--FMCSA Registration/Update 
(USDOT Number--Operating Authority Application), or the Form BOC-3, 
Designation of Agents-Motor Carriers, Brokers and Freight Forwarders, 
during the application process or while you have a Certificate of 
Registration. You must notify FMCSA in writing within 30 days of the 
change or correction.
    (b) If you fail to comply with paragraph (a) of this section, the 
FMCSA may suspend or revoke the Certificate of Registration until you 
meet those requirements.

[67 FR 12660, Mar. 19, 2002, as amended by 80 FR 63707, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5303, Jan. 17, 2017, Sec.  368.4 was 
suspended, effective Jan. 14, 2017.



Sec.  368.4T  Requirement to notify FMCSA of change in applicant
information.

    (a) You must notify the FMCSA of any changes or corrections to the 
information in Parts I, IA or II submitted on the Form OP-2 or the Form 
BOC-3--Designation of Agents--Motor

[[Page 69]]

Carriers, Brokers and Freight Forwarders during the application process 
or while you have a Certificate of Registration. You must notify the 
FMCSA in writing within 45 days of the change or correction.
    (b) If you fail to comply with paragraph (a) of this section, the 
FMCSA may suspend or revoke the Certificate of Registration until you 
meet those requirements.

[82 FR 5303, Jan. 17, 2017]



Sec.  368.5  Re-registration of certain carriers holding certificates
of registration.

    (a) Each holder of a certificate of registration that permits 
operations only in municipalities in the United States along the United 
States-Mexico international border or in commercial zones of such 
municipalities issued before April 18, 2002, who wishes to continue 
solely in those operations must submit an application according to 
procedures established under Sec.  368.3 of this part, except the filing 
fee in paragraph (b)(4) of that section is waived. You must file your 
application by October 20, 2003.
    (b) The FMCSA may suspend or revoke the certificate of registration 
of any registrant that fails to comply with the procedures set forth in 
this section.
    (c) Certificates of registration issued before April 18, 2002, 
remain valid until the FMCSA acts on the OP-2 application filed 
according to paragraph (a) of this section.



Sec.  368.6  FMCSA action on the application.

    (a) The Federal Motor Carrier Safety Administration will review the 
application for correctness, completeness, and adequacy of information. 
Non-material errors will be corrected without notice to the applicant. 
Incomplete applications may be rejected.
    (b) If the applicant does not require or is not eligible for a 
Certificate of Registration, the FMCSA will deny the application and 
notify the applicant.
    (c) The FMCSA will validate the accuracy of information and 
certifications provided in the application against data maintained in 
databases of the governments of Mexico and the United States.
    (d) If the FMCSA determines that the application and certifications 
demonstrate that the application is consistent with the FMCSA's safety 
fitness policy, it will issue a provisional Certificate of Registration, 
including a distinctive USDOT Number that identifies the motor carrier 
as permitted to provide interstate transportation of property solely in 
municipalities in the United States on the U.S.-Mexico international 
border or within the commercial zones of such municipalities.
    (e) The FMCSA may issue a permanent Certificate of Registration to 
the holder of a provisional Certificate of Registration no earlier than 
18 months after the date of issuance of the Certificate and only after 
completion to the satisfaction of the FMCSA of the safety monitoring 
system for Mexico-domiciled carriers set out in subpart B of part 385 of 
this subchapter.
    (f) Notice of the authority sought will not be published in either 
the Federal Register or the FMCSA Register. Protests or comments will 
not be allowed. There will be no oral hearings.



Sec.  368.7  Requirement to carry certificate of registration in the
vehicle.

    A holder of a Certificate of Registration must maintain a copy of 
the Certificate of Registration in any vehicle providing transportation 
service within the scope of the Certificate, and make it available upon 
request to any State or Federal authorized inspector or enforcement 
officer.



Sec.  368.8  Appeals.

    An applicant has the right to appeal denial of the application. The 
appeal must be in writing and specify in detail why the Agency's 
decision to deny the application was wrong. The appeal must be filed 
with the FMCSA, Office of Registration and Safety Information within 20 
days of the date of the letter denying the application.

[80 FR 63707, Oct. 21, 2015]

    Effective Date Note: At 82 FR 5304, Jan. 17, 2017, Sec.  368.8 was 
suspended, effective Jan. 14, 2017.

[[Page 70]]



Sec.  368.8T  Appeals.

    An applicant has the right to appeal denial of the application. The 
appeal must be in writing and specify in detail why the agency's 
decision to deny the application was wrong. The appeal must be filed 
with 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.

[82 FR 5304, Jan. 17, 2017]



PART 369_REPORTS OF MOTOR CARRIERS--Table of Contents



Sec.
369.1 Annual reports of for-hire, non-exempt motor carriers of property, 
          motor carriers of household goods, and dual property carriers.
369.2 Classification of carriers--for-hire, non-exempt motor carriers of 
          property, household goods carriers, and dual property 
          carriers.
369.3 Classification of carriers--for-hire, non-exempt motor carriers of 
          passengers.
369.4 Annual and quarterly reports of Class I carriers of passengers.
369.5 Records.
369.6 Address.
369.8 Requests for exemptions from filing.
369.9 Requests for exemptions from public release.
369.10 Public release of motor carrier of property data.

    Authority: 49 U.S.C. 14123; 49 CFR 1.87.



Sec.  369.1  Annual reports of for-hire, non-exempt motor carriers of
property, motor carriers of household goods, and dual property carriers.

    (a) Annual Report Form M. All class I and class II for-hire, non-
exempt motor carriers of property, including household goods and dual 
property motor carriers, must file Motor Carrier Annual Report Form M 
(Form M). Carriers must file the annual report on or before March 31 of 
the year following the year to which it relates. For classification 
criteria, see Sec.  369.2.
    (b) Where to file report. Carriers must file the annual report with 
the Federal Motor Carrier Safety Administration at the address in Sec.  
369.6. You can obtain blank copies of the report form from the Federal 
Motor Carrier Safety Administration Web site http://www.fmcsa.dot.gov/
forms/reporting/mcs_info.htmfos.

[64 FR 13921, Mar. 23, 1999. Redesignated at 71 FR 45742, Aug. 10, 2006, 
and amended at 71 FR 45743, Aug. 10, 2006; 78 FR 76245, Dec. 17, 2013; 
81 FR 68344, Oct. 4, 2016]



Sec.  369.2  Classification of carriers--for-hire, non-exempt motor
carriers of property, household goods carriers, and dual property
carriers.

    (a) For-hire, non-exempt motor carriers of property are grouped into 
the following three classes:
    Class I. Carriers having annual carrier operating revenues 
(including interstate and intrastate) of $10 million or more after 
applying the revenue deflator formula in Note A.
    Class II. Carriers having annual carrier operating revenues 
(including interstate and intrastate) of at least $3 million but less 
than $10 million after applying the revenue deflator formula in Note A.
    Class III. Carriers having annual carrier operating revenues 
(including interstate and intrastate) of less than $3 million after 
applying the revenue deflator formula in Note A.
    (b)(1) The class to which any carrier belongs shall be determined by 
annual carrier operating revenues (excluding revenues from private 
carriage, compensated intercorporate hauling, and leasing vehicles with 
drivers to private carriers) after applying the revenue deflator formula 
in Note A. Upward and downward classification will be effective as of 
January 1 of the year immediately following the third consecutive year 
of revenue qualification.
    (2) Any carrier which begins new operations by obtaining operating 
authority not previously held or extends its existing authority by 
obtaining additional operating rights shall be classified in accordance 
with a reasonable estimate of its annual carrier operating revenues 
after applying the revenue deflator formula shown in Note A.
    (3) When a business combination occurs such as a merger, 
reorganization, or consolidation, the surviving carrier shall be 
reclassified effective as of January 1 of the next calendar year on the 
basis of the combined revenues for the year when the combination 
occurred

[[Page 71]]

after applying the revenue deflator formula shown in Note A.
    (4) Carriers must notify the Federal Motor Carrier Safety 
Administration (FMCSA) of any change in classification or any change in 
annual operating revenues that would cause a change in classification. 
The carrier may request a waiver or an exception from these regulations 
in unusual or extenuating circumstances, where the classification 
process will unduly burden the carrier, such as partial liquidation or 
curtailment or elimination of contracted services. The request must be 
in writing, specifying the conditions justifying the waiver or 
exception. FMCSA will notify the carriers of any change in 
classification.
    (5) Carriers not required to file an Annual Report Form M may be 
required to file the Worksheet for Calculating Carrier Classification. 
All carriers will be notified of any classification changes.

    Note to Sec.  369.2: Each carrier's operating revenues will be 
deflated annually using the Producer Price Index (PPI) of Finished Goods 
before comparing those revenues with the dollar revenue limits 
prescribed in paragraph (a) of this section. The PPI is published 
monthly by the Bureau of Labor Statistics. The formula to be applied is 
as follows:
[GRAPHIC] [TIFF OMITTED] TC03MR91.051


[52 FR 10383, Apr. 1, 1987, as amended at 59 FR 5111, Feb. 3, 1994; 59 
FR 49848, Sept. 30, 1994. Redesignated at 63 FR 52193, Sept. 30, 1998, 
and amended at 64 FR 13921, 13922, Mar. 23, 1999; 68 FR 4719, Jan. 30, 
2003. Redesignated at 71 FR 45742, Aug. 10, 2006, and amended at 71 FR 
45743, Aug. 10, 2006; 78 FR 58478, Sept. 24, 2013; 81 FR 68345, Oct. 4, 
2016]



Sec.  369.3  Classification of carriers--for-hire, non-exempt motor
carriers of passengers.

    (a) For-hire, non-exempt motor carriers of passengers are grouped 
into the following two classes:
    Class I--Carriers having average annual gross transportation 
operating revenues (including interstate and intrastate) of $5 million 
or more from passenger motor carrier operations after applying the 
revenue deflator formula as shown in the Note.
    Class II--Carriers having average annual gross transportation 
operating revenues (including interstate or intrastate) of less than $5 
million from passenger motor carrier operations after applying the 
revenue deflator formula as shown in the Note.
    (b)(1) The class to which any carrier belongs shall be determined by 
annual carrier operating revenues after applying the revenue deflator 
formula as shown in the Note. Upward and downward reclassification will 
be effective as of January 1 of the year immediately following the third 
consecutive year of revenue qualification.
    (2) Any carrier which begins new operations (obtains operating 
authority not previously held) or extends its existing authority 
(obtains additional operating rights) shall be classified in accordance 
with a reasonable estimate of its annual carrier operating revenues 
after applying the revenue deflator formula shown in the Note.
    (3) When a business combination occurs, such as a merger, 
reorganization, or consolidation, the surviving carrier shall be 
reclassified effective as of January 1 of the next calendar year on the 
basis of the combined revenues for the year when the combination 
occurred after applying the revenue deflator formula shown in the Note.
    (4) Carriers shall notify the FMCSA of any change in classification 
or when their annual operating revenues exceed the Class II limit by 
writing to the Federal Motor Carrier Safety Administration at the 
address in Sec.  369.6. In unusual circumstances where the 
classification regulations and reporting requirements will unduly burden 
the carrier, the carrier may request from the FMCSA a waiver from these 
regulations. This request shall be in writing

[[Page 72]]

specifying the conditions justifying the waiver. The FMCSA then shall 
notify carriers of any change in classification or reporting 
requirements.
    (c) For classification purposes, the FMCSA shall publish in the 
Federal Register annually an index number which shall be used for 
adjusting gross annual operating revenues. The index number (deflator) 
is based on the Producer Price Index of Finished Goods and is used to 
eliminate the effects of inflation from the classification process.

    Note to Sec.  369.3: Each carrier's operating revenues will be 
deflated annually using the Producer Price Index (PPI) of Finished Goods 
before comparing them with the dollar revenue limits prescribed in 
paragraph (a) of this section. The PPI is published monthly by the 
Bureau of Labor Statistics. The formula to be applied is as follows:
[GRAPHIC] [TIFF OMITTED] TC03MR91.052


[53 FR 4029, Feb. 11, 1988. Redesignated at 63 FR 52193, Sept. 30, 1998, 
and amended at 68 FR 4719, Jan. 30, 2003. Redesignated at 71 FR 45742, 
Aug. 10, 2006, and amended at 71 FR 45743, Aug. 10, 2006; 78 FR 58478, 
Sept. 24, 2013; 81 FR 68345, Oct. 4, 2016]



Sec.  369.4  Annual reports of Class I carriers of passengers.

    (a) All Class I motor carriers of passengers shall complete and file 
Motor Carrier Annual Report Form MP-1 for Motor Carriers of Passengers 
(Form MP-1).
    (b) Accounting period. (1) Motor Carrier Annual Report Form MP-1 
shall be used to file annual selected motor carrier data.
    (2) The annual accounting period shall be based either:
    (i) On the 31st day of December in each year, or
    (ii) An accounting year of 13 4-week periods ending at the close of 
the last 7 days of each calendar year.
    (3) A carrier electing to adopt an accounting year of 13 4-week 
periods shall file with the FMCSA a statement showing the day on which 
its accounting year will close. A subsequent change in the accounting 
period may not be made except by authority of the FMCSA.
    (c) The annual report shall be filed on or before March 31 of the 
year following the year to which it relates. The annual report shall be 
filed with the Federal Motor Carrier Safety Administration at the 
address in Sec.  369.6. Copies of Form MP-1 may be obtained from the 
FMCSA.

[78 FR 76245, Dec. 17, 2013]



Sec.  369.5  Records.

    Books, records and carrier operating documents shall be retained as 
prescribed in 49 CFR part 379, Preservation of Records.

[52 FR 10383, Apr. 1, 1987. Redesignated at 63 FR 52193, Sept. 30, 1998. 
Redesignated at 71 FR 45742, Aug. 10, 2006, and amended at 71 FR 45743, 
Aug. 10, 2006]



Sec.  369.6  Address.

    The following address must be used by motor carriers when submitting 
a report, requesting an exemption from filing a report, or requesting an 
exemption from public release of a report: Federal Motor Carrier Safety 
Administration, Office of Registration and Safety Information (MC-RS), 
1200 New Jersey Ave., SE., Washington, DC 20590-0001. This address may 
also be used for general correspondence regarding the data collection 
program described in this section.

[64 FR 13923, Mar. 23, 1999, as amended at 68 FR 4719, Jan. 30, 2003. 
Redesignated at 71 FR 45742, Aug. 10, 2006, and amended at 71 FR 45743, 
Aug. 10, 2006; 72 FR 55699, Oct. 1, 2007; 79 FR 59455, Oct. 2, 2014]



Sec.  369.8  Requests for exemptions from filing.

    (a) General. This section governs requests for exemptions from 
filing of the report required under Sec.  369.1.
    (b) Criteria. The Federal Motor Carrier Safety Administration 
(FMCSA)

[[Page 73]]

may grant a request upon a proper showing that the exemption is 
necessary to preserve confidential business information that is not 
otherwise publicly available. Information is considered to be 
confidential when:
    (1) Disclosure of the information in the carrier's report would be 
likely to cause substantial harm to the carrier's competitive position; 
or
    (2) Disclosure of information in the report would be likely to 
impair protectable government interests.
    (c) Contents of a request. The contents of a request for an 
exemption from filing must contain, at a minimum, the contents that are 
required for a request for an exemption from public release contained in 
Sec.  369.9(c). A carrier's request may include any other grounds as to 
why the request should be granted.
    (d) When requests are due. The timing of a request for an exemption 
from filing is the same as the timing for a request for an exemption 
from public release contained in Sec.  369.9(d). For Annual Form M, both 
the report and the request are due by March 31 of the year following the 
year to which it relates.
    (e) Decision to grant or deny a request. (1) A request will be 
denied if it fails to provide all of the supporting information required 
in paragraph (c) of this section or if the supporting information is 
insufficient to establish that information in the carrier's report meets 
the criteria in paragraph (b) of this section.
    (2) FMCSA will grant or deny each request within a reasonable period 
of time. FMCSA will notify the carrier of its decision. The decision by 
FMCSA shall be administratively final.
    (f) Pendency. While a request is pending, the carrier is required to 
submit any reports required under Sec.  369.1.
    (g) Period of exemptions. If a request for an exemption under this 
section is granted, the carrier will be exempt from the reporting 
requirements of Sec.  369.1 for a period of three reporting years.
    (h) Modification of a decision to grant a request. If a request is 
granted it remains in effect in accordance with its terms, unless 
modified by a later finding that the decision was clearly erroneous. If 
FMCSA believes such a finding should be made, FMCSA will notify the 
requesting carrier in writing of the reasons for the modification. The 
carrier may seek reconsideration of the modification.

[64 FR 13922, Mar. 23, 1999. Redesignated at 71 FR 45742, Aug. 10, 2006, 
and amended at 71 FR 45743, Aug. 10, 2006; 78 FR 76245, Dec. 17, 2013]



Sec.  369.9  Requests for exemptions from public release.

    (a) General. This section governs requests for exemptions from 
public release of the report required under Sec.  369.1.
    (b) Criteria. The Federal Motor Carrier Safety Administration 
(FMCSA) will grant a request upon a proper showing that the carrier is 
not a publicly held corporation or that the carrier is not subject to 
financial reporting requirements of the Securities and Exchange 
Commission, and that the exemption is necessary to avoid competitive 
harm and to avoid the disclosure of information that qualifies as trade 
secret or privileged or confidential information under 5 U.S.C. 
552(b)(4). Information is considered to be confidential when:
    (1) Disclosure of the information in the carrier's report would be 
likely to cause substantial harm to the carrier's competitive position; 
or
    (2) Disclosure of information in the report would be likely to 
impair protectable government interests.
    (c) Contents of a request. A request for an exemption from public 
release must contain information supporting the claim. While the 
supporting information may contain opinions, the request must consist of 
objective data to the extent possible. General or nonspecific assertions 
or analysis will be insufficient to support a request if FMCSA is unable 
to find that the criteria are met. The supporting information must show:
    (1) That the information claimed to be confidential is a trade 
secret, or commercial or financial information that is privileged or 
confidential.
    (2) Measures taken by the carrier to ensure that the information has 
not been disclosed or otherwise made available to any person, company, 
or organization other then the carrier.

[[Page 74]]

    (3) Insofar as is known by the carrier, the extent to which the 
information has been disclosed, or otherwise become available, to 
persons other than the carrier, and why such disclosure or availability 
does not compromise the confidential nature of the information.
    (4) If the carrier asserts that disclosure would be likely to result 
in substantial competitive harm, what the harmful effects of disclosure 
would be, why the effects should be viewed as substantial, and the 
causal relationship between the effects and disclosure.
    (5) If the carrier asserts that disclosure would be likely to impair 
protectable government interests, what the effects of disclosure are 
likely to be and why disclosure is likely to impair such interests.
    (d) When requests are due. (1) Requests for an exemption under this 
section may be made at any time during the year. However, a request will 
be deemed applicable to only those reports due on or after the date the 
request is received. Requests received after a report's due date will 
only be considered for the following year's report.
    (2) A request will be deemed received on the date the request is 
physically received or, if it is sent by mail, on the date it is 
postmarked.
    (3) FMCSA will only allow a late request if there are extenuating 
circumstances and the carrier gives adequate notice within a reasonable 
time of the extenuating circumstances.
    (e) Decision to grant or deny a request. (1) After each due date of 
each annual report specified in Sec.  369.1, FMCSA will publish a notice 
in the Federal Register requesting comments on any requests received 
under this section that are valid and pending.
    (2) A request will be granted only if it provides all of the 
supporting information required in paragraph (c) of this section and if 
the supporting information is sufficient to establish that information 
in the carrier's report meets the criteria in paragraph (b) of this 
section.
    (3) If the carrier fails to comply with the timing requirements of 
paragraph (d) of this section, the claim for confidentiality will be 
waived unless FMCSA is notified of extenuating circumstances before the 
information is disclosed to the public and FMCSA finds that the 
extenuating circumstances warrant consideration of the claim.
    (4) FMCSA will grant or deny each request no later than 90 days 
after the request's due date as defined in paragraph (d) of this 
section. The decision by FMCSA shall be administratively final. For 
Annual Form M, both the report and the request are due by March 31, and 
the decision is due by June 30.
    (5) If a request is granted, FMCSA will notify carrier of that 
decision and of any appropriate limitations.
    (6) If a request for confidentiality is denied, FMCSA will notify 
the carrier of that decision and that the information will be made 
available to the public not less than ten working days after the carrier 
has received notice of the denial. The notice will specify the reasons 
for denying the request.
    (f) Pendency. A request is deemed pending from the date it is 
received by FMCSA until it is granted or denied by FMCSA. FMCSA will not 
release publicly, unless otherwise required by law, any report for which 
a valid request for an exemption from public release is pending.
    (g) Period of exemptions. If a request for an exemption under this 
section is granted, FMCSA will not publicly release the reports covered 
by the granted exemption, unless otherwise required by law, for a period 
of three years from the report's due date.
    (h) Modification of a decision to grant a request. If a request is 
granted it remains in effect in accordance with its terms, unless 
modified by a later finding that the decision was clearly erroneous. If 
FMCSA believes such a finding should be made, FMCSA will notify the 
requesting carrier in writing of the reasons for the modification and 
that the carrier's report will be made available to the public in not 
less than ten working days from the date of receipt of notice under this 
paragraph. The carrier may seek reconsideration of the modification.

[64 FR 13922, Mar. 23, 1999. Redesignated at 71 FR 45742, Aug. 10, 2006, 
and amended at 71 FR 45743, Aug. 10, 2006; 78 FR 76245, Dec. 17, 2013]

[[Page 75]]



Sec.  369.10  Public release of motor carrier of property data.

    (a) In general. Unless otherwise provided in this section, the data 
contained in a report filed under Sec.  369.1 shall be made publicly 
available, but no sooner than the due date for the report.
    (b) Exceptions relating to exemptions from public release. (1) If a 
request for an exemption from public release is pending under Sec.  
369.9, FMCSA will not publicly release the reports covered by the 
request until at least the time that a decision to grant or deny the 
request is made.
    (2) If a carrier is granted an exemption from public release under 
Sec.  369.9, FMCSA will not publicly release the reports covered by the 
granted exemption for a period of three years from the report's due 
date.
    (c) Other exceptions. Notwithstanding any other provision of this 
part, information may be released:
    (1) If the data are included in aggregate industry statistics that 
do not identify the individual carrier;
    (2) To other components of the Department of Transportation for 
their internal use only;
    (3) If required by law;
    (4) With the consent of the carrier filing the report; or
    (5) To contractors, if necessary for the performance of a contract 
with FMCSA.

[64 FR 13923, Mar. 23, 1999, as amended at 68 FR 4719, Jan. 30, 2003. 
Redesignated at 71 FR 45742, Aug. 10, 2006, and amended at 71 FR 45743, 
Aug. 10, 2006]



PART 370_PRINCIPLES AND PRACTICES FOR THE INVESTIGATION AND VOLUNTARY
DISPOSITION OF LOSS AND DAMAGE CLAIMS AND PROCESSING SALVAGE
--Table of Contents



Sec.
370.1 Applicability of regulations.
370.3 Filing of claims.
370.5 Acknowledgment of claims.
370.7 Investigation of claims.
370.9 Disposition of claims.
370.11 Processing of salvage.

    Authority: 49 U.S.C. 13301 and 14706; and 49 CFR 1.87.

    Source: 62 FR 32042, June 12, 1997, unless otherwise noted.

    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

[[Page 76]]

damage, notations of shortage or damage, or both, on freight bills, 
delivery receipts, or other documents, or inspection reports issued by 
carriers or their inspection agencies, whether the extent of loss or 
damage is indicated in dollars and cents or otherwise, shall, standing 
alone, not be considered by carriers as sufficient to comply with the 
minimum claim filing requirements specified in paragraph (b) of this 
section.
    (d) Claims filed for uncertain amounts. Whenever a claim is 
presented against a proper carrier for an uncertain amount, such as 
``$100 more or less,'' the carrier against whom such claim is filed 
shall determine the condition of the baggage or shipment involved at the 
time of delivery by it, if it was delivered, and shall ascertain as 
nearly as possible the extent, if any, of the loss or damage for which 
it may be responsible. It shall not, however, voluntarily pay a claim 
under such circumstances unless and until a formal claim in writing for 
a specified or determinable amount of money shall have been filed in 
accordance with the provisions of paragraph (b) of this section.
    (e) Other claims. If investigation of a claim develops that one or 
more other carriers has been presented with a similar claim on the same 
shipment, the carrier investigating such claim shall communicate with 
each such other carrier and, prior to any agreement entered into between 
or among them as to the proper disposition of such claim or claims, 
shall notify all claimants of the receipt of conflicting or overlapping 
claims and shall require further substantiation, on the part of each 
claimant of his/her title to the property involved or his/her right with 
respect to such claim.



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

[[Page 77]]

original invoice, a photographic copy of the original invoice, or an 
exact copy thereof or any extract made therefrom, certified by the 
claimant to be true and correct with respect to the property and value 
involved in the claim; or certification of prices or values, with trade 
or other discounts, allowance, or deductions, of any nature whatsoever 
and the terms thereof, or depreciation reflected thereon; Provided, 
however, That where property involved in a claim has not been invoiced 
to the consignee shown on the bill of lading or where an invoice does 
not show price or value, or where the property involved has been sold, 
or where the property has been transferred at bookkeeping values only, 
the carrier shall, before voluntarily paying a claim, require the 
claimant to establish the destination value in the quantity, shipped, 
transported, or involved; Provided, further, That when supporting 
documents are determined to be a necessary part of an investigation, the 
supporting documents are retained by the carriers for possible FMCSA 
inspection.
    (c) Verification of loss. When an asserted claim for loss of an 
entire package or an entire shipment cannot be otherwise authenticated 
upon investigation, the carrier shall obtain from the consignee of the 
shipment involved a certified statement in writing that the property for 
which the claim is filed has not been received from any other source.



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 household goods 
motor carrier as defined in Sec.  375.103 of this subchapter shall use 
the replacement costs of the lost or damaged item as a base to apply a 
depreciation factor to arrive at the current actual value of the lost or 
damaged item.

[62 FR 32042, June 12, 1997, as amended at 78 FR 58478, Sept. 24, 2013; 
81 FR 68345, Oct. 4, 2016]



Sec.  370.11  Processing of salvage.

    (a) Whenever baggage or material, goods, or other property 
transported by a carrier subject to the provisions in this part is 
damaged or alleged to be damaged and is, as a consequence thereof, not 
delivered or is rejected or refused upon tender thereof to the owner, 
consignee, or person entitled to receive such property, the carrier, 
after giving due notice, whenever practicable to do so, to the owner and 
other parties that may have an interest therein, and unless advised to 
the contrary after giving such notice, shall undertake to sell or 
dispose of such property directly or by the employment of a competent 
salvage agent. The carrier shall only dispose of the property in a 
manner that will fairly and equally protect the best interests of all 
persons having an interest therein. The carrier shall make an itemized 
record sufficient to identify the property involved so as to be able to 
correlate it to the shipment or transportation involved, and claim, if 
any, filed thereon. The carrier also shall assign to each lot of such 
property a successive lot number and note that lot number on its record 
of shipment and claim, if any claim is filed thereon.
    (b) Whenever disposition of salvage material or goods shall be made 
directly to an agent or employee of a carrier or through a salvage agent 
or company in which the carrier or one or more of its directors, 
officers, or managers has any interest, financial or otherwise, that 
carrier's salvage records shall fully reflect the particulars of each 
such transaction or relationship, or both, as the case may be.

[[Page 78]]

    (c) Upon receipt of a claim on a shipment on which salvage has been 
processed in the manner prescribed in this section, the carrier shall 
record in its claim file thereon the lot number assigned, the amount of 
money recovered, if any, from the disposition of such property, and the 
date of transmittal of such money to the person or persons lawfully 
entitled to receive the same.



PART 371_BROKERS OF PROPERTY--Table of Contents



                     Subpart A_General Requirements

Sec.
371.1 Applicability.
371.2 Definitions.
371.3 Records to be kept by brokers.
371.7 Misrepresentation.
371.9 Rebating and compensation.
371.10 Duties and obligations of brokers.
371.13 Accounting.

           Subpart B_Special Rules for Household Goods Brokers

371.101 If I operate as a household goods broker in interstate or 
          foreign commerce, must I comply with subpart B of this part?
371.103 What are the definitions of terms used in this subpart?
371.105 Must I use a motor carrier that has a valid U.S. DOT number and 
          valid operating authority issued by FMCSA to transport 
          household goods in interstate or foreign commerce?
371.107 What information must I display in my advertisements and 
          Internet Web homepage?
371.109 Must I inform individual shippers which motor carriers I use?
371.111 Must I provide individual shippers with Federal consumer 
          protection information?
371.113 May I provide individual shippers with a written estimate?
371.115 Must I maintain agreements with motor carriers before providing 
          written estimates on behalf of these carriers?
371.117 Must I provide individual shippers with my policies concerning 
          cancellation, deposits, and refunds?
371.121 What penalties may FMCSA impose for violations of this part?

    Authority: 49 U.S.C. 13301, 13501, and 14122; subtitle B, title IV 
of Pub. L. 109-59; and 49 CFR 1.87.

    Source: 45 FR 68942, Oct. 17, 1980, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



                     Subpart A_General Requirements



Sec.  371.1  Applicability.

    This part applies, to the extent provided therein, to all brokers of 
transportation by motor vehicle as defined in Sec.  371.2.

[32 FR 20034, Dec. 20, 1967, as amended at 62 FR 15421, Apr. 1, 1997]



Sec.  371.2  Definitions.

    (a) Broker means a person who, for compensation, arranges, or offers 
to arrange, the transportation of property by an authorized motor 
carrier. Motor carriers, or persons who are employees or bona fide 
agents of carriers, are not brokers within the meaning of this section 
when they arrange or offer to arrange the transportation of shipments 
which they are authorized to transport and which they have accepted and 
legally bound themselves to transport.
    (b) Bona fide agents are persons who are part of the normal 
organization of a motor carrier and perform duties under the carrier's 
directions pursuant to a preexisting agreement which provides for a 
continuing relationship, precluding the exercise of discretion on the 
part of the agent in allocating traffic between the carrier and others.
    (c) Brokerage or brokerage service is the arranging of 
transportation or the physical movement of a motor vehicle or of 
property. It can be performed on behalf of a motor carrier, consignor, 
or consignee.
    (d) Non-brokerage service is all other service performed by a broker 
on behalf of a motor carrier, consignor, or consignee.



Sec.  371.3  Records to be kept by brokers.

    (a) A broker shall keep a record of each transaction. For purposes 
of this section, brokers may keep master lists of consignors and the 
address and registration number of the carrier, rather than repeating 
this information for each transaction. The record shall show:
    (1) The name and address of the consignor;
    (2) The name, address, and registration number of the originating 
motor carrier;

[[Page 79]]

    (3) The bill of lading or freight bill number;
    (4) The amount of compensation received by the broker for the 
brokerage service performed and the name of the payer;
    (5) A description of any non-brokerage service performed in 
connection with each shipment or other activity, the amount of 
compensation received for the service, and the name of the payer; and
    (6) The amount of any freight charges collected by the broker and 
the date of payment to the carrier.
    (b) Brokers shall keep the records required by this section for a 
period of three years.
    (c) Each party to a brokered transaction has the right to review the 
record of the transaction required to be kept by these rules.

[45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15421, Apr. 1, 1997]



Sec.  371.7  Misrepresentation.

    (a) A broker shall not perform or offer to perform any brokerage 
service (including advertising), in any name other than that in which 
its registration is issued.
    (b) A broker shall not, directly or indirectly, represent its 
operations to be that of a carrier. Any advertising shall show the 
broker status of the operation.

[45 FR 68942, Oct. 17, 1980. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15421, Apr. 1, 1997]



Sec.  371.9  Rebating and compensation.

    (a) A broker shall not charge or receive compensation from a motor 
carrier for brokerage service where:
    (1) The broker owns or has a material beneficial interest in the 
shipment or
    (2) The broker is able to exercise control over the shipment because 
the broker owns the shipper, the shipper owns the broker, or there is 
common ownership of the two.
    (b) A broker shall not give or offer to give anything of value to 
any shipper, consignor or consignee (or their officers or employees) 
except inexpensive advertising items given for promotional purposes.



Sec.  371.10  Duties and obligations of brokers.

    Where the broker acts on behalf of a person bound by law or the 
FMCSA regulation as to the transmittal of bills or payments, the broker 
must also abide by the law or regulations which apply to that person.

[45 FR 68943, Oct. 17, 1980, as amended at 62 FR 15421, Apr. 1, 1997]



Sec.  371.13  Accounting.

    Each broker who engages in any other business shall maintain 
accounts so that the revenues and expenses relating to the brokerage 
portion of its business are segregated from its other activities. 
Expenses that are common shall be allocated on an equitable basis; 
however, the broker must be prepared to explain the basis for the 
allocation.

[45 FR 68943, Oct. 17, 1980]



           Subpart B_Special Rules for Household Goods Brokers

    Source: 75 FR 72996, Nov. 29, 2010, unless otherwise noted.



Sec.  371.101  If I operate as a household goods broker in interstate or
foreign commerce, must I comply with subpart B of this part?

    Yes, you must comply with all regulations in this subpart when you 
operate as a household goods broker offering services to individual 
shippers in interstate or foreign commerce. The regulations in this 
subpart do not apply to a household goods broker when providing services 
to commercial or government shippers in interstate or foreign commerce.



Sec.  371.103  What are the definitions of terms used in this subpart?

    FMCSA means the Federal Motor Carrier Safety Administration within 
the U.S. Department of Transportation.
    Household goods has the same meaning as the term is defined in Sec.  
375.103 of this subchapter.
    Household goods broker means a person, other than a motor carrier or 
an employee or bona fide agent of a motor carrier, that as a principal 
or agent

[[Page 80]]

sells, offers for sale, negotiates for, or holds itself out by 
solicitation, advertisement, or otherwise as selling, providing, or 
arranging for, transportation of household goods by motor carrier for 
compensation.
    Individual shipper has the same meaning as the term is defined in 
Sec.  375.103 of this subchapter.



Sec.  371.105  Must I use a motor carrier that has a valid U.S. DOT
number and valid operating authority issued by FMCSA to transport
household goods in interstate or foreign commerce?

    You may only act as a household goods broker for a motor carrier 
that has a valid, active U.S. DOT number and valid operating authority 
issued by FMCSA to transport household goods in interstate or foreign 
commerce.



Sec.  371.107  What information must I display in my advertisements and
Internet Web homepage?

    (a) You must prominently display in your advertisements and Internet 
Web homepage(s) the physical location(s) (street or highway address, 
city, and State) where you conduct business.
    (b) You must prominently display your U.S. DOT registration 
number(s) and MC license number issued by the FMCSA in your 
advertisements and Internet Web homepage(s).
    (c) You must prominently display in your advertisements and Internet 
Web site(s) your status as a household goods broker and the statement 
that you will not transport an individual shipper's household goods, but 
that you will arrange for the transportation of the household goods by 
an FMCSA-authorized household goods motor carrier, whose charges will be 
determined by its published tariff.
    (d) If you provide estimates on any carrier's behalf pursuant to 
Sec.  371.113(b), you must prominently display in your Internet Web 
site(s) that the estimate must be based on the carrier's tariff and that 
the carrier is required to make its tariff available for public 
inspection upon a reasonable request.
    (e) You may only include in your advertisements or Internet Web 
site(s) the names or logos of FMCSA-authorized household goods motor 
carriers with whom you have a written agreement as specified in Sec.  
371.115 of this part.



Sec.  371.109  Must I inform individual shippers which motor carriers
I use?

    (a) You must provide to each potential individual shipper who 
contacts you a list of all authorized household goods motor carriers you 
use, including their U.S. DOT registration number(s) and MC license 
numbers. You may provide the list electronically or on paper.
    (b) You must provide to each potential individual shipper who 
contacts you a statement indicating that you are not a motor carrier 
authorized by the Federal Government to transport the individual 
shipper's household goods, and you are only arranging for an authorized 
household goods motor carrier to perform the transportation services 
and, if applicable, additional services. You may provide the statement 
electronically or on paper.



Sec.  371.111  Must I provide individual shippers with Federal
consumer protection information?

    (a) You must provide potential individual shippers with Federal 
consumer protection information by one of the following three methods:
    (1) Provide a hyperlink on your Internet Web site to the FMCSA Web 
site containing the information in FMCSA's publications ``Ready to 
Move?--Tips for a Successful Interstate Move'' and ``Your Rights and 
Responsibilities When You Move.''
    (2) Distribute to each shipper and potential shipper at the time you 
provide an estimate, copies of FMCSA's publications ``Ready to Move?--
Tips for a Successful Interstate Move'' and ``Your Rights and 
Responsibilities When You Move.''
    (3) Distribute to each shipper and potential shipper at the time you 
provide an estimate, copies of ``Ready to Move?--Tips for a Successful 
Interstate Move'' and ``Your Rights and Responsibilities When You Move'' 
as modified and produced by the authorized, lawful motor carrier to 
which you intend to provide the shipment under your written agreement 
required by Sec.  371.115.
    (b) If an individual shipper elects to waive physical receipt of the 
Federal

[[Page 81]]

consumer protection information by one of the methods described in 
paragraphs (a)(2) and (a)(3) of this section, and elects to access the 
same information via the hyperlink on the Internet as provided in 
paragraph (a)(1) of this section, you must include a clear and concise 
statement on the written estimate described in Sec.  371.113 that the 
individual shipper expressly agreed to access the Federal consumer 
protection information on the Internet.
    (c) You must obtain a signed, dated, electronic or paper receipt 
showing the individual shipper has received both booklets that includes, 
if applicable, verification of the shipper's agreement to access the 
Federal consumer protection information on the Internet.
    (d) You must maintain the signed receipt required by paragraph (c) 
of this section for three years from the date the individual shipper 
signs the receipt.



Sec.  371.113  May I provide individual shippers with a written estimate?

    (a) You may provide each individual shipper with an estimate of 
transportation and accessorial charges. If you provide an estimate, it 
must be in writing and must be based on a physical survey of the 
household goods conducted by the authorized motor carrier on whose 
behalf the estimate is provided if the goods are located within a 50-
mile radius of the motor carrier's or its agent's location, whichever is 
closer. The estimate must be prepared in accordance with a signed, 
written agreement, as specified in Sec.  371.115 of this subpart.
    (b) You must base your estimate upon the published tariffs of the 
authorized motor carrier who will transport the shipper's household 
goods.
    (c)(1) A shipper may elect to waive the physical survey required in 
paragraph (a) of this section by written agreement signed by the shipper 
before the shipment is loaded.
    (2) The household goods broker must explain the physical survey 
waiver agreement to the individual shipper in plain English. The 
physical survey waiver agreement must be printed on the written estimate 
and must be printed at no less than 7-point font size and with the font 
typeface Universe.
    (3) A copy of the waiver agreement must be retained as an addendum 
to the bill of lading and is subject to the same record inspection and 
preservation requirements as are applicable to bills of lading.
    (d) You must keep the records required by this section for three 
years following the date you provide the written estimate for an 
individual shipper who accepts the estimate and has you procure the 
transportation.



Sec.  371.115  Must I maintain agreements with motor carriers before
providing written estimates on behalf of these carriers?

    (a) In order to provide estimates of charges for the transportation 
of household goods, you must do so in accordance with the written 
agreement required by Sec.  375.409 of this subchapter. Your written 
agreement with the motor carrier(s) must include the following items:
    (1) Your broker name as shown on your FMCSA registration, your 
physical address, and your U.S. DOT registration number and MC license 
number;
    (2) The authorized motor carrier's name as shown on its FMCSA 
registration, its physical address, and its U.S. DOT registration number 
and MC license number;
    (3) A concise, easy to understand statement that your written 
estimate to the individual shipper:
    (i) Will be exclusively on behalf of the authorized household goods 
motor carrier;
    (ii) Will be based on the authorized household goods motor carrier's 
published tariff; and
    (iii) Will serve as the authorized household goods motor carrier's 
estimate for purposes of complying with the requirements of part 375 of 
this chapter, including the requirement that the authorized household 
goods motor carrier relinquishes possession of the shipment upon payment 
of no more than 110 percent of a non-binding estimate at the time of 
delivery;
    (4) Your owner's, corporate officer's, or corporate director's 
signature lawfully representing your household goods broker operation 
and the date;

[[Page 82]]

    (5) The signature of the authorized household goods motor carrier's 
owner, corporate officer, or corporate director lawfully representing 
the household goods motor carrier's operation and the date; and
    (b) The signed written agreement required by this section is public 
information and you must produce it for review upon reasonable request 
by a member of the public.
    (c) You must keep copies of the agreements required by this section 
for as long as you provide estimates on behalf of the authorized 
household goods motor carrier and for three years thereafter.



Sec.  371.117  Must I provide individual shippers with my policies
concerning cancellation, deposits, and refunds?

    (a) You must disclose prominently on your Internet Web site and in 
your agreements with prospective shippers your cancellation policy, 
deposit policy, and policy for refunding deposited funds in the event 
the shipper cancels an order for service before the date an authorized 
household goods motor carrier has been scheduled to pick up the 
shipper's property.
    (b) You must maintain records showing each individual shipper's 
request to cancel a shipment and the disposition of each request for a 
period of three years after the date of a shipper's cancellation 
request. If you refunded a deposit, your records must include:
    (1) Proof that the individual shipper cashed or deposited the check 
or money order, if the financial institution provides documentary 
evidence; or
    (2) Proof that you delivered the refund check or money order to the 
individual shipper.



Sec.  371.121  What penalties may FMCSA impose for violations of this
part?

    The penalty provisions of 49 U.S.C. chapter 149, Civil and Criminal 
Penalties apply to this subpart. These penalties do not overlap. 
Notwithstanding these civil penalties, nothing in this section deprives 
an individual shipper of any remedy or right of action under existing 
law.



PART 372_EXEMPTIONS, COMMERCIAL ZONES, AND TERMINAL AREAS
--Table of Contents



                          Subpart A_Exemptions

Sec.
372.101 Casual, occasional, or reciprocal transportation of passengers 
          for compensation when such transportation is sold or arranged 
          by anyone for compensation.
372.103 Motor vehicles employed solely in transporting school children 
          and teachers to or from school.
372.107 Definitions.
372.109 Computation of tonnage allowable in nonfarm-non-member 
          transportation.
372.111 Nonmember transportation limitation and record keeping.
372.113 [Reserved]
372.115 Commodities that are not exempt under 49 U.S.C. 13506(a)(6).
372.117 Motor transportation of passengers incidental to transportation 
          by aircraft.

                       Subpart B_Commercial Zones

372.201 Albany, NY.
372.203 Beaumont, TX.
372.205 Charleston, SC.
372.207 Charleston, WV.
372.209 Lake Charles, LA.
372.211 Pittsburgh, PA.
372.213 Pueblo, CO.
372.215 Ravenswood, WV.
372.217 Seattle, WA.
372.219 Washington, DC.
372.221 Twin Cities.
372.223 Consolidated governments.
372.225 Lexington-Fayette Urban County, KY.
372.227 Syracuse, NY.
372.229 Spokane, WA.
372.231 Tacoma, WA.
372.233 Chicago, IL.
372.235 New York, NY.
372.237 Cameron, Hidalgo, Starr, and Willacy Counties, TX.
372.239 Definitions.
372.241 Commercial zones determined generally, with exceptions.
372.243 Controlling distances and population data.
372.245 New Mexico Commercial Zone.
372.247 City of El Paso, TX.

                        Subpart C_Terminal Areas

372.300 Distances and population data.
372.301 Terminal areas of motor carriers and freight forwarders at 
          municipalities served.
372.303 Terminal areas of motor carriers and freight forwarders at 
          unincorporated communities served.


[[Page 83]]


    Authority: 49 U.S.C. 13504 and 13506; Pub. L. 105-178, sec. 4031, 
112 Stat. 418; and 49 CFR 1.87.

    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

[[Page 84]]

constitution, bylaws, or rules of the cooperative association or 
federation of cooperative associations.
    (d) Farmer. The term ``farmer'' means any individual, partnership, 
corporation, or other business entity to the extent engaged in farming 
operations either as a producer of agricultural commodities or as a farm 
owner.
    (e) Interstate transportation. The term ``interstate 
transportation'' means transportation by motor vehicle in interstate or 
foreign commerce subject to the FMCSA's jurisdiction as set forth in 49 
U.S.C. 13501.
    (f) Member transportation. The term ``member transportation'' means 
transportation performed by a cooperative association or federation of 
cooperative associations for itself or for its members, but does not 
include transportation performed in furtherance of the nonfarm business 
of such members.
    (g) Nonmember transportation. The term ``nonmember transportation'' 
means transportation performed by a cooperative association or 
federation of cooperative associations other than member transportation 
as defined in paragraph (f) of this section.
    (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 
cooperative associations for nonmembers as described above is performed 
with the same trucks or tractors employed in a prior or subsequent trip 
in the primary transportation operation of the cooperative association 
or federation, that it is not economically feasible to operate the 
trucks or tractors empty on return trips (outbound trips in cases where 
the primary transportation operation is inbound to the association or 
federation), and that the additional income obtained from such 
transportation is necessary to make the primary transportation operation 
financially practicable. Transportation for nonmembers as described 
above performed by a cooperative or federation through the use of trucks 
or tractors trip-leased for one-way movements with the cooperative 
association or federation acting as leasee, is not incidental and 
necessary;
    (b) The base tonnage to which the 25-percent limitation is applied 
is all tonnage of all kinds transported by the cooperative association 
or federation of cooperative associations in interstate or foreign 
commerce, whether for itself, its members or nonmembers, for or on 
behalf of the United States or any agency or instrumentality thereof, 
and that performed within the exemption provided by 49 U.S.C. 
13506(a)(5).

[43 FR 2397, Jan. 17, 1978, as amended at 43 FR 21894, May 22, 1978; 45 
FR 45524, July 3, 1980; 62 FR 49940, Sept. 24, 1997; 78 FR 58478, Sept. 
24, 2013]

[[Page 85]]



Sec.  372.111  Nonmember transportation limitation and record keeping.

    (a) Overall limitation of nonmember transportation. No cooperative 
association or federation of cooperative associations may engage in 
nonmember interstate transportation for compensation in any fiscal year 
which, measured in terms of tonnage, exceeds its total interstate member 
transportation in such fiscal year.
    (b) Records of interstate transportation when nonmember 
transportation is performed. Any cooperative association or federation 
of cooperative associations performing interstate transportation for 
nonmembers shall prepare and retain for a period of at least two years 
written records of all interstate transportation performed for members 
and nonmembers. These records shall contain:
    (1) The date of the shipment,
    (2) The names and addresses of the consignor and consignee,
    (3) The origin and destination of the shipment,
    (4) A description of the articles in the shipment,
    (5) The weight or volume of the shipment,
    (6) A description of the equipment used either by unit number or 
license 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

[[Page 86]]

Flour

Forest products:

    Resin products, such as turpentine

Fruits and Berries:

    Bananas, fresh, dried, dehydrated, or frozen
    Canned
    Frozen
    Hulls of oranges after juice extractions
    Juice, fruit, plain or concentrated
    Pies, frozen
    Preserved, such as jam
    Purees, strawberry and other, frozen

Grains:

    Oils extracted from grain
    Popcorn, popped
    Rice, precooked
    Wheat germ

Gravel
Hair, hog or other animal, product of slaughter of animal
Hay, sweetened with 3 percent molasses by weight
Hemp fiber
Hides, green and salted
Insecticides
Limestone, agricultural

Livestock:

    Monkeys
    Race horses
    Show horses
    Zoo animals

Lumber, rough sawed or planed
Maple syrup

Meal:

    Alfalfa
    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)

[[Page 87]]

that it is confined to the transportation of passengers who have had or 
will have an immediately prior or immediately subsequent movement by air 
and (2) that the zone within which motor transportation is incidental to 
transportation by aircraft, except as it may be individually determined 
as provided in paragraph (c) of this section, shall not exceed in size 
the area encompassed by a 25-mile radius of the boundary of the airport 
at which the passengers arrive or depart and by the boundaries of the 
commercial zones (as defined by the Secretary) of any municipalities any 
part of whose commercial zones falls within the 25-mile radius of the 
pertinent airport.
    (b) Substituted motor-for-air transportation due to emergency 
conditions. Transportation of passengers by motor vehicle is 
transportation incidental to transportation by aircraft if it 
constitutes substituted motor-for-air service performed at the expense 
of the air carrier in emergency situations arising from the inability of 
the air carrier to perform air transportation due to adverse weather 
conditions, equipment failure, or other causes beyond the control of the 
air carrier.
    (c) Individual determination of exempt zones. Upon its own motion or 
upon petition filed by any interested person, the Secretary may in an 
appropriate proceeding, determine whether the area within which the 
transportation by motor vehicle of passengers having an immediately 
prior or subsequent movement by air must be performed, in order to come 
within the provisions of paragraph (a) of this section, should be 
individually determined with respect to any particular airport or city 
served by an airport, and whether there should be established therefor 
appropriate boundaries differing in extent from this defined in 
paragraph (a)(2) of this section.
    (d) Exempt zones and operations--(1) Dulles and Baltimore-Washington 
International Airports. The transportation by motor vehicle, in 
interstate or foreign commerce, of passengers, having an immediately 
prior or subsequent movement by air, between Dulles International 
Airport, near Chantilly, Va., and Baltimore-Washington International 
Airport, near Baltimore, Md., is partially exempt from regulation under 
49 U.S.C. 13506(a)(8)(A).
    (2) Savannah, Ga., Airport. The transportation by motor vehicle, in 
interstate or foreign commerce, of passengers, having an immediately 
prior or subsequent movement by air, between Savannah, Ga., Airport and 
all points on Hilton Head Island, SC, is partially exempt from 
regulation under 49 U.S.C. 13506(a)(8)(A).
    (3) Chicago O'Hare International Airport (Chicago, Ill.). The 
transportation by motor vehicle, in interstate or foreign commerce, of 
passengers, having an immediately prior or subsequent movement by air, 
between O'Hare International Airport, at Chicago, Ill., on the one hand, 
and, on the other, points in Indiana on and north of U.S. Highway 30 and 
on and west of Indiana Highway 49, is partially exempt from regulation 
under 49 U.S.C. 13506(a)(8)(A).

[32 FR 20036, Dec. 20, 1967, as amended at 37 FR 5252, Mar. 11, 1972; 42 
FR 10003, Feb. 18, 1977; 42 FR 15705; Mar. 23, 1977; 62 FR 15421, Apr. 
1, 1997; 78 FR 58478, Sept. 24, 2013]



                       Subpart B_Commercial Zones

    Source: 41 FR 56653, Dec. 29, 1976, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec.  372.201  Albany, NY.

    The zone adjacent to, and commercially a part of Albany, N.Y., 
within which transportation by motor vehicle, in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Albany, N.Y., itself.
    (b) All points within a line drawn eight miles beyond the municipal 
limits of Albany.
    (c) All points in that area more than eight miles beyond the 
municipal limits of Albany bounded by a line as follows: Beginning at 
that point on the western boundary of Cohoes, N.Y., where it crosses the 
line described in paragraph (b) of this section, thence

[[Page 88]]

along the western and northern boundary of Cohoes to the Mohawk River 
thence along such river to the northern boundary of the Town of 
Waterford thence along the northern and eastern boundaries of the Town 
of Waterford to the northern boundary of the City of Troy (all of which 
city is included under the next provision).
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Albany or any other 
municipality included under the terms of paragraph (d) of this section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec.  372.203  Beaumont, TX.

    The zone adjacent to, and commercially a part of Beaumont, Tex., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (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;

[[Page 89]]

    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Charleston or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec.  372.209  Lake Charles, LA.

    The zone adjacent to, and commercially a part of Lake Charles, La., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Lake Charles, La., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Lake Charles;
    (c) Those points in Calcasieu Parish, La., which are not within the 
area described in paragraph (b) of this section; and which are east of 
Louisiana Highway 27 (western section);
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Lake Charles or by 
any other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56653, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



Sec.  372.211  Pittsburgh, PA.

    The zone adjacent to, and commercially a part of Pittsburgh within 
which transportation by motor vehicle in interstate or foreign commerce, 
not under common control, management, or arrangement for a continuous 
carriage or shipment to or from a point beyond such zone, is partially 
exempt from regulation under 49 U.S.C. 13506(b)(1) includes and is 
comprised of all points as follows:
    (a) The municipality of Pittsburgh, Pa., itself;
    (b) All points within a line drawn 15 miles beyond the municipal 
limits of Pittsburgh;
    (c) Those points in Allegheny County, Pa., which are not within the 
area described in paragraph (b) of this section;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Pittsburgh or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997; 78 
FR 58478, Sept. 24, 2013]



Sec.  372.213  Pueblo, CO.

    The zone adjacent to, and commercially a part of Pueblo, Colo., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulations under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Pueblo, Colo., itself;
    (b) All points within a line drawn 6 miles beyond the municipal 
limits of Pueblo;
    (c) Those points in Pueblo County, Colo., which are not within the 
area described in paragraph (b) of this section;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Pueblo or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997; 78 
FR 58478, Sept. 24, 2013]

[[Page 90]]



Sec.  372.215  Ravenswood, WV.

    The zone adjacent to, and commercially a part of Ravenswood, W. Va., 
within which transportation by motor vehicle in interstate or foreign 
commerce, not under common control, management, or arrangement for a 
continuous carriage or shipment to or from a point beyond such zone, is 
partially exempt from regulation under 49 U.S.C. 13506(b)(1) includes 
and is comprised of all points as follows:
    (a) The municipality of Ravenswood, W. Va., itself;
    (b) All points within a line drawn 4 miles beyond the municipal 
limits of Ravenswood;
    (c) Those points in Jackson County, W. Va., which are not within the 
area described in paragraph (b) of this section, and which are north of 
U.S. Highway 33;
    (d) All of any municipality any part of which is within the limits 
of the combined areas defined in paragraphs (b) and (c) of this section, 
and
    (e) All of any municipality wholly surrounded, or so surrounded 
except for a water boundary, by the municipality of Ravenswood or by any 
other municipality included under the terms of paragraph (d) of this 
section.

[41 FR 56654, Dec. 29, 1976, as amended at 62 FR 15422, Apr. 1, 1997]



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

[[Page 91]]

    (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 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]

[[Page 92]]



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;
    (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 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 Syracuse or any 
other municipality included under the terms of paragraph (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; 78 FR 58478, Sept. 24, 2013]



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 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 Spokane or any other 
municipality included under the terms of paragraph (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; 78 FR 58478, Sept. 24, 2013]



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;

[[Page 93]]

    (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 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 Tacoma or any other 
municipality included under the terms of paragraph (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; 78 FR 58478, Sept. 24, 2013]



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 of Chicago or any other 
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; 78 FR 58479, Sept. 24, 2013]



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

[[Page 94]]

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 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.

[[Page 95]]

    (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]



Sec.  372.245  New Mexico Commercial Zone.

    (a) Transportation within a zone comprised of Dona Ana and Luna 
Counties, NM, 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 
two counties (as determined under Sec.  372.241) extend beyond the 
boundaries of this two county zone, the areas of such commercial zones 
shall be considered to be part of the zone and partially exempted from 
regulation under 49 U.S.C. 13506(b)(1).

[81 FR 9121, Feb. 24, 2016]



Sec.  372.247  City of El Paso, TX.

    The zone adjacent to, and commercially a part of El Paso, TX, within 
which transportation of passengers or property by motor carriers 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 the City of El Paso, TX;
    (b) All municipalities which are contiguous to the City of El Paso;
    (c) All of any other municipalities and all unincorporated areas 
within the United States which are adjacent to the City of El Paso as 
follows:
    (1) Within 15 miles of the corporate limits of the City of El Paso; 
or
    (2) Within 15 miles of the corporate limits of the City of San 
Elizario, TX; and
    (d) All municipalities wholly surrounded, or so surrounded except 
for a water boundary, by the City of El Paso, by any municipality 
contiguous thereto, or by any municipality adjacent thereto which is 
included in the commercial zone of the City of El Paso under the 
provisions of paragraph (c) of this section.

[81 FR 9121, Feb. 24, 2016]



                        Subpart C_Terminal Areas

    Source: 32 FR 20049, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



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,

[[Page 96]]

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 paragraph (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.
373.100 Applicability.
373.101 For-hire, non-exempt motor carrier bills of lading.
373.103 For-hire, non-exempt expense bills.
373.105 Low value packages.

              Subpart B_Freight Forwarders; Bills of Lading

373.201 Receipts and bills of lading for freight forwarders.

    Authority: 49 U.S.C. 13301, 13531 and 14706; and 49 CFR 1.87.



               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.  373.100  Applicability.

    This subpart applies to motor carriers subject to 49 U.S.C. subtitle 
IV, part B (secs. 13101-14916).

[81 FR 68345, Oct. 4, 2016]



Sec.  373.101  For-hire, non-exempt motor carrier bills of lading.

    Every motor carrier subject to Sec.  373.100 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).

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; 81 FR 68345, Oct. 4, 2016]



Sec.  373.103  For-hire, non-exempt expense bills.

    (a) Property. Every for-hire, non-exempt motor 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.

[[Page 97]]

    (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 transportation of passenger service. Every for-hire, 
non-exempt motor carrier providing charter transportation of passenger 
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; 81 FR 68345, Oct. 4, 
2016]



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  Receipts and bills of lading for freight forwarders.

    Each freight forwarder must issue the shipper a receipt or through 
bill of lading, covering transportation from origin to ultimate 
destination, on each shipment for which it arranges transportation in 
interstate commerce. Where a motor carrier receives freight at the 
origin and issues a receipt therefor on its form with a notation showing 
the freight forwarder's name, then the freight forwarder, upon receiving 
the shipment at the ``on line'' or consolidating station, must issue a 
receipt or through bill of lading on its form as of the date the carrier 
receives the shipment.

[74 FR 15393, Apr. 6, 2009]



PART 374_PASSENGER CARRIER REGULATIONS--Table of Contents



Sec.
374.1 Applicability.

 Subpart A_Discrimination in Operations of Interstate Motor Carriers of 
                               Passengers

374.101 Discrimination prohibited.

[[Page 98]]

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 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 1.87.

    Editorial Note: Nomenclature changes to part 374 appear at 66 FR 
49871, Oct. 1, 2001.



Sec.  374.1  Applicability.

    This part applies to motor carriers subject to 49 U.S.C. subtitle 
IV, part B (secs. 13101-14916).

[81 FR 68345, Oct. 4, 2016]



 Subpart A_Discrimination in Operations of Interstate Motor 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 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; 81 FR 68345, Oct. 4, 2016]



Sec.  374.103  Notice to be printed on tickets.

    Every motor 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 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; 81 FR 68345, Oct. 4, 2016]



Sec.  374.105  Discrimination in terminal facilities.

    No motor 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

[[Page 99]]

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; 81 FR 68345, Oct. 4, 2016]



Sec.  374.107  Notice to be posted at terminal facilities.

    No motor 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 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; 81 FR 68345, Oct. 4, 2016]



Sec.  374.109  Carriers not relieved of existing obligations.

    Nothing in this regulation shall be construed to relieve any 
interstate motor 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; 81 FR 68345, Oct. 4, 2016]



Sec.  374.111  Reports of interference with regulations.

    Every motor 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; 81 FR 68345, Oct. 4, 2016]



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 
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; 81 FR 68345, Oct. 4, 2016]



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 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

[[Page 100]]

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; 81 FR 68345, Oct. 4, 2016]



     Subpart C_Adequacy of Intercity Motor 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 carriers conducting regular-
route operations.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 81 FR 68345, Oct. 4, 2016]



Sec.  374.303  Definitions.

    (a) Carrier means a motor passenger 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 over regular 
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; 
74 FR 2901, Jan. 16, 2009; 81 FR 68345, Oct. 4, 2016]



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 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

[[Page 101]]

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 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

[[Page 102]]

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]



Sec.  374.309  Terminal facilities.

    (a) Passenger security. All terminals and stations must provide 
adequate security for passengers and their attendants and be regularly 
patrolled.
    (b) Outside facilities. At terminals and stations that are closed 
when buses are scheduled to arrive or depart, there shall be available, 
to the extent possible, a public telephone, outside lighting, posted 
schedule information, overhead shelter, information on local 
accommodations, and telephone numbers for local taxi service and police.
    (c) Maintenance. Terminals shall be clean.



Sec.  374.311  Service responsibility.

    (a) Schedules. Carriers shall establish schedules that can be 
reasonably met, including connections at junction points, to serve 
adequately all points.
    (b) Continuity of service. No carrier shall change an existing 
regular-route schedule without first displaying conspicuously a notice 
in each facility and on each bus affected. Such notice shall be 
displayed for a reasonable time before it becomes effective and shall 
contain the carrier's name, a description of the proposed schedule 
change, the effective date thereof, the reasons for the change, the 
availability of alternate service, and the name and address of the 
carrier representative passengers may contact.
    (c) Trip interruptions. A carrier shall mitigate, to the extent 
possible, any passenger inconvenience it causes by disrupting travel 
plans.
    (d) Seating and reservations. A carrier shall provide sufficient 
buses to meet passengers' normal travel demands, including ordinary 
weekend and usual seasonal or holiday demand. Passengers (except 
commuters) shall be guaranteed, to the extent possible, passage and 
seating.
    (e) Inspection of rest stops. Each carrier shall inspect 
periodically all rest stops it uses to ensure that they are clean.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997; 74 FR 2901, Jan. 16, 2009]



Sec.  374.313  Equipment.

    (a) Temperature control. A carrier shall maintain a reasonable 
temperature on each bus (except in commuter service).
    (b) Restrooms. Each bus (except in commuter service) seating more 
than 14 passengers (not including the driver) shall have a clean, 
regularly maintained restroom, free of offensive odor. A bus may be 
operated without a restroom if it makes reasonable rest stops.
    (c) Bus servicing. Each bus shall be kept clean, with all required 
items in good working order.



Sec.  374.315  Transportation of passengers with disabilities.

    Service provided by a carrier to passengers with disabilities is 
governed by the provisions of 42 U.S.C. 12101 et seq., and regulations 
promulgated thereunder by the Secretary of Transportation (49 CFR parts 
27, 37, and 38) and the Attorney General (28 CFR part 36), incorporating 
the guidelines established by the Architectural and Transportation 
Barriers Compliance Board (36 CFR part 1191).

[57 FR 35764, Aug. 11, 1992]



Sec.  374.317  Identification--bus and driver.

    Each bus and driver providing service shall be identified in a 
manner visible to passengers. The driver may be identified by name or 
company number.



Sec.  374.319  Relief from provisions.

    (a) Petitions. Where compliance with any rule would impose an undue 
burden on a carrier, it may petition the Federal Motor Carrier Safety 
Administration either to treat it as though it were conducting a 
commuter service or to waive the rule. The request for relief must be 
justified by appropriate verified statements.
    (b) Notice to the public. The carrier shall display conspicuously, 
for at least 30 days, in each facility and on each bus affected, a 
notice of the filing of

[[Page 103]]

any petition. The notice shall contain the carrier's name and address, a 
concise description of and reasons for the relief sought, and a 
statement that any interested person may file written comments with the 
Federal Motor Carrier Safety Administration (with one copy mailed to the 
carrier) on or before a specific date that is at least 30 days later 
than the date the notice is posted.

[55 FR 11199, Mar. 27, 1990. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]



 Subpart D_Notice of and Procedures for Baggage Excess Value Declaration

    Source: 40 FR 1249, Jan. 7, 1975, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec.  374.401  Minimum permissible limitations for baggage liability.

    Motor carriers of passengers and baggage subject to 49 U.S.C. 13501 
may not publish tariff provisions limiting their liability for loss or 
damage to baggage checked by a passenger transported in regular route or 
special operations unless:
    (a) The amount for which liability is limited is $250 or greater per 
adult fare; and
    (b) The provisions permit the passenger, for an additional charge, 
to declare a value in excess of the limited amount, and allow the 
passenger to recover the increased amount (but not higher than the 
actual value) in event of loss or damage. The carriers may publish a 
maximum value for which they will be liable, but that maximum value may 
not be less than $1,000. Appropriate identification must be attached 
securely by the passenger to each item of baggage checked, indicating in 
a clear and legible manner the name and address to which the baggage 
should be forwarded if lost and subsequently recovered. Identification 
tags shall be made immediately available by the carriers to passengers 
upon request.
    (c) Carriers need not offer excess value coverage on articles listed 
in Sec.  374.307(c)(3).

[81 FR 68345, Oct. 4, 2016]



Sec.  374.403  Notice of passenger's ability to declare excess value
on baggage.

    (a) All motor carriers of passengers and baggage subject to 49 
U.S.C. subtitle IV, part B, which provide in their tariffs for the 
declaration of baggage in excess of a free baggage allowance limitation, 
shall provide clear and adequate notice to the public of the opportunity 
to declare such excess value on baggage.
    (b) The notice referred to in paragraph (a) of this section shall be 
in large and clear print, and shall state as follows:

                        Notice--Baggage Liability

    This motor carrier is not liable for loss or damage to properly 
identified baggage in an amount exceeding $__. If a passenger desires 
additional coverage for the value of his baggage he may, upon checking 
his baggage, declare that his baggage has a value in excess of the above 
limitation and pay a charge as follows:

                          Identify Your Baggage

    Under FMCSA regulations, all baggage must be properly identified. 
Luggage tags should indicate clearly the name and address to which lost 
baggage should be forwarded. Free luggage tags are available at all 
ticket windows and baggage counters.


The statement of charges for excess value declaration shall be clear, 
and any other pertinent provisions may be added at the bottom in clear 
and readable print.
    (c) The notice referred to in paragraphs (a) and (b) of this section 
shall be (1) placed in a position near the ticket seller, sufficiently 
conspicuous to apprise the public of its provisions, (2) placed on a 
form to be attached to each ticket issued (and the ticket seller shall, 
where possible, provide oral notice to each ticket purchaser to read the 
form attached to the ticket), (3) placed in a position at or near any 
location where baggage may be checked, sufficiently conspicuous to 
apprise each passenger checking baggage of its provisions, and (4) 
placed in a position at each boarding point or waiting area

[[Page 104]]

used by the carrier at facilities maintained by the carrier or its 
agents, sufficiently conspicuous to apprise each boarding passenger of 
the provisions of the said notice.

[40 FR 1249, Jan. 7, 1975, as amended at 62 FR 15423, Apr. 1, 1997; 81 
FR 68345, Oct. 4, 2016]



Sec.  374.405  Baggage excess value declaration procedures.

    All motor carriers of passengers and baggage subject to 49 U.S.C. 
subtitle IV, part B, which provide in their tariffs for the declaration 
of baggage value in excess of a free baggage allowance limitation, shall 
provide for the declaration of excess value on baggage at any time or 
place where provision is made for baggage checking, including (a) at a 
baggage checking counter until 15 minutes before scheduled boarding 
time, and (b) at the side of the bus or at a baggage checking counter in 
reasonable proximity to the boarding area during boarding at a terminal 
or any authorized service point.

[40 FR 1249, Jan. 7, 1975, as amended at 62 FR 15423, Apr. 1, 1997; 81 
FR 68346, Oct. 4, 2016]



                   Subpart E_Incidental Charter Rights

    Authority: 49 U.S.C. 13301, 13501, 13506; and 49 CFR 1.87.

    Source: 54 FR 46619, Nov. 6, 1989, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.



Sec.  374.501  Applicability.

    The regulations in this part apply to incidental charter rights 
authorized under 49 U.S.C. 13506. These regulations do not apply to 
interpreting authority contained in a certificate to transport 
passengers in special and/or charter operations.

[54 FR 46619, Nov. 6, 1989. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997; 81 FR 68346, Oct. 4, 2016]



Sec.  374.503  Authority.

    Motor carriers transporting passengers, in interstate or foreign 
commerce, over regular routes authorized in a certificate issued as a 
result of an application filed before January 2, 1967, may transport 
special or chartered parties, in interstate or foreign commerce, between 
any points and places in the United States (including Alaska and 
Hawaii). The term ``special or chartered party'' means a group of 
passengers who, with a common purpose and under a single contract, and 
at a fixed charge for the vehicle in accordance with the carrier's 
tariff, have acquired the exclusive use of a passenger-carrying motor 
vehicle to travel together as a group to a specified destination or for 
a particular itinerary.



Sec.  374.505  Exceptions.

    (a) Incidental charter rights do not authorize the transportation of 
passengers to whom the carrier has sold individual tickets or with whom 
the carrier has made separate and individual transportation 
arrangements.
    (b) Service provided under incidental charter rights may not be 
operated between the same points or over the same route so frequently as 
to constitute a regular-route service.
    (c) Passenger transportation within the Washington Metropolitan Area 
Transit District (as defined in the Washington Metropolitan Area 
Transportation Regulation Compact, Pub. L. No. 86-794, 74 Stat. 1031 
(1960), as amended by Pub. L. No. 87-767, 76 Stat. (1962) is not 
authorized by these regulations, but is subject to the jurisdiction and 
regulations of the Washington Metropolitan Area Transportation 
Commission.
    (d) A private or public recipient of governmental assistance (within 
the meaning of 49 U.S.C. 13902(b)(8)) may provide service under 
incidental charter rights only for special or chartered parties 
originating in the area in which the private or public recipient 
provides regularly scheduled mass transportation services under the 
specific qualifying certificate that confers its incidental charter 
rights.

[54 FR 46619, Nov. 6, 1989. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997]

[[Page 105]]



PART 375_TRANSPORTATION OF HOUSEHOLD GOODS IN INTERSTATE COMMERCE;
CONSUMER PROTECTION REGULATIONS--Table of Contents



                     Subpart A_General Requirements

Sec.
375.101 Who must follow these regulations in this part?
375.103 What are the definitions of terms used in this part?
375.105 What are the information collection requirements of this part?

           Subpart B_Before Offering Services to My Customers

                        Liability Considerations

375.201 What is my normal liability for loss and damage when I accept 
          goods from an individual shipper?
375.203 What actions of an individual shipper may limit or reduce my 
          normal liability?

                        General Responsibilities

375.205 May I have agents?
375.207 What items must be in my advertisements?
375.209 How must I handle complaints and inquiries?
375.211 Must I have an arbitration program?
375.213 What information must I provide to a prospective individual 
          shipper?

                    Collecting Transportation Charges

375.215 How must I collect charges?
375.217 May I collect charges upon delivery?
375.219 May I extend credit to shippers?
375.221 May I use a charge or credit card plan for payments?

                   Subpart C_Service Options Provided

375.301 What service options may I provide?
375.303 If I sell liability insurance coverage, what must I do?

                      Subpart D_Estimating Charges

375.401 Must I estimate charges?
375.403 How must I provide a binding estimate?
375.405 How must I provide a non-binding estimate?
375.407 Under what circumstances must I relinquish possession of a 
          collect-on-delivery shipment transported under a non-binding 
          estimate?
375.409 May household goods brokers provide estimates?

            Subpart E_Pick Up of Shipments of Household Goods

                             Before Loading

375.501 Must I write up an order for service?
375.503 Must I write up an inventory?
375.505 Must I write up a bill of lading?

                          Weighing the Shipment

375.507 Must I determine the weight of a shipment?
375.509 How must I determine the weight of a shipment?
375.511 May I use an alternative method for shipments weighing 3,000 
          pounds or less?
375.513 Must I give the individual shipper an opportunity to observe the 
          weighing?
375.515 May an individual shipper waive his/her right to observe each 
          weighing?
375.517 May an individual shipper demand re-weighing?
375.519 Must I obtain weight tickets?
375.521 What must I do if an individual shipper wants to know the actual 
          weight or charges for a shipment before I tender delivery?

                  Subpart F_Transportation of Shipments

375.601 Must I transport the shipment in a timely manner?
375.603 When must I tender a shipment for delivery?
375.605 How must I notify an individual shipper of any service delays?
375.607 What must I do if I am able to tender a shipment for final 
          delivery more than 24 hours before a specified date?
375.609 What must I do for shippers who store household goods in 
          transit?

                     Subpart G_Delivery of Shipments

375.701 May I provide for a release of liability on my delivery receipt?
375.703 What is the maximum collect-on-delivery amount I may demand at 
          the time of delivery?
375.705 If a shipment is transported on more than one vehicle, what 
          charges may I collect at delivery?
375.707 If a shipment is partially lost or destroyed, what charges may I 
          collect at delivery?
375.709 If a shipment is totally lost or destroyed, what charges may I 
          collect at delivery?

                     Subpart H_Collection of Charges

375.801 What types of charges apply to subpart H?
375.803 How must I present my freight or expense bill?
375.805 If I am forced to relinquish a collect-on-delivery shipment 
          before the payment

[[Page 106]]

          of ALL charges, how do I collect the balance?
375.807 What actions may I take to collect the charges upon my freight 
          bill?

                           Subpart I_Penalties

375.901 What penalties do we impose for violations of this part?

Appendix A to Part 375--Your Rights and Responsibilities When You Move

    Authority: 49 U.S.C. 13102, 13301, 13501, 13704, 13707, 13902, 
14104, 14706, 14708; subtitle B, title IV of Pub. L. 109-59; and 49 CFR 
1.87.

    Source: 68 FR 35091, June 11, 2003, unless otherwise noted.



                     Subpart A_General Requirements



Sec.  375.101  Who must follow the regulations in this part?

    You, a household goods motor carrier engaged in the interstate 
transportation of household goods, must follow the regulations in this 
part when offering your services to individual shippers. You are subject 
to this part only when you transport household goods for individual 
shippers by motor vehicle in interstate commerce. Interstate commerce is 
defined in Sec.  390.5 of this subchapter.

[72 FR 36771, July 5, 2007]



Sec.  375.103  What are the definitions of terms used in this part?

    Terms used in this part are defined as follows. You may find other 
terms used in these regulations defined in 49 U.S.C. 13102. The 
definitions contained in this statute control. If terms are used in this 
part and the terms are neither defined here nor in 49 U.S.C. 13102, the 
terms will have the ordinary practical meaning of such terms.
    Advertisement means any communication to the public in connection 
with an offer or sale of any interstate household goods transportation 
service. This includes written or electronic database listings of your 
name, address, and telephone number in an on-line database or displayed 
on an Internet web site. This excludes listings of your name, address, 
and telephone number in a telephone directory or similar publication. 
However, Yellow Pages advertising is included in the definition.
    Cashier's check means a check that has all four of the following 
characteristics:
    (1) Drawn on a bank as defined in 12 CFR 229.2.
    (2) Signed by an officer or employee of the bank on behalf of the 
bank as drawer.
    (3) A direct obligation of the bank.
    (4) Provided to a customer of the bank or acquired from the bank for 
remittance purposes.
    Certified scale means any scale inspected and certified by an 
authorized scale inspection and licensing authority, and designed for 
weighing motor vehicles, including trailers or semi-trailers not 
attached to a tractor, or designed as a platform or warehouse type 
scale.
    Commercial shipper means any person who is named as the consignor or 
consignee in a bill of lading contract who is not the owner of the goods 
being transported but who assumes the responsibility for payment of the 
transportation and other tariff charges for the account of the 
beneficial owner of the goods. The beneficial owner of the goods is 
normally an employee of the consignor and/or consignee. A freight 
forwarder tendering a shipment to a carrier in furtherance of freight 
forwarder operations is also a commercial shipper. The Federal 
government is a government bill of lading shipper, not a commercial 
shipper.
    Force majeure means a defense protecting the parties in the event 
that a part of the contract cannot be performed due to causes which are 
outside the control of the parties and could not be avoided by exercise 
of due care.
    Government bill of lading shipper means any person whose property is 
transported under the terms and conditions of a government bill of 
lading issued by any department or agency of the Federal government to 
the carrier responsible for the transportation of the shipment.
    Household goods, as used in connection with transportation, means 
the personal effects or property used, or to be used, in a dwelling, 
when part of the equipment or supplies of the dwelling. Transportation 
of the household goods must be arranged and paid for by the

[[Page 107]]

individual shipper or by another individual on behalf of the shipper. 
Household goods includes property moving from a factory or store if 
purchased with the intent to use in a dwelling and transported at the 
request of the householder, who also pays the transportation charges.
    Household goods motor carrier means--
    (1) In general, a motor carrier that, in the ordinary course of its 
business of providing transportation of household goods, offers some or 
all of the following additional services:
    (i) Binding and nonbinding estimates;
    (ii) Inventorying;
    (iii) Protective packing and unpacking of individual items at 
personal residences;
    (iv) Loading and unloading at personal residences.
    (2) The term includes any person considered to be a household goods 
motor carrier under regulations, determinations, and decisions of the 
Federal Motor Carrier Safety Administration in effect on the date of 
enactment of the Household Goods Mover Oversight Enforcement and Reform 
Act of 2005 (August 10, 2005).
    (3) The term does not include any motor carrier providing 
transportation of household goods in containers or trailers that are 
entirely loaded and unloaded by an individual other than an employee or 
agent of the motor carrier.
    (4) The term does not include any motor carrier that acts as a 
service for the delivery of furniture, appliances, or other furnishings 
between a factory or a store and an individual's household.
    Individual shipper means any person who--
    (1) Is the shipper, consignor, or consignee of a household goods 
shipment;
    (2) Is identified as the shipper, consignor, or consignee on the 
face of the bill of lading;
    (3) Owns the goods being transported; and
    (4) Pays his or her own tariff transportation charges
    May means an option. You may do something, but it is not a 
requirement.
    Must means a legal obligation. You must do something.
    Order for service means a document authorizing you to transport an 
individual shipper's household goods.
    Reasonable dispatch means the performance of transportation on the 
dates, or during the period, agreed upon by you and the individual 
shipper and shown on the Order For Service/Bill of Lading. For example, 
if you deliberately withhold any shipment from delivery after an 
individual shipper offers to pay the binding estimate or 110 percent of 
a non-binding estimate, you have not transported the goods with 
reasonable dispatch. The term ``reasonable dispatch'' excludes 
transportation provided under your tariff provisions requiring 
guaranteed service dates. You will have the defenses of force majeure, 
i.e., superior or irresistible force, as construed by the courts.
    Should means a recommendation. We recommend you do something, but it 
is not a requirement.
    Surface Transportation Board means an agency within the Department 
of Transportation. The Surface Transportation Board regulates household 
goods carrier tariffs among other responsibilities.
    Tariff means an issuance (in whole or in part) containing rates, 
rules, regulations, classifications or other provisions related to a 
motor carrier's transportation services. The Surface Transportation 
Board requires a tariff contain specific items under Sec.  1312.3(a) of 
this title. These specific items include an accurate description of the 
services offered to the public and the specific applicable rates (or the 
basis for calculating the specific applicable rates) and service terms. 
A tariff must be arranged in a way that allows for the determination of 
the exact rate(s) and service terms applicable to any given shipment.
    We, us, and our means the Federal Motor Carrier Safety 
Administration (FMCSA).
    You and your means a household goods motor carrier engaged in the 
interstate transportation of household goods and its household goods 
agents.

[68 FR 35091, June 11, 2003, as amended at 72 FR 36771, July 5, 2007; 77 
FR 36934, June 20, 2012; 77 FR 59823, Oct. 1, 2012]

[[Page 108]]



Sec.  375.105  What are the information collection requirements of this
part?

    (a) The information collection requirements of this part have been 
reviewed by the Office of Management and Budget pursuant to the 
Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) and have been 
assigned OMB control number 2126-0025.
    (b) The information collection requirements are found in the 
following sections: Sec. Sec.  375.205, 375.207, 375.209, 375.211, 
375.213, 375.215, 375.217, 375.303, 375.401, 375.403, 375.405, 375.409, 
375.501, 375.503, 375.505, 375.507, 375.515, 375.519, 375.521, 375.605, 
375.607, 375.609, 375.803, 375.805, and 375.807.

[69 FR 10575, Mar. 5, 2004, as amended at 78 FR 58479, Sept. 24, 2013]



           Subpart B_Before Offering Services to My Customers

                        Liability Considerations



Sec.  375.201  What is my normal liability for loss and damage when I
accept goods from an individual shipper?

    (a) In general, you are legally liable for loss or damage if it 
happens during performance of any transportation of household goods and 
all related services identified on your lawful bill of lading.
    (b) Full Value Protection Obligation--In general, your liability is 
for the household goods that are lost, damaged, destroyed, or otherwise 
not delivered to the final destination in an amount equal to the 
replacement value of the household goods. The maximum amount is the 
declared value of the shipment. The declared value is subject to rules 
issued by the Surface Transportation Board (STB) and applicable tariffs.
    (c) If the shipper waives, in writing, your liability for the full 
value of the household goods, then you are liable for loss of, or damage 
to, any household goods to the extent provided in the STB released rates 
order. Contact the STB for a current copy of the Released Rates of Motor 
Carrier Shipments of Household Goods. The rate may be increased annually 
by the motor carrier based on the U.S. Department of Commerce's Cost of 
Living Adjustment.
    (d) As required by Sec.  375.303(c)(5), you may have additional 
liability if you sell liability insurance and fail to issue a copy of 
the insurance policy or other appropriate evidence of insurance.
    (e) You must, in a clear and concise manner, disclose to the 
individual shipper the limits of your liability.

[68 FR 35091, June 11, 2003, as amended at 72 FR 36771, July 5, 2007; 80 
FR 59071, Oct. 1, 2015]



Sec.  375.203  What actions of an individual shipper may limit or
reduce my normal liability?

    (a) If an individual shipper includes perishable, dangerous, or 
hazardous articles in the shipment without your knowledge, you need not 
assume liability for those articles or for the loss or damage caused by 
their inclusion in the shipment. If the shipper requests that you accept 
such articles for transportation, you may elect to limit your liability 
for any loss or damage by appropriately published tariff provisions.
    (b) If an individual shipper agrees to ship household goods released 
at a value greater than 60 cents per pound ($1.32 per kilogram) per 
article, your liability for loss and damage may be limited to $100 per 
pound ($220 per kilogram) per article if the individual shipper fails to 
notify you in writing of articles valued at more than $100 per pound 
($220 per kilogram).
    (c) If an individual shipper notifies you in writing that an article 
valued at greater than $100 per pound ($220 per kilogram) will be 
included in the shipment, the shipper will be entitled to full recovery 
up to the declared value of the article or articles, not to exceed the 
declared value of the entire shipment.

                        General Responsibilities



Sec.  375.205  May I have agents?

    (a) You may have agents provided you comply with paragraphs (b) and 
(c) of this section. A household goods agent is defined as either one of 
the following two types of agents:
    (1) A prime agent provides a transportation service for you or on 
your behalf, including the selling of, or arranging for, a 
transportation service. You permit or require the agent to provide

[[Page 109]]

services under the terms of an agreement or arrangement with you. A 
prime agent does not provide services on an emergency or temporary 
basis. A prime agent does not include a household goods broker or 
freight forwarder.
    (2) An emergency or temporary agent provides origin or destination 
services on your behalf, excluding the selling of, or arranging for, a 
transportation service. You permit or require the agent to provide such 
services under the terms of an agreement or arrangement with you. The 
agent performs such services only on an emergency or temporary basis.
    (b) If you have agents, you must have written agreements between you 
and your prime agents. You and your retained prime agent must sign the 
agreements.
    (c) Copies of all your prime agent agreements must be in your files 
for a period of at least 24 months following the date of termination of 
each agreement.



Sec.  375.207  What items must be in my advertisements?

    (a) You and your agents must publish and use only truthful, 
straightforward, and honest advertisements.
    (b) You must include, and you must require each of your agents to 
include, in all advertisements for all services (including any 
accessorial services incidental to or part of interstate household goods 
transportation), the following two elements:
    (1) Your name or trade name, as it appears on our document assigning 
you a U.S. DOT number, or the name or trade name of the motor carrier 
under whose operating authority the advertised service will originate.
    (2) Your U.S. DOT number, assigned by us authorizing you to operate 
as a for-hire motor carrier transporting household goods.
    (c) Your FMCSA-assigned U.S. DOT number must be displayed only in 
the following form in every advertisement: U.S. DOT No. (assigned 
number).



Sec.  375.209  How must I handle complaints and inquiries?

    (a) You must establish and maintain a procedure for responding to 
complaints and inquiries from your individual shippers.
    (b) Your procedure must include all three of the following items:
    (1) A communications system allowing individual shippers to 
communicate with your principal place of business by telephone.
    (2) A telephone number.
    (3) A written or electronic record system for recording all 
inquiries and complaints received from an individual shipper by any 
means of communication.
    (c) You must produce a clear and concise written description of your 
procedure for distribution to individual shippers.

[68 FR 35091, June 11, 2003, as amended at 77 FR 36934, June 20, 2012; 
77 FR 59824, Oct. 1, 2012]



Sec.  375.211  Must I have an arbitration program?

    (a) You must have an arbitration program for individual shippers to 
resolve disputes about property loss and damage and disputes about 
whether carrier charges in addition to those collected at delivery must 
be paid. You must establish and maintain an arbitration program with the 
following 11 minimum elements:
    (1) You must design your arbitration program to prevent you from 
having any special advantage in any case where the claimant resides or 
does business at a place distant from your principal or other place of 
business.
    (2) Before execution of the order for service, you must provide 
notice to the individual shipper of the availability of neutral 
arbitration, including all three of the following items:
    (i) A summary of the arbitration procedure.
    (ii) Any applicable costs.
    (iii) A disclosure of the legal effects of election to use 
arbitration.
    (3) Upon the individual shipper's request, you must provide 
information and forms you consider necessary for initiating an action to 
resolve a dispute under arbitration.
    (4) You must require each person you authorize to arbitrate to be 
independent of the parties to the dispute and capable of resolving such 
disputes, and you must ensure the arbitrator is

[[Page 110]]

authorized and able to obtain from you or the individual shipper any 
material or relevant information to carry out a fair and expeditious 
decisionmaking process.
    (5) You must not charge the individual shipper more than one-half of 
the total cost for instituting the arbitration proceeding against you. 
In the arbitrator's decision, the arbitrator may determine which party 
must pay the cost or a portion of the cost of the arbitration 
proceeding, including the cost of instituting the proceeding.
    (6) You must refrain from requiring the individual shipper to agree 
to use arbitration before a dispute arises.
    (7) Arbitration must be binding for claims of $10,000 or less, if 
the individual shipper requests arbitration.
    (8) Arbitration must be binding for claims of more than $10,000, if 
the individual shipper requests arbitration and the carrier agrees to 
it.
    (9) If all parties agree, the arbitrator may provide for an oral 
presentation of a dispute by a party or representative of a party.
    (10) The arbitrator must render a decision within 60 days of receipt 
of written notification of the dispute, and a decision by an arbitrator 
may include any remedies appropriate under the circumstances.
    (11) The arbitrator may extend the 60-day period for a reasonable 
period if you or the individual shipper fail to provide, in a timely 
manner, any information the arbitrator reasonably requires to resolve 
the dispute.
    (b) You must produce and distribute a concise, easy-to-read, 
accurate summary of your arbitration program, including the items in 
this section.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10575, Mar. 5, 2004; 72 
FR 36772, July 5, 2007]



Sec.  375.213  What information must I provide to a prospective 
individual shipper?

    (a) When you provide the written estimate to a prospective 
individual shipper, you must also provide the individual shipper with a 
copy of Department of Transportation publication FMCSA-ESA-03-005 (or 
its successor publication) entitled ``Ready to Move?--Tips for a 
Successful Interstate Move.'' You may provide the individual shipper 
with a paper copy or you may provide a hyperlink on your Internet Web 
site to the FMCSA Web site containing the information in FMCSA's 
publication ``Ready to Move?--Tips for a Successful Interstate Move.''
    (b) Before you execute an order for service for a shipment of 
household goods, you must furnish to your prospective individual shipper 
all five of the following documents:
    (1) The contents of appendix A of this part, entitled ``Your Rights 
and Responsibilities When You Move'' (Department of Transportation 
publication FMCSA-ESA-03-006, or its successor publication). You may 
provide the individual shipper with a paper copy or you may provide a 
hyperlink on your Internet Web site to the FMCSA Web site containing the 
information in FMCSA's publication ``Your Rights and Responsibilities 
When You Move.''
    (2) A concise, easy-to-read, accurate estimate of your charges.
    (3) A notice of the availability of the applicable sections of your 
tariff for the estimate of charges, including an explanation that 
individual shippers may examine these tariff sections or have copies 
sent to them upon request.
    (4) A concise, easy-to-read, accurate summary of your arbitration 
program.
    (5) A concise, easy-to-read, accurate summary of your customer 
complaint and inquiry handling procedures. Included in this description 
must be both of the following two items:
    (i) The main telephone number the individual shipper may use to 
communicate with you.
    (ii) A clear and concise statement concerning who must pay for 
telephone calls.
    (c) To comply with paragraph (b)(1) of this section, you must ensure 
that the text and general order of the document you produce and 
distribute to prospective individual shippers are consistent with the 
text and general order of appendix A to this part. The following three 
items also apply:
    (1) If we, the Federal Motor Carrier Safety Administration, choose 
to modify the text or general order of appendix A, we will provide the 
public appropriate notice in the Federal Register

[[Page 111]]

and an opportunity for comment as required by part 389 of this chapter 
before making you change anything.
    (2) If you publish the document, you may choose the dimensions of 
the publication as long as the type font size is 10 points or larger and 
the size of the booklet is at least as large as 36 square inches (232 
square centimeters).
    (3) If you publish the document, you may choose the color and design 
of the front and back covers of the publication. The following words 
must appear prominently on the front cover in 12-point or larger bold or 
full-faced type: ``Your Rights and Responsibilities When You Move. 
Furnished by Your Mover, as Required by Federal Law.'' You may 
substitute your name or trade name in place of ``Your Mover'' if you 
wish (for example, Furnished by XYZ Van Lines, as Required by Federal 
Law).
    (d) Paragraphs (c)(2) and (c)(3) of this section do not apply to 
exact copies of appendix A published in the Federal Register, the Code 
of Federal Regulations, or on FMCSA's Web site.
    (e) If an individual shipper elects to waive physical receipt of the 
Federal consumer protection information by one of the methods described 
in paragraphs (a) and (b)(1) of this section, and elects to access the 
same information via the hyperlink on the Internet as provided in 
paragraphs (a) and (b)(1) of this section:
    (1) You must include a clear and concise statement on the written 
estimate described in Sec.  375.401 that the individual shipper 
expressly agreed to access the Federal consumer protection information 
on the Internet.
    (2) You must obtain a signed, dated, electronic or paper receipt 
showing the individual shipper has received both booklets that includes, 
if applicable, verification of the shipper's agreement to access the 
Federal consumer protection information on the Internet.
    (3) You must maintain the signed receipt required by paragraph 
(e)(2) of this section for one year from the date the individual shipper 
signs the receipt. You are not required to maintain the signed receipt 
when you do not actually transport household goods or perform related 
services for the individual shipper who signed the receipt.

[72 FR 36772, July 5, 2007, as amended at 75 FR 72998, Nov. 29, 2010; 77 
FR 41704, Nov. 13, 2012]

                    Collecting Transportation Charges



Sec.  375.215  How must I collect charges?

    You must issue an honest, truthful freight or expense bill in 
accordance with subpart A of part 373 of this chapter. All rates and 
charges for the transportation and related services must be in 
accordance with your appropriately published tariff provisions in 
effect, including the method of payment.



Sec.  375.217  How must I collect charges upon delivery?

    (a) You must specify the form of payment when you prepare the 
estimate. You and your agents must honor the form of payment at 
delivery, except when a shipper agrees to a change in writing.
    (b) You must specify the same form of payment provided in paragraph 
(a) of this section when you prepare the order for service and the bill 
of lading.
    (c) Charge or credit card payments:
    (1) If you agree to accept payment by charge or credit card, you 
must arrange with the individual shipper for the delivery only at a time 
when you can obtain authorization for the shipper's credit card 
transaction.
    (2) Paragraph (c)(1) of this section does not apply to you when you 
have equipped your motor vehicle(s) to process card transactions.
    (d) You may maintain a tariff setting forth nondiscriminatory rules 
governing collect-on-delivery service and the collection of collect-on-
delivery funds.
    (e) If an individual shipper pays you at least 110 percent of the 
approximate costs of a non-binding estimate on a collect-on-delivery 
shipment, you must relinquish possession of the shipment at the time of 
delivery.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10575, Mar. 5, 2004]

[[Page 112]]



Sec.  375.219  May I extend credit to shippers?

    You may extend credit to shippers, but, if you do, it must be in 
accordance with Sec.  375.807.



Sec.  375.221  May I use a charge or credit card plan for payments?

    (a) You may provide in your tariff for the acceptance of charge or 
credit cards for the payment of freight charges. Accepting charge or 
credit card payments is different than extending credit to shippers in 
Sec. Sec.  375.219 and 375.807. Once you provide an estimate you are 
bound by the provisions in your tariff regarding payment as of the 
estimate date, until completion of any transaction that results from 
that estimate, unless otherwise agreed with a shipper under Sec.  
375.217(a).
    (b) You may accept charge or credit cards whenever shipments are 
transported under agreements and tariffs requiring payment by cash, 
certified check, money order, or a cashier's check.
    (c) If you allow an individual shipper to pay for a freight or 
expense bill by charge or credit card, you are deeming such payment to 
be the same as payment by cash, certified check, money order, or a 
cashier's check.
    (d) The charge or credit card plans you participate in must be 
identified in your tariff rules as items permitting the acceptance of 
the charge or credit cards.
    (e) If an individual shipper causes a charge or credit card issuer 
to reverse a charge transaction, you may consider the individual 
shipper's action tantamount to forcing you to provide an involuntary 
extension of your credit. In such instances, the rules in Sec.  375.807 
apply.



                   Subpart C_Service Options Provided



Sec.  375.301  What service options may I provide?

    (a) You may design your household goods service to provide 
individual shippers with a wide range of specialized service and pricing 
features. Many carriers provide at least the following five service 
options:
    (1) Space reservation.
    (2) Expedited service.
    (3) Exclusive use of a vehicle.
    (4) Guaranteed service on or between agreed dates.
    (5) Liability insurance.
    (b) If you sell liability insurance, you must follow the 
requirements in Sec.  375.303.



Sec.  375.303  If I sell liability insurance coverage, what must I do?

    (a) You, your employee, or an agent may sell, offer to sell, or 
procure liability insurance coverage for loss or damage to shipments of 
any individual shipper only when the individual shipper releases the 
shipment for transportation at a value not exceeding 60 cents per pound 
($1.32 per kilogram) per article.
    (b) You may offer, sell, or procure any type of insurance policy on 
behalf of the individual shipper covering loss or damage in excess of 
the specified carrier liability.
    (c) If you sell, offer to sell, or procure liability insurance 
coverage for loss or damage to shipments:
    (1) You must issue to the individual shipper a policy or other 
appropriate evidence of the insurance that the individual shipper 
purchased.
    (2) You must provide a copy of the policy or other appropriate 
evidence to the individual shipper at the time you sell or procure the 
insurance.
    (3) You must issue policies written in plain English.
    (4) You must clearly specify the nature and extent of coverage under 
the policy.
    (5) Your failure to issue a policy, or other appropriate evidence of 
insurance purchased, to an individual shipper will subject you to full 
liability for any claims to recover loss or damage attributed to you.
    (6) You must provide in your tariff for the provision of selling, 
offering to sell, or procuring liability insurance coverage. The tariff 
must also provide for the base transportation charge, including your 
assumption of full liability for the value of the shipment. This would 
be in the event you fail to issue a policy or other appropriate evidence 
of insurance to the individual shipper at the time of purchase.

[69 FR 10575, Mar. 5, 2004]

[[Page 113]]



                      Subpart D_Estimating Charges



Sec.  375.401  Must I estimate charges?

    (a) You must conduct a physical survey of the household goods to be 
transported and provide the prospective individual shipper with a 
written estimate, based on the physical survey, of the charges for the 
transportation and all related services. There are two exceptions to the 
requirement to conduct a physical survey:
    (1) If the household goods are located beyond a 50-mile radius of 
the location of the household goods motor carrier's agent preparing the 
estimate, the requirement to base the estimate on a physical survey does 
not apply.
    (2) An individual shipper may elect to waive the physical survey. 
The waiver agreement is subject to the following requirements:
    (i) It must be in writing;
    (ii) It must be signed by the shipper before the shipment is loaded; 
and
    (iii) The household goods motor carrier must retain a copy of the 
waiver agreement as an addendum to the bill of lading with the 
understanding that the waiver agreement will be subject to the same 
record retention requirements that apply to bills of lading, as provided 
in Sec.  375.505(d).
    (b) Before you execute an order for service for a shipment of 
household goods for an individual shipper, you must provide a written 
estimate of the total charges and indicate whether it is a binding or a 
non-binding estimate, as follows:
    (1) A binding estimate is an agreement made in advance with your 
individual shipper. It guarantees the total cost of the move based upon 
the quantities and services shown on your estimate, which shall be based 
on the physical survey of the household goods, if required. You may 
impose a charge for providing a written binding estimate. The binding 
estimate must indicate that you and the shipper are bound by the 
charges.
    (2) A non-binding estimate is what you believe the total cost will 
be for the move, based upon both the estimated weight or volume of the 
shipment and the accessorial services requested and the physical survey 
of the household goods, if required. A non-binding estimate is not 
binding on you. You will base the final charges upon the actual weight 
of the individual shipper's shipment and the tariff provisions in 
effect. You may not impose a charge for providing a non-binding 
estimate.
    (c) You must specify the form of payment you and your agent will 
honor at delivery. Payment forms may include, but are not limited to, 
cash, a certified check, a money order, a cashier s check, a specific 
charge card such as American Express \TM\, a specific credit card such 
as Visa \TM\, or your credit as allowed by Sec.  375.807.
    (d) For non-binding estimates, you must provide your reasonably 
accurate estimate of the approximate costs the individual shipper should 
expect to pay for the transportation and services of such shipments. If 
you provide an inaccurately low estimate, you may be limiting the amount 
you will collect at the time of delivery as provided in Sec.  375.407.
    (e) If you provide a shipper with an estimate based on volume that 
will later be converted to a weight-based rate, you must provide the 
shipper an explanation in writing of the formula used to calculate the 
conversion to weight. You must specify the final charges will be based 
on actual weight and services subject to the 110 percent rule at 
delivery.
    (f) You must determine charges for any accessorial services such as 
elevators, long carries, etc., before preparing the order for service 
and the bill of lading for binding or non-binding estimates. If you fail 
to ask the shipper about such charges and fail to determine such charges 
before preparing the order for service and the bill of lading, you must 
deliver the goods and bill the shipper after 30 days for the additional 
charges.
    (g) You must include as a part of your estimate the liability 
election notice provided in the Surface Transportation Board's released 
rates order. Contact the STB for a copy of the Released Rates of Motor 
Carrier Shipments of Household Goods.
    (h) You and the individual shipper must sign the estimate of 
charges. You must provide a dated copy of the estimate of charges to the 
individual shipper at the time you sign the estimate.

[[Page 114]]

    (i) Before loading a household goods shipment, and upon mutual 
agreement of both you and the individual shipper, you may amend an 
estimate of charges. You may not amend the estimate after loading the 
shipment.

[68 FR 35091, June 11, 2003, as amended at 72 FR 36772, July 5, 2007; 77 
FR 25373, Apr. 30, 2012]



Sec.  375.403  How must I provide a binding estimate?

    (a) You may provide a guaranteed binding estimate of the total 
shipment charges to the individual shipper, so long as it is provided 
for in your tariff. The individual shipper must pay the amount for the 
services included in your estimate. You must comply with the following 
11 requirements:
    (1) You must base the binding estimate on the physical survey unless 
one of the exceptions provided in Sec.  375.401(a)(1) and (2) applies.
    (2) You must provide the binding estimate in writing to the 
individual shipper or other person responsible for payment of the 
freight charges.
    (3) You must retain a copy of each binding estimate as an attachment 
to be made an integral part of the bill of lading contract.
    (4) You must clearly indicate upon each binding estimate's face that 
the estimate is binding upon you and the individual shipper. Each 
binding estimate must also clearly indicate on its face that the charges 
shown apply only to those services specifically identified in the 
estimate.
    (5) You must clearly describe binding-estimate shipments and all 
services you are providing.
    (6) If it appears an individual shipper has tendered additional 
household goods or requires additional services not identified in the 
binding estimate, you are not required to honor the estimate. If an 
agreement cannot be reached as to the price or service requirements for 
the additional goods or services, you are not required to service the 
shipment. However, if you do service the shipment, before loading the 
shipment you must do one of the following three things:
    (i) Reaffirm your binding estimate.
    (ii) Negotiate a revised written binding estimate accurately 
listing, in detail, the additional household goods or services.
    (iii) Agree with the individual shipper, in writing, that both of 
you will consider the original binding estimate as a non-binding 
estimate subject to Sec.  375.405.
    (7) Once you load a shipment, failure to execute a new binding 
estimate or a non-binding estimate signifies you have reaffirmed the 
original binding estimate. You may not collect more than the amount of 
the original binding estimate, except as provided in paragraphs (a)(8) 
and (9) of this section.
    (8) If you believe additional services are necessary to properly 
service a shipment after the bill of lading has been issued, you must 
inform the individual shipper what the additional services are before 
performing those services. You must allow the shipper at least one hour 
to determine whether he or she wants the additional services performed. 
If the individual shipper agrees to pay for the additional services, you 
must execute a written attachment to be made an integral part of the 
bill of lading contract and have the individual shipper sign the written 
attachment. This may be done through fax transmissions; e-mail; 
overnight courier; or certified mail, return receipt requested. You must 
bill the individual shipper for the additional services after 30 days 
from delivery. If the individual shipper does not agree to pay the 
additional services, the carrier should perform only those additional 
services as are required to complete the delivery, and bill the 
individual shipper for the additional services after 30 days from 
delivery, except that you may collect at delivery charges for 
impracticable operations that do not exceed 15 percent of all other 
charges due at delivery.
    (9) If the individual shipper requests additional services after the 
bill of lading has been issued, you must inform the individual shipper 
of the additional charges involved. You may require full payment at 
destination for these additional services and for 100 percent of the 
original binding estimate. If applicable, you also may require payment 
at delivery of charges for impracticable operations (as defined in your 
carrier tariff) not to exceed 15 percent of all

[[Page 115]]

other charges due at delivery. You must bill and collect from the 
individual shipper any applicable charges not collected at delivery in 
accordance with subpart H of this part.
    (10) Failure to relinquish possession of a shipment upon the 
individual shipper's offer to pay the binding estimate amount (or, in 
the case of a partial delivery, a prorated percentage of the binding 
estimate as set forth in paragraph (a)(11) of this section) plus charges 
for any additional services requested by the shipper after the bill of 
lading has been issued and charges, if applicable, for impracticable 
operations (subject to a maximum amount as set forth in paragraph 9 of 
this section), constitutes a failure to transport a shipment with 
``reasonable dispatch'' and subjects you to cargo delay claims pursuant 
to part 370 of this chapter.
    (11) If you make only a partial delivery of the shipment, you may 
not demand upon delivery full payment of the binding estimate. You may 
demand only a prorated percentage of the binding estimate. The prorated 
percentage must be the percentage of the weight of that portion of the 
shipment delivered relative to the total weight of the shipment. For 
example, if you deliver only 2,500 pounds of a shipment weighing 5,000 
pounds, you may demand payment at destination for only 50 percent of the 
binding estimate.
    (b) In accordance with Sec.  375.401(a), you may impose a charge for 
providing a written binding estimate. If you do not provide a binding 
estimate to an individual shipper, you must provide a non-binding 
estimate in accordance with Sec.  375.405.
    (c) You must retain a copy of the binding estimate for each move you 
perform for at least one year from the date you made the estimate and 
keep it as an attachment to be made an integral part of the bill of 
lading contract.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10575, Mar. 5, 2004; 69 
FR 17317, May 5, 2004; 72 FR 36773, July 5, 2007; 77 FR 36934, June 20, 
2012]



Sec.  375.405  How must I provide a non-binding estimate?

    (a) If you do not provide a binding estimate to an individual 
shipper in accordance with Sec.  375.403, you must provide a non-binding 
written estimate to the individual shipper.
    (b) If you provide a non-binding estimate to an individual shipper, 
you must provide your reasonably accurate estimate of the approximate 
costs the individual shipper should expect to pay for the transportation 
and services of the shipment. You must comply with the following ten 
requirements:
    (1) You must provide reasonably accurate non-binding estimates based 
upon both the estimated weight or volume of the shipment and services 
required and the physical survey of the household goods, if required. If 
you provide a shipper with an estimate based on volume that will later 
be converted to a weight-based rate, you must provide the shipper an 
explanation in writing of the formula used to calculate the conversion 
to weight.
    (2) You must explain to the individual shipper that final charges 
calculated for shipments moved on non-binding estimates will be those 
appearing in your tariffs applicable to the transportation. You must 
explain that these final charges may exceed the approximate costs 
appearing in your estimate.
    (3) You must furnish non-binding estimates without charge and in 
writing to the individual shipper or other person responsible for 
payment of the freight charges.
    (4) You must retain a copy of each non-binding estimate as an 
attachment to be made an integral part of the bill of lading contract.
    (5) You must clearly indicate on the face of a non-binding estimate 
that the estimate is not binding upon you and the charges shown are the 
approximate charges to be assessed for the service identified in the 
estimate. The estimate must clearly state that the shipper will not be 
required to pay more than 110 percent of the non-binding estimate at the 
time of delivery.
    (6) You must clearly describe on the face of a non-binding estimate 
the entire shipment and all services you are providing.
    (7) If it appears an individual shipper has tendered additional 
household goods or requires additional services not identified in the 
non-binding estimate, you are not required to honor

[[Page 116]]

the estimate. If an agreement cannot be reached as to the price or 
service requirements for the additional goods or services, you are not 
required to service the shipment. However, if you do service the 
shipment, before loading the shipment, you must do one of the following 
two things:
    (i) Reaffirm your non-binding estimate.
    (ii) Negotiate a revised written non-binding estimate accurately 
listing, in detail, the additional household goods or services.
    (8) Once you load a shipment, failure to execute a new non-binding 
estimate signifies you have reaffirmed the original non-binding 
estimate. You may not collect more than 110 percent of the amount of the 
original non-binding estimate at destination, except as provided in 
paragraphs (b)(9) and (10) of this section.
    (9) If you believe additional services are necessary to properly 
service a shipment after the bill of lading has been issued, you must 
inform the individual shipper what the additional services are before 
performing those services. You must allow the shipper at least one hour 
to determine whether he or she wants the additional services performed. 
If the individual shipper agrees to pay for the additional services, you 
must execute a written attachment to be made an integral part of the 
bill of lading contract and have the individual shipper sign the written 
attachment. This may be done through fax transmissions; e-mail; 
overnight courier; or certified mail, return receipt requested. You must 
bill the individual shipper for the additional services after 30 days 
from delivery. If the individual shipper does not agree to pay the 
additional services, the carrier should perform only those additional 
services as are required to complete the delivery, and bill the 
individual shipper for the additional services after 30 days from 
delivery, except that you may collect at delivery charges for 
impracticable operations that do not exceed 15 percent of all other 
charges due at delivery.
    (10) If the individual shipper requests additional services after 
the bill of lading has been issued, you must inform the individual 
shipper of the additional charges involved. You may require full payment 
at destination for these additional services and (unless you make only a 
partial delivery, in which case you must collect a prorated percentage 
of the original non-binding estimate as set forth in Sec.  375.407(c) of 
this part) for up to 110 percent of the original non-binding estimate. 
If applicable, you also may require payment at delivery of charges for 
impracticable operations (as defined in your carrier tariff) not to 
exceed 15 percent of all other charges due at delivery. You must bill 
and collect from the individual shipper any applicable charges not 
collected at delivery in accordance with subpart H of this part.
    (c) If you furnish a non-binding estimate, you must enter the 
estimated charges upon the order for service and upon the bill of 
lading.
    (d) You must retain a copy of the non-binding estimate for each move 
you perform for at least one year from the date you made the estimate 
and keep it as an attachment to be made an integral part of the bill of 
lading contract.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004; 72 
FR 36773, July 5, 2007; 77 FR 36935, June 20, 2012]



Sec.  375.407  Under what circumstances must I relinquish possession of
a collect-on-delivery shipment transported under a non-binding estimate?

    (a) If an individual shipper pays you up to 110 percent of the non-
binding estimate on a collect-on-delivery shipment (or, in the case of a 
partial delivery, a prorated percentage of the non-binding estimate as 
set forth in paragraph (c) of this section), you must relinquish 
possession of the shipment at the time of delivery. If there are either 
charges for any additional services requested by the shipper after the 
bill of lading has been issued and/or charges, if applicable, for 
impracticable operations (subject to a maximum amount as set forth in 
paragraph (d) of this section), and the shipper also pays you for such 
charges, you must relinquish possession of the shipment at the time of 
delivery. You must accept the form of

[[Page 117]]

payment agreed to at the time of estimate, unless the shipper agrees in 
writing to a change in the form of payment.
    (b) Failure to relinquish possession of a shipment after the 
individual shipper offers to pay you up to 110 percent of the 
approximate costs of a non-binding estimate plus any additional charges 
described in paragraph (a) of this section constitutes a failure to 
transport a shipment with ``reasonable dispatch'' and subjects you to 
cargo delay claims pursuant to part 370 of this chapter.
    (c) If you make only a partial delivery of the shipment, you may not 
demand full payment of the non-binding estimate. You may demand at 
delivery only a prorated percentage of the non-binding estimate (or a 
prorated percentage of an amount up to 110 percent of the non-binding 
estimate). The prorated percentage must be the percentage of the weight 
of that portion of the shipment delivered relative to the total weight 
of the shipment. For example, if you deliver only 2,500 pounds of a 
shipment weighing 5,000 pounds, you may demand payment of 50 percent of 
not more than 110 percent of the non-binding estimate.
    (d) You may not demand payment of charges for impracticable 
operations, as defined in your tariff, of more than 15 percent of all 
other charges due at delivery. You must bill and collect from the 
individual shipper charges for impracticable operations not collected at 
delivery in accordance with subpart H of this part.

[72 FR 36774, July 5, 2007]



Sec.  375.409  May household goods brokers provide estimates?

    (a) Subject to the limitations in Sec.  371.113(a) of this 
subchapter, household goods brokers may provide estimates to individual 
shippers provided there is a written agreement between the broker and 
you, the motor carrier, adopting the broker's estimate as your own 
estimate. If you, the motor carrier, make such an agreement with a 
household goods broker, you must ensure compliance with all requirements 
of this part pertaining to estimates, including the requirement that you 
must relinquish possession of the shipment if the shipper pays you no 
more than 110 percent of a non-binding estimate at the time of delivery.
    (b) Your written agreement with the household goods broker(s) must 
include the items required in Sec.  371.115(a) of this subchapter.

[75 FR 72998, Nov. 29, 2010]



            Subpart E_Pick Up of Shipments of Household Goods

                             Before Loading



Sec.  375.501  Must I write up an order for service?

    (a) Before you receive a shipment of household goods you will move 
for an individual shipper, you must prepare an order for service. The 
order for service must contain the information described in the 
following 15 items:
    (1) Your name and address and the FMCSA U.S. DOT number assigned to 
the mover who is responsible for performing the service.
    (2) The individual shipper's name, address, and, if available, 
telephone number(s).
    (3) The name, address, and telephone number of the delivering 
mover's office or agent located at or nearest to the destination of the 
shipment.
    (4) A telephone number where the individual shipper/consignee may 
contact you or your designated agent.
    (5) One of the following three entries must be on the order for 
service:
    (i) The agreed pickup date and agreed delivery date of the move.
    (ii) The agreed period(s) of the entire move.
    (iii) If you are transporting the shipment on a guaranteed service 
basis, the guaranteed dates or periods for pickup, transportation, and 
delivery. You must enter any penalty or per diem requirements upon the 
agreement under this item.
    (6) The names and addresses of any other motor carriers, when known, 
who will participate in interline transportation of the shipment.
    (7) The form of payment you and your agents will honor at delivery. 
The payment information must be the same that was entered on the 
estimate.
    (8) The terms and conditions for payment of the total charges, 
including notice of any minimum charges.

[[Page 118]]

    (9) The maximum amount you will demand at the time of delivery to 
obtain possession of the shipment, when you transport on a collect-on-
delivery basis.
    (10) A statement of the declared value of the shipment, which is the 
maximum amount of your liability to the individual shipper under your 
Full Value Protection for the replacement value of any household goods 
that are lost, damaged, destroyed, or otherwise not delivered to the 
final destination. If the individual shipper waives, in writing, your 
Full Value Protection liability, you must include a copy of the waiver; 
the Surface Transportation Board's required released rates valuation 
statement; and the charges, if any, for optional valuation coverage 
(other than Full Value Protection). The released rates may be increased 
annually by the motor carrier based on the U.S. Department of Commerce's 
Cost of Living Adjustment.
    (11) A complete description of any special or accessorial services 
ordered and minimum weight or volume charges applicable to the shipment, 
subject to the following two conditions:
    (i) If you provide service for individual shippers on rates based 
upon the transportation of a minimum weight or volume, you must indicate 
on the order for service the minimum weight- or volume-based rates, and 
the minimum charges applicable to the shipment.
    (ii) If you do not indicate the minimum rates and charges, your 
tariff must provide you will compute the final charges relating to such 
a shipment based upon the actual weight or volume of the shipment.
    (12) Any identification or registration number you assign to the 
shipment.
    (13) For non-binding estimates, your reasonably accurate estimate of 
the amount of the charges, the method of payment of total charges, and 
the maximum amount (no more than 110 percent of the non-binding 
estimate) you will demand at the time of delivery to relinquish 
possession of the shipment.
    (14) For binding estimates, the amount of charges you will demand 
based upon the binding estimate and the terms of payment under this 
estimate.
    (15) Whether the individual shipper requests notification of the 
charges before delivery. The individual shipper must provide you with 
the fax number(s) or address(es) where you will transmit the 
notifications by fax transmission; e-mail; overnight courier; or 
certified mail, return receipt requested.
    (b) You, your agent, or your driver must inform the individual 
shipper if you reasonably expect a special or accessorial service is 
necessary to safely transport a shipment. You must refuse to accept the 
shipment when you reasonably expect a special or accessorial service is 
necessary to safely transport a shipment and the individual shipper 
refuses to purchase the special or accessorial service. You must make a 
written note if the shipper refuses any special or accessorial services 
that you reasonably expect to be necessary.
    (c) You and the individual shipper must sign the order for service. 
You must provide a dated copy of the order for service to the individual 
shipper at the time you sign the order.
    (d)(1) You may provide the individual shipper with blank or 
incomplete estimates, orders for service, bills of lading, or any other 
blank or incomplete documents pertaining to the move.
    (2) You may require the individual shipper to sign an incomplete 
document at origin provided it contains all relevant shipping 
information except the actual shipment weight and any other information 
necessary to determine the final charges for all services performed.
    (e) You must provide the individual shipper the opportunity to 
rescind the order for service without any penalty for a three-day period 
after the shipper signs the order for service, if the shipper scheduled 
the shipment to be loaded more than three days after signing the order.
    (f) Before loading the shipment, and upon mutual agreement of both 
you and the individual shipper, you may amend an order for service.
    (g) You must retain a copy of the order for service for each move 
you perform for at least one year from the date you made the order for 
service and keep it as an attachment to be made an

[[Page 119]]

integral part of the bill of lading contract.
    (h) You must place the valuation statement on the bill of lading.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004; 72 
FR 36774, July 5, 2007; 80 FR 59071, Oct. 1, 2015]



Sec.  375.503  Must I write up an inventory?

    (a) You must prepare a written, itemized inventory for each shipment 
of household goods you transport for an individual shipper. The 
inventory must identify every carton and every uncartoned item that is 
included in the shipment. When you prepare the inventory, an 
identification number that corresponds to the inventory must be placed 
on each article that is included in the shipment.
    (b) You must prepare the inventory before or at the time of loading 
in the vehicle for transportation in a manner that provides the 
individual shipper with the opportunity to observe and verify the 
accuracy of the inventory if he or she so requests.
    (c) You must furnish a complete copy of the inventory to the 
individual shipper before or at the time of loading the shipment. A copy 
of the inventory, signed by both you and the individual shipper, must be 
provided to the shipper, together with a copy of the bill of lading, 
before or at the time you load the shipment.
    (d) Upon delivery, you must provide the individual shipper with the 
opportunity to observe and verify that the same articles are being 
delivered and the condition of those articles. You must also provide the 
individual shipper the opportunity to note in writing any missing 
articles and the condition of any damaged or destroyed articles. In 
addition, you must also provide the shipper with a copy of all such 
notations.
    (e) You must retain inventories for each move you perform for at 
least one year from the date you made the inventory and keep it as an 
attachment to be made an integral part of the bill of lading contract.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]



Sec.  375.505  Must I write up a bill of lading?

    (a) You must issue a bill of lading. The bill of lading must contain 
the terms and conditions of the contract. A bill of lading may be 
combined with an order for service to include all the items required by 
Sec.  375.501 of this subpart. You must furnish a partially complete 
copy of the bill of lading to the individual shipper before the vehicle 
leaves the residence at origin. The partially complete bill of lading 
must contain all relevant shipment information, except the actual 
shipment weight and any other information necessary to determine the 
final charges for all services performed.
    (b) On a bill of lading, you must include the following 14 items:
    (1) Your name and address, or the name and address of the motor 
carrier issuing the bill of lading.
    (2) The names and addresses of any other motor carriers, when known, 
who will participate in transportation of the shipment.
    (3) The name, address, and telephone number of your office (or the 
office of your agent) where the individual shipper can contact you in 
relation to the transportation of the shipment.
    (4) The form of payment you and your agents will honor at delivery. 
The payment information must be the same that was entered on the 
estimate and order for service.
    (5) When you transport on a collect-on-delivery basis, the name, 
address, and if furnished, the telephone number, facsimile number, or e-
mail address of a person to notify about the charges. The notification 
may also be made by overnight courier or certified mail, return receipt 
requested.
    (6) For non-guaranteed service, the agreed date or period of time 
for pickup of the shipment and the agreed date or period of time for the 
delivery of the shipment. The agreed dates or periods for pickup and 
delivery entered upon the bill of lading must conform to the agreed 
dates or periods of time for pickup and delivery entered upon the order 
for service or a proper amendment to the order for service.
    (7) For guaranteed service, subject to tariff provisions, the dates 
for pickup and delivery, and any penalty or per

[[Page 120]]

diem entitlements due the individual shipper under the agreement.
    (8) The actual date of pickup.
    (9) The company or carrier identification number of the vehicle(s) 
upon which you load the individual shipper's shipment.
    (10) The terms and conditions for payment of the total charges, 
including notice of any minimum charges.
    (11) The maximum amount you will demand at the time of delivery to 
obtain possession of the shipment, when you transport under a collect-
on-delivery basis.
    (12) The valuation statement provided in the Surface Transportation 
Board's released rates order requires individual shippers either to 
choose Full Value Protection for your liability or waive the Full Value 
Protection in favor of the STB's released rates. The released rates may 
be increased annually by the motor carrier based on the U.S. Department 
of Commerce's Cost of Living Adjustment. Contact the STB for a copy of 
the Released Rates of Motor Carrier Shipments of Household Goods. If the 
individual shipper waives your Full Value Protection in writing on the 
STB's valuation statement, you must include the charges, if any, for 
optional valuation coverage (other than Full Value Protection).
    (13) Evidence of any insurance coverage sold to or procured for the 
individual shipper from an independent insurer, including the amount of 
the premium for such insurance.
    (14) Each attachment to the bill of lading. Each attachment is an 
integral part of the bill of lading contract. If not provided elsewhere 
to the shipper, the following three items must be added as an attachment 
to the bill of lading.
    (i) The binding or non-binding estimate.
    (ii) The order for service.
    (iii) The inventory.
    (c) A copy of the bill of lading must accompany a shipment at all 
times while in your (or your agent's) possession. Before the vehicle 
leaves the residence of origin, the bill of lading must be in the 
possession of the driver responsible for the shipment.
    (d) You must retain bills of lading for each move you perform for at 
least one year from the date you created the bill of lading.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004; 72 
FR 36774, July 5, 2007; 77 FR 25373, Apr. 30, 2012; 80 FR 59071, Oct. 1, 
2015]

                          Weighing the Shipment



Sec.  375.507  Must I determine the weight of a shipment?

    (a) When you transport household goods on a non-binding estimate 
dependent upon the shipment weight, you must determine the weight of 
each shipment transported before the assessment of any charges.
    (b) You must weigh the shipment upon a certified scale.
    (c) You must provide a written explanation of volume to weight 
conversions, when you provide an estimate by volume and convert the 
volume to weight.



Sec.  375.509  How must I determine the weight of a shipment?

    (a) You must weigh the shipment by using one of the following two 
methods:
    (1) First method--origin weigh. You determine the difference between 
the tare weight of the vehicle before loading at the origin of the 
shipment and the gross weight of the same vehicle after loading the 
shipment.
    (2) Second method--back weigh. You determine the difference between 
the gross weight of the vehicle with the shipment loaded and the tare 
weight of the same vehicle after you unload the shipment.
    (b) The following three conditions must exist for both the tare and 
gross weighings:
    (1) The vehicle must have installed or loaded all pads, dollies, 
hand trucks, ramps, and other equipment required in the transportation 
of the shipment.
    (2) The driver and other persons must be off the vehicle at the time 
of either weighing.
    (3) The fuel tanks on the vehicle must be full at the time of each 
weighing, or, in the alternative, when you use the first method--origin 
weigh, in paragraph (a)(1) of this section, where the tare weighing is 
the first weighing

[[Page 121]]

performed, you must refrain from adding fuel between the two weighings.
    (c) You may detach the trailer of a tractor-trailer vehicle 
combination from the tractor and have the trailer weighed separately at 
each weighing provided the length of the scale platform is adequate to 
accommodate and support the entire trailer at one time.
    (d) You must use the net weight of shipments transported in 
containers. You must calculate the difference between the tare weight of 
the container (including all pads, blocking and bracing used in the 
transportation of the shipment) and the gross weight of the container 
with the shipment loaded in the container.



Sec.  375.511  May I use an alternative method for shipments weighing
3,000 pounds or less?

    For shipments weighing 3,000 pounds or less (1,362 kilograms or 
less), you may weigh the shipment upon a platform or warehouse certified 
scale before loading for transportation or after unloading.



Sec.  375.513  Must I give the individual shipper an opportunity to
observe the weighing?

    You must give the individual shipper or any other person responsible 
for the payment of the freight charges the right to observe all 
weighings of the shipment. You must advise the individual shipper, or 
any other person entitled to observe the weighings, where and when each 
weighing will occur. You must give the person who will observe the 
weighings a reasonable opportunity to be present to observe the 
weighings.



Sec.  375.515  May an individual shipper waive his/her right to
observe each weighing?

    (a) If an individual shipper elects not to observe a weighing, the 
shipper is presumed to have waived that right.
    (b) If an individual shipper elects not to observe a reweighing, the 
shipper must waive that right in writing. The individual shipper may 
send the waiver notification via fax transmission; e-mail; overnight 
courier; or certified mail, return receipt requested.
    (c) Waiver of the right to observe a weighing or re-weighing does 
not affect any other rights of the individual shipper under this part or 
otherwise.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]



Sec.  375.517  May an individual shipper demand re-weighing?

    After you inform the individual shipper of the billing weight and 
total charges and before actually beginning to unload a shipment weighed 
at origin (first method under Sec.  375.509(a)(1)), the individual 
shipper may demand a re-weigh. You must base your freight bill charges 
upon the re-weigh weight.



Sec.  375.519  Must I obtain weight tickets?

    (a) You must obtain weight tickets whenever we require you to weigh 
the shipment in accordance with this subpart. You must obtain a separate 
weight ticket for each weighing. The weigh master must sign each weight 
ticket. Each weight ticket must contain the following six items:
    (1) The complete name and location of the scale.
    (2) The date of each weighing.
    (3) The identification of the weight entries as being the tare, 
gross, or net weights.
    (4) The company or carrier identification of the vehicle.
    (5) The last name of the individual shipper as it appears on the 
bill of lading.
    (6) The carrier's shipment registration or bill of lading number.
    (b) When both weighings are performed on the same scale, one weight 
ticket may be used to record both weighings.
    (c) As part of the file on the shipment, you must retain the 
original weight ticket or tickets relating to the determination of the 
weight of a shipment.
    (d) All freight bills you present to an individual shipper must 
include true copies of all weight tickets obtained in the determination 
of the shipment weight in order to collect any shipment charges 
dependent upon the weight transported.

[[Page 122]]



Sec.  375.521  What must I do if an individual shipper wants to know the
actual weight or charges for a shipment before I tender delivery?

    (a) If an individual shipper of a shipment being transported on a 
collect-on-delivery basis specifically requests notification of the 
actual weight or volume and charges on the shipment, you must comply 
with this request. This requirement is conditioned upon the individual 
shipper's supplying you with an address or telephone number where the 
individual shipper will receive the communication. You must make your 
notification by telephone; in person; fax transmissions; e-mail; 
overnight courier; or certified mail, return receipt requested.
    (b) The individual shipper must receive your notification at least 
one full 24-hour day before any tender of the shipment for delivery, 
excluding Saturdays, Sundays and Federal holidays.
    (c) You may disregard the 24-hour notification requirement on 
shipments in any one of the following three circumstances:
    (1) The shipment will be back weighed (i.e., weighed at 
destination).
    (2) Pickup and delivery encompass two consecutive weekdays, if the 
individual shipper agrees.
    (3) The shipment is moving under a non-binding estimate and the 
maximum payment required at time of delivery is 110 percent of the 
estimated charges, but only if the individual shipper agrees to waive 
the 24-hour notification requirement.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]



                  Subpart F_Transportation of Shipments



Sec.  375.601  Must I transport the shipment in a timely manner?

    Yes. Transportation in a timely manner is also known as ``reasonable 
dispatch service.'' You must provide reasonable dispatch service to all 
individual shippers, except for transportation on the basis of 
guaranteed pickup and delivery dates.



Sec.  375.603  When must I tender a shipment for delivery?

    You must tender a shipment for delivery for an individual shipper on 
the agreed delivery date or within the period specified on the bill of 
lading. Upon the request or concurrence of the individual shipper, you 
may waive this requirement.



Sec.  375.605  How must I notify an individual shipper of any service delays?

    (a) When you are unable to perform either the pickup or delivery of 
a shipment on the dates or during the periods specified in the order for 
service and as soon as the delay becomes apparent to you, you must 
notify the individual shipper of the delay, at your expense, in one of 
the following six ways:
    (1) By telephone.
    (2) In person.
    (3) Fax transmissions.
    (4) E-mail.
    (5) Overnight courier.
    (6) Certified mail, return receipt requested.
    (b) You must advise the individual shipper of the dates or periods 
you expect to be able to pick up and/or deliver the shipment. You must 
consider the needs of the individual shipper in your advisement. You 
also must do the following four things:
    (1) You must prepare a written record of the date, time, and manner 
of notification.
    (2) You must prepare a written record of your amended date or period 
for pick-up or delivery.
    (3) You must retain these records as a part of your file on the 
shipment. The retention period is one year from the date of 
notification.
    (4) You must furnish a copy of the notice to the individual shipper 
by first class mail or in person if the individual shipper requests a 
copy of the notice.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10576, Mar. 5, 2004]



Sec.  375.607  What must I do if I am able to tender a shipment for
final delivery more than 24 hours before a specified date?

    (a) You may ask the individual shipper to accept an early delivery 
date. If the individual shipper does not concur

[[Page 123]]

with your request or the individual shipper does not request an early 
delivery date, you may, at your discretion, place a shipment in storage 
under your own account and at your own expense in a warehouse located 
near the destination of the shipment. If you place the shipment in 
storage, you must comply with paragraph (b) of this section. You may 
comply with paragraph (c) of this section, at your discretion.
    (b) You must immediately notify the individual shipper of the name 
and address of the warehouse where you place the shipment. You must make 
and keep a record of your notification as a part of your shipment 
records. You have responsibility for the shipment under the terms and 
conditions of the bill of lading. You are responsible for the charges 
for redelivery, handling, and storage until you make final delivery.
    (c) You may limit your responsibility under paragraph (b) of this 
section up to the agreed delivery date or the first day of the period of 
time of delivery as specified in the bill of lading.



Sec.  375.609  What must I do for shippers who store household goods
in transit?

    (a) If you are holding goods for storage-in-transit (SIT) and the 
period of time is about to expire, you must comply with this section.
    (b) You must notify the individual shipper, in writing of the 
following four items:
    (1) The date of conversion to permanent storage.
    (2) The existence of a nine-month period after the date of 
conversion to permanent storage when the individual shipper may file 
claims against you for loss or damage occurring to the goods in transit 
or during the storage-in-transit period.
    (3) The fact your liability is ending.
    (4) The fact the individual shipper's property will be subject to 
the rules, regulations, and charges of the warehouseman.
    (c) You must make this notification at least 10 days before the 
expiration date of either one of the following two periods:
    (1) The specified period of time when the goods are to be held in 
storage.
    (2) The maximum period of time provided in your tariff for storage-
in-transit.
    (d) You must notify the individual shipper by facsimile 
transmission; e-mail; overnight courier; or certified mail, return 
receipt requested.
    (e) If you are holding household goods in storage-in-transit for a 
period of time less than 10 days, you must give notification to the 
individual shipper of the information specified in paragraph (b) of this 
section one day before the expiration date of the specified time when 
the goods are to be held in such storage.
    (f) You must maintain a record of notifications as part of the 
records of the shipment.
    (g) Your failure or refusal to notify the individual shipper will 
automatically effect a continuance of your carrier liability according 
to the applicable tariff provisions with respect to storage-in-transit, 
until the end of the day following the date when you actually gave 
notice.
    (h) When you place household goods in permanent storage, you must 
place the household goods in the name of the individual shipper and 
provide contact information for the shipper in the form of a telephone 
number, mailing address and/or email address.

[68 FR 35091, June 11, 2003, as amended at 69 FR 10577, Mar. 5, 2004; 77 
FR 36935, June 20, 2012]



                     Subpart G_Delivery of Shipments



Sec.  375.701  May I provide for a release of liability on my delivery
receipt?

    (a) Your delivery receipt or shipping document must not contain any 
language purporting to release or discharge you or your agents from 
liability.
    (b) The delivery receipt may include a statement the property was 
received in apparent good condition except as noted on the shipping 
documents.



Sec.  375.703  What is the maximum collect-on-delivery amount I may
demand at the time of delivery?

    (a) On a binding estimate, the maximum amount is the exact estimate 
of the charges, plus charges for any additional services requested by 
the shipper

[[Page 124]]

after the bill of lading has been issued and charges, if applicable, for 
impracticable operations as defined in your carrier tariff. The maximum 
amount of charges for impracticable operations you may collect on 
delivery is an amount equal to 15 percent of all other charges due at 
delivery.
    (b) On a non-binding estimate, the maximum amount is 110 percent of 
the non-binding estimate of the charges, plus charges for any additional 
services requested by the shipper after the bill of lading has been 
issued and charges, if applicable, for impracticable operations as 
defined in your carrier tariff. The maximum amount of charges for 
impracticable operations you may collect on delivery is an amount equal 
to 15 percent of all other charges due at delivery.

[72 FR 36774, July 5, 2007]



Sec.  375.705  If a shipment is transported on more than one vehicle,
what charges may I collect at delivery?

    (a) At your discretion, you may do one of the following three 
things:
    (1) You may defer the collection of all charges until you deliver 
the entire shipment.
    (2) If you have determined the charges for the entire shipment, you 
may collect charges for the portion of the shipment tendered for 
delivery. You must determine the percentage of the charges for the 
entire shipment represented by the portion of the shipment tendered for 
delivery.
    (3) If you cannot reasonably calculate the charges for the entire 
shipment, you must determine the charges for the portion of the shipment 
being delivered. You must collect this amount. The total charges you 
assess for the transportation of the separate portions of the shipment 
must not be more than the charges due for the entire shipment.
    (b) In the event of the loss or destruction of any part of a 
shipment transported on more than one vehicle, you must collect the 
charges as provided in Sec.  375.707.



Sec.  375.707  If a shipment is partially lost or destroyed, what
charges may I collect at delivery?

    (a) (1) If a shipment is partially lost or destroyed, you may 
collect at delivery:
    (i) A prorated percentage of the binding estimate or a prorated 
percentage of up to 110 percent of the non-binding estimate. The 
prorated percentage is equal to the percentage of the weight of that 
portion of the shipment delivered relative to the total weight of the 
shipment. For example, if you deliver only 2,500 pounds of a shipment 
weighing 5,000 pounds, you may demand at destination, as applicable, 
only 50 percent of a binding estimate or 50 percent of not more than 110 
percent of a non-binding estimate;
    (ii) Charges for any additional services requested by the shipper 
after the bill of lading has been issued; and
    (iii) Charges for impracticable operations, if applicable, except 
that such charges must not exceed 15 percent of all other charges due at 
delivery.
    (iv) Any specific valuation charge due.
    (2) You must bill and collect from the individual shipper any 
remaining charges not collected at delivery in accordance with subpart H 
of this part.
    (b) You must determine, at your own expense, the proportion of the 
shipment, based on actual or constructive weight, not lost or destroyed 
in transit.
    (c) You may disregard paragraph (a)(1) of this section if loss or 
destruction was due to an act or omission of the individual shipper.
    (d) The individual shipper's rights are in addition to, and not in 
lieu of, any other rights the individual shipper may have with respect 
to a shipment of household goods you or your agent(s) partially lost or 
destroyed in transit. This applies whether or not the individual shipper 
exercises any rights to obtain a refund of the portion of your published 
freight charges corresponding to the portion of the lost or destroyed 
shipment (including any charges for accessorial or terminal services) at 
the time you dispose of claims for loss, damage, or injury to articles 
in the shipment under part 370 of this chapter.

[72 FR 36775, July 5, 2007]

[[Page 125]]



Sec.  375.709  If a shipment is totally lost or destroyed, what charges
may I collect at delivery?

    (a) You are forbidden from collecting, or requiring an individual 
shipper to pay, any freight charges (including any charges for 
accessorial or terminal services) when a household goods shipment is 
totally lost or destroyed in transit. The following two conditions also 
apply:
    (1) You must collect any specific valuation charge due.
    (2) You may disregard paragraph (a) of this section if loss or 
destruction was due to an act or omission of the individual shipper.
    (b) The individual shipper's rights are in addition to, and not in 
lieu of, any other rights the individual shipper may have with respect 
to a shipment of household goods you or your agent(s) totally lost or 
destroyed in transit. This applies whether or not the individual shipper 
exercises its rights provided in paragraph (a) of this section.



                     Subpart H_Collection of Charges



Sec.  375.801  What types of charges apply to subpart H?

    This subpart applies to all shipments of household goods that:
    (a) Entail a balance due freight or expense bill, or
    (b) Are transported on an extension of credit basis.

[69 FR 10577, Mar. 5, 2004]



Sec.  375.803  How must I present my freight or expense bill?

    You must present your freight or expense bill in accordance with 
Sec.  375.807 of this subpart.

[69 FR 10577, Mar. 5, 2004]



Sec.  375.805  If I am forced to relinquish a collect-on-delivery
shipment before the payment of ALL charges, how do I collect the balance?

    On ``collect-on-delivery'' shipments, you must present your freight 
bill for all transportation charges within 15 days as required by Sec.  
375.807.



Sec.  375.807  What actions may I take to collect the charges upon my
freight bill?

    (a) You must present a freight bill within 15 days (excluding 
Saturdays, Sundays, and Federal holidays) of the date of delivery of a 
shipment at its destination.
    (b) The credit period must be seven days (including Saturdays, 
Sundays, and Federal holidays).
    (c) You must provide in your tariffs the following four things:
    (1) You must automatically extend the credit period to a total of 30 
calendar days for any shipper who has not paid your freight bill within 
the 7-day period. However, for charges for impracticable operations that 
are not collected at delivery, you may not extend the credit period 
beyond 30 days after you present your freight bill.
    (2) You will assess a service charge to each individual shipper 
equal to one percent of the amount of the freight bill, subject to a $20 
minimum charge, for the extension of the credit period. You will assess 
the service charge for each 30-day extension the charges go unpaid.
    (3) You must deny credit to any shipper who fails to pay a duly-
presented freight bill within the 30-day period. You may grant credit to 
the individual shipper when the individual shipper satisfies he/she will 
promptly pay all future freight bills duly presented.
    (4) You must ensure all payments of freight bills are strictly in 
accordance with the rules and regulations of this part for the 
settlement of your rates and charges.

[68 FR 35091, June 11, 2003, as amended at 72 FR 36775, July 5, 2007]



                           Subpart I_Penalties



Sec.  375.901  What penalties do we impose for violations of this part?

    The penalty provisions of 49 U.S.C. Chapter 149, Civil and Criminal 
Penalties apply to this part. These penalties do not overlap. 
Notwithstanding these civil penalties, nothing in this section shall 
deprive any holder of a receipt or a bill of lading any remedy or right 
of action under existing law.

[[Page 126]]



 Sec. Appendix A to Part 375--Your Rights and Responsibilities When You 
                                  Move

OMB No. 2126-0025

           Furnished by Your Mover, as Required by Federal Law

    Authority: 49 U.S.C. 13301, 13704, 13707, and 14104; 49 CFR 1.87.

                   What Is Included in This Pamphlet?

In this pamphlet, you will find a discussion of each of these topics:
Why Was I Given This Pamphlet?
What Are the Most Important Points I Should Remember From This Pamphlet?
What If I Have More Questions?

                     Subpart A--General Requirements

Who must follow the regulations?
What definitions are used in this Pamphlet?

          Subpart B--Before Requesting Services From Any Mover

What is my mover's normal liability for loss or damage when my mover 
accepts goods from me?
What actions by me limit or reduce my mover's normal liability?
What are dangerous or hazardous materials that may limit or reduce my 
mover's normal liability?
May my mover have agents?
What items must be in my mover's advertisements?
How must my mover handle complaints and inquiries?
Do I have the right to inspect my mover's tariffs (schedules of charges) 
applicable to my move?
Must my mover have an arbitration program?
Must my mover inform me about my rights and responsibilities under 
Federal Law?
What other information must my mover provide to me?
How must my mover collect charges?
May my mover collect charges upon delivery?
May my mover extend credit to me?
May my mover accept charge or credit cards for my payments?

                   Subpart C--Service Options Provided

What service options may my mover provide?
If my mover sells liability insurance coverage, what must my mover do?

                      Subpart D--estimating charges

Must my mover estimate the transportation and accessorial charges for my 
move?
How must my mover estimate charges under the regulations?
What payment arrangements must my mover have in place to secure delivery 
of my household goods shipment?

           Subpart E--Pickup of My Shipment of Household Goods

Must my mover write up an order for service?
Must my mover write up an inventory of the shipment?
Must my mover write up a bill of lading?
Should I reach an agreement with my mover about pickup and delivery 
times?
Must my mover determine the weight of my shipment?
How must my mover determine the weight of my shipment?
What must my mover do if I want to know the actual weight or charges for 
my shipment before delivery?

                Subpart F--Transportation of My Shipment

Must my mover transport the shipment in a timely manner?
What must my mover do if it is able to deliver my shipment more than 24 
hours before I am able to accept delivery?
What must my mover do for me when I store household goods in transit?

                   Subpart G--Delivery of My Shipment

May my mover ask me to sign a delivery receipt releasing it from 
liability?
What is the maximum collect-on-delivery amount my mover may demand I pay 
at the time of delivery?
If my shipment is transported on more than one vehicle, what charges may 
my mover collect at delivery?
If my shipment is partially or totally lost or destroyed, what charges 
may my mover collect at delivery?
How must my mover calculate the charges applicable to the shipment as 
delivered?

                    Subpart H--Collection of Charges

Does this subpart apply to most shipments?
How must my mover present its freight or expense bill to me?
If I forced my mover to relinquish a collect-on-delivery shipment before 
the payment of ALL charges, how must my mover collect the balance?
What actions may my mover take to collect from me the charges in its 
freight bill?
Do I have a right to file a claim to recover money for property my mover 
lost or damaged?

               Subpart I--Resolving Disputes With My Mover

What may I do to resolve disputes with my mover?

[[Page 127]]

                     Why Was I Given This Pamphlet?

    The Federal Motor Carrier Safety Administration's (FMCSA) 
regulations protect consumers on interstate moves and define the rights 
and responsibilities of consumers and household goods carriers.
    The household goods carrier (mover) gave you this booklet to provide 
information about your rights and responsibilities as an individual 
shipper of household goods. Your primary responsibility is to select a 
reputable household goods carrier, ensure that you understand the terms 
and conditions of the contract, and understand and pursue the remedies 
that are available to you in case problems arise. You should talk to 
your mover if you have further questions. The mover will also furnish 
you with additional written information describing its procedure for 
handling your questions and complaints. The additional written 
information will include a telephone number you can call to obtain 
additional information about your move.

What Are the Most Important Points I Should Remember From This Pamphlet?

    1. Movers must give written estimates.
    2. Movers may give binding estimates.
    3. Non-binding estimates are not always accurate; actual charges may 
exceed the estimate.
    4. If your mover provides you (or someone representing you) with any 
partially complete document for your signature, you should verify the 
document is as complete as possible before signing it. Make sure the 
document contains all relevant shipping information, except the actual 
shipment weight and any other information necessary to determine the 
final charges for all services performed.
    5. You may request from your mover the availability of guaranteed 
pickup and delivery dates.
    6. Be sure you understand the mover's responsibility for loss or 
damage, and request an explanation of the difference between valuation 
and actual insurance.
    7. You have the right to be present each time your shipment is 
weighed.
    8. You may request a reweigh of your shipment.
    9. If you agree to move under a non-binding estimate, you should 
confirm with your mover--in writing--the method of payment at delivery 
as cash, certified check, cashier's check, money order, or credit card.
    10. Movers must offer a dispute settlement program as an alternative 
means of settling loss or damage claims. Ask your mover for details.
    11. You should ask the person you speak to whether he or she works 
for the actual mover or a household goods broker. A household goods 
broker must not represent itself as a mover. The broker is responsible 
only for arranging the transportation. It does not own the trucks used 
to transport the shipment and is required to find an authorized mover to 
provide the transportation. You should know that a household goods 
broker generally has no authority to provide you with an estimate for 
the move, unless the broker has a written agreement with the household 
goods carrier. If a household goods broker provides you with an estimate 
without a written agreement with the carrier, the estimate may not be 
binding and you may instead be required to pay the actual charges 
assessed by the mover. A household goods broker is not responsible for 
loss or damage.
    12. You may request complaint information about movers from the 
Federal Motor Carrier Safety Administration under the Freedom of 
Information Act. You may be assessed a fee to obtain this information. 
See 49 CFR part 7 for the schedule of fees.
    13. You should seek estimates from at least three different movers. 
You should not disclose any information to the different movers about 
their competitors, as it may affect the accuracy of their estimates.

                     What if I Have More Questions?

    If this pamphlet does not answer all of your questions about your 
move, do not hesitate to ask for additional information from your 
mover's representative who handled the arrangements for your move, the 
driver who transports your shipment, or the mover's main office.

                     Subpart A--General Requirements

    The primary responsibility for your protection lies with you in 
selecting a reputable household goods carrier, ensuring you understand 
the terms and conditions of your contract with your mover, and 
understanding and pursuing the remedies that are available to you in 
case problems arise.

                    Who Must Follow the Regulations?

    The regulations inform motor carriers engaged in the interstate 
transportation of household goods (household goods motor carriers or 
movers) what standards they must follow when offering services to you. 
You, an individual shipper, are not directly subject to the regulations. 
However, your mover may be required by the regulations to demand that 
you pay on time. The regulations apply only to a mover that both 
transports your household goods by motor vehicle in interstate 
commerce--that is, when you are moving from one State to another--and 
provides certain types of additional services. The regulations do not 
apply when your interstate move takes place within a single commercial 
zone. A commercial zone is roughly equivalent to the local metropolitan

[[Page 128]]

area of a city or town. For example, a move between Brooklyn, NY, and 
Hackensack, NJ, would be considered within the New York City commercial 
zone and would not be subject to these regulations. Commercial zones are 
defined in 49 CFR part 372.

               What Definitions Are Used in This Pamphlet?

    Accessorial (Additional) Services--These are services such as 
packing, appliance servicing, unpacking, or piano stair carries that you 
request be performed (or that are necessary because of landlord 
requirements or other special circumstances). Charges for these services 
may be in addition to the line-haul charges.
    Advanced Charges--These are charges for services performed by 
someone other than the mover. A professional, craftsman, or other third 
party may perform these services at your request. The mover pays for 
these services and adds the charges to your bill of lading charges.
    Advertisement--This is any communication to the public in connection 
with an offer or sale of any interstate household goods transportation 
service. This will include written or electronic database listings of 
your mover's name, address, and telephone number in an online database 
or displayed on an Internet Web site. This excludes listings of your 
mover's name, address, and telephone number in a telephone directory or 
similar publication. However, Yellow Pages advertising is included 
within the definition.
    Agent--A local moving company authorized to act on behalf of a 
larger, national company.
    Appliance Service by Third Party--The preparation of major 
electrical appliances to make them safe for shipment. Charges for these 
services may be in addition to the line-haul charges.
    Bill of Lading--The receipt for your goods and the contract for 
their transportation.
    Carrier--The mover transporting your household goods.
    Collect on Delivery (COD)--This means payment is required at the 
time of delivery at the destination residence (or warehouse).
    Certified Scale--Any scale designed for weighing motor vehicles, 
including trailers or semi-trailers not attached to a tractor, and 
certified by an authorized scale inspection and licensing authority. A 
certified scale may also be a platform or warehouse type scale that is 
properly inspected and certified.
    Estimate, Binding--This is a written agreement made in advance with 
your mover. It guarantees the total cost of the move based upon the 
quantities and services shown on the estimate.
    Estimate, Non-Binding--This is what your mover believes the cost 
will be, based upon the estimated weight of the shipment and the 
accessorial services requested. A non-binding estimate is not binding on 
the mover. The final charges will be based upon the actual weight of 
your shipment, the services provided, and the tariff provisions in 
effect.
    Expedited Service--This is an agreement with the mover to perform 
transportation by a set date in exchange for charges based upon a higher 
minimum weight.
    Flight Charge--A charge for carrying items up or down flights of 
stairs. Charges for these services may be in addition to the line-haul 
charges.
    Guaranteed Pickup and Delivery Service--An additional level of 
service featuring guaranteed dates of service. Your mover will provide 
reimbursement to you for delays. This premium service is often subject 
to minimum weight requirements.
    High-Value Article--These are items included in a shipment valued at 
more than $100 per pound ($220 per kilogram).
    Household Goods, as used in connection with transportation, means 
the personal effects or property used, or to be used, in a dwelling, 
when part of the equipment or supplies of the dwelling. Transportation 
of the household goods must be arranged and paid for by you or by 
another individual on your behalf. This may include items moving from a 
factory or store when you purchase them to use in your dwelling. You 
must request that these items be transported, and you (or another 
individual on your behalf) must pay the transportation charges to the 
mover.
    Household Goods Motor Carrier means a motor carrier that, in the 
ordinary course of its business of providing transportation of household 
goods, offers some or all of the following additional services: (1) 
Binding and non-binding estimates, (2) Inventory, (3) Protective packing 
and unpacking of individual items at personal residences, and (4) 
Loading and unloading at personal residences. The term does not include 
a motor carrier when the motor carrier provides transportation of 
household goods in containers or trailers that are entirely loaded and 
unloaded by an individual other than an employee or agent of the motor 
carrier.
    Individual Shipper--Any person who--
    1. Is the shipper, consignor, or consignee of a household goods 
shipment;
    2. Is identified as the shipper, consignor, or consignee on the face 
of the bill of lading;
    3. Owns the goods being transported; and
    4. Pays his or her own tariff transportation charges.
    Impracticable Operations generally refer to services required when 
operating conditions make it physically impossible for the motor carrier 
to perform pickup or delivery with its normally assigned road-haul 
equipment, so that the carrier must use smaller equipment and/or 
additional labor to complete pickup or delivery of the shipment. A mover

[[Page 129]]

may require payment of additional charges for impracticable operations 
even if you do not request these services. The specific services 
considered to be impracticable operations by your mover are defined in 
your mover's tariff.
    Inventory--The detailed descriptive list of your household goods 
showing the number and condition of each item.
    Line-Haul Charges--The charges for the vehicle transportation 
portion of your move. These charges, if separately stated, apply in 
addition to the accessorial service charges.
    Long Carry--A charge for carrying articles excessive distances 
between the mover's vehicle and your residence. Charges for these 
services may be in addition to the line-haul charges.
    May--An option. You or your mover may do something, but it is not a 
requirement.
    Mover--A household goods motor carrier and its household goods 
agents.
    Must--A legal obligation. You or your mover must do something.
    Order for Service--The document authorizing the mover to transport 
your household goods.
    Order (Bill of Lading) Number--The number used to identify and track 
your shipment.
    Peak Season Rates--Higher line-haul charges applicable during the 
summer months.
    Pickup and Delivery Charges--Separate transportation charges 
applicable to transporting your shipment between the storage-in-transit 
warehouse and your residence.
    Reasonable Dispatch--The performance of transportation on the dates, 
or during the period of time, agreed upon by you and your mover and 
shown on the Order for Service/Bill of Lading. For example, if your 
mover deliberately withholds any shipment from delivery after you offer 
to pay the binding estimate or up to 110 percent of a non-binding 
estimate, plus any charges for additional services you requested that 
were not included in the estimate and/or permissible charges for 
impracticable operations, your mover has not transported the goods with 
reasonable dispatch. The term ''reasonable dispatch`` excludes 
transportation provided under your mover's tariff provisions requiring 
guaranteed service dates. Your mover will have the defense of force 
majeure, i.e., that the contract cannot be performed owing to causes 
that are outside the control of the parties and could not be avoided by 
exercise of due care.
    Should--A recommendation. We recommend you or your mover do 
something, but it is not a requirement.
    Shuttle Service--The use of a smaller vehicle to provide service to 
residences not accessible to the mover's normal line-haul vehicles.
    Storage-In-Transit (SIT)--The temporary warehouse storage of your 
shipment pending further transportation, with or without notification to 
you. If you (or someone representing you) cannot accept delivery on the 
agreed-upon date or within the agreed-upon time period (for example, 
because your home is not quite ready to occupy), your mover may place 
your shipment into SIT without notifying you. In those circumstances, 
you will be responsible for the added charges for SIT service, as well 
as the warehouse handling and final delivery charges. However, your 
mover also may place your shipment into SIT if your mover was able to 
make delivery before the agreed-upon date (or before the first day of 
the agreed-upon delivery period) but you did not concur with early 
delivery. In those circumstances, your mover must notify you immediately 
of the SIT, and your mover is fully responsible for redelivery charges, 
handling charges, and storage charges.
    Surface Transportation Board--An agency within the U.S. Department 
of Transportation that regulates household goods carrier tariffs, among 
other responsibilities. The Surface Transportation Board's address is 
395 E Street, SW., Washington, DC 20423-0001. Tele. 202-245-0245.
    Tariff--An issuance (in whole or in part) containing rates, rules, 
regulations, classifications, or other provisions. The Surface 
Transportation Board requires that a tariff contain three specific 
items. First, an accurate description of the services the mover offers 
to the public. Second, the specific applicable rates (or the basis for 
calculating the specific applicable rates) and service terms for 
services offered to the public. Third, the mover's tariff must be 
arranged in a way that allows you to determine the exact rate(s) and 
service terms applicable to your shipment.
    Valuation--The degree of worth of the shipment. The valuation charge 
compensates the mover for assuming a greater degree of liability than is 
provided for in its base transportation charges.
    Warehouse Handling--A charge may be applicable each time SIT service 
is provided. Charges for these services may be in addition to the line-
haul charges. This charge compensates the mover for the physical 
placement and removal of items within the warehouse.
    We, Us, and Our--The Federal Motor Carrier Safety Administration 
(FMCSA).
    You and Your--You are an individual shipper of household goods. You 
are a consignor or consignee of a household goods shipment and your 
mover identifies you as such in the bill of lading contract. You own the 
goods being transported and pay the transportation charges to the mover.
    Where may other terms used in this pamphlet be defined? You may find 
other terms used in this pamphlet defined in 49 U.S.C. 13102. The

[[Page 130]]

statute controls the definitions in this pamphlet. If terms are used in 
this pamphlet and the terms are defined neither here nor in 49 U.S.C. 
13102, the terms will have the ordinary practical meaning of such terms.

          Subpart B--Before Requesting Services From Any Mover

  What Is My Mover's Normal Liability for Loss or Damage When My Mover 
                         Accepts Goods From Me?

    In general, your mover is legally liable for loss or damage that 
occurs during performance of any transportation of household goods and 
of all related services identified on your mover's lawful bill of 
lading.
    Your mover is liable for loss of, or damage to, any household goods 
to the extent provided in the current Surface Transportation Board's 
Released Rates Order. You may obtain a copy of the current Released 
Rates Order by contacting the Surface Transportation Board at the 
address provided under the definition of the Surface Transportation 
Board. The rate may be increased annually by your mover based on the 
U.S. Department of Commerce's Cost of Living Adjustment. Your mover may 
have additional liability if your mover sells liability insurance to 
you.
    All moving companies are required to assume liability for the value 
of the goods transported. However, there are different levels of 
liability, and you should be aware of the amount of protection provided 
and the charges for each option.
    Basically, most movers offer two different levels of liability under 
the terms of their tariffs and the Surface Transportation Board's 
Released Rates Orders. These orders govern the moving industry. The 
levels of liability are as follows:
    (1) FULL VALUE PROTECTION (FVP). This is the most comprehensive 
option available for the protection of your goods. Unless you waive 
full-value protection in writing and agree to Release Value Protection 
as described below, your shipment will be transported under your mover's 
full (replacement) value level of liability. If any article is lost, 
destroyed, or damaged while in your mover's custody, your mover will, at 
its option, either: repair the article to the extent necessary to 
restore it to the same condition as when it was received by your mover, 
or pay you for the cost of such repairs; replace the article with an 
article of like kind; or pay you for the cost of a replacement article 
at the current market replacement value, regardless of the age of the 
lost or damaged article. Your mover will charge you for this level of 
protection, or you may select the Alternative Level of Liability 
described below.
    The cost for FVP is based on the value that you place on your 
shipment. For example, the valuation charge for a shipment valued at 
$25,000 would be about $250.00. However, the exact cost for full-value 
protection may vary by mover and may be further subject to various 
deductible levels of liability that could reduce your cost. Ask your 
mover for the details and cost of its specific plan.
    Under the FVP level of liability, movers are permitted to limit 
their liability for loss of, or damage to, articles of extraordinary 
value, unless you specifically list on the shipping documents such 
articles for which you want liability coverage. An article of 
extraordinary value is any item whose value exceeds $100 per pound (for 
example, jewelry, silverware, china, furs, antiques, oriental rugs and 
computer software). Ask your mover for a complete explanation of this 
limitation before your move. It is your responsibility to study this 
provision carefully and to make the necessary declaration.
    (2) RELEASED VALUE of 60 Cents Per Pound Per Article. This is the 
most economical protection option available; however, this no-cost 
option provides only minimal protection. Under this option, the mover 
assumes liability for no more than 60 cents per pound per article. Loss 
or damage claims are settled based on the weight of the article 
multiplied by 60 cents per pound. For example, if a 10-pound stereo 
component valued at $1,000 were lost or destroyed, the mover would be 
liable for no more than $6.00 (10 pounds x 60 cents per pound). 
Obviously, you should think carefully before agreeing to such an 
arrangement. There is no extra charge for this minimal protection, but 
you must sign a specific statement on the bill of lading agreeing to it. 
If you do not select this Alternative Level of Liability, your shipment 
will be transported at the Full (Replacement) Value level of liability 
and you will be assessed the applicable valuation charge.
    These two levels of liability are not insurance agreements governed 
by State insurance laws but instead are contractual tariff levels of 
liability authorized under Released Rates Orders of the Surface 
Transportation Board of the U.S. Department of Transportation.
    In addition to these options, some movers may also offer to sell, or 
procure for you, separate liability insurance from a third-party 
insurance company when you release your shipment for transportation at 
the minimum released value (60 cents per pound [$1.32 per kilogram] per 
article). This is not valuation coverage governed by Federal law but 
optional insurance regulated under State law. If you purchase this 
separate coverage and your mover is responsible for loss or damage, the 
mover is liable only for an amount not exceeding 60 cents per pound 
($1.32 per kilogram) per article, and the balance of the loss is 
recoverable from the insurance company up to the amount of insurance 
purchased. The mover's representative can advise you of the availability 
of such liability insurance, and the cost.

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    If you purchase liability insurance from or through your mover, the 
mover is required to issue a policy or other written record of the 
purchase and to provide you with a copy of the policy or other document 
at the time of purchase. If the mover fails to comply with this 
requirement, the mover becomes fully liable for any claim for loss or 
damage attributed to its negligence.

     What Actions by Me Limit or Reduce My Mover's Normal Liability?

    Your actions may limit or reduce your mover's normal liability under 
the following three circumstances:
    (1) You include perishable, dangerous, or hazardous materials in 
your household goods without your mover's knowledge.
    (2) You choose the alternative level of liability (60 cents per 
pound per article) but ship household goods valued at more than 60 cents 
per pound ($1.32 per kilogram) per article.
    (3) You fail to notify your mover in writing of articles valued at 
more than $100 per pound ($220 per kilogram). (If you do notify your 
mover, you will be entitled to full recovery up to the declared value of 
the article or articles, not to exceed the declared value of the entire 
shipment.)

 What Are Dangerous or Hazardous Materials That May Limit or Reduce My 
                        Mover's Normal Liability?

    Federal law forbids you to ship hazardous materials in your 
household goods boxes or luggage without informing your mover. A 
violation can result in 5 years' imprisonment and penalties of $250,000 
or more (49 U.S.C. 5124). You could also lose or damage your household 
goods by fire, explosion, or contamination.
    If you offer hazardous materials to your mover, you are considered a 
hazardous materials shipper and must comply with the hazardous materials 
requirements in 49 CFR parts 171, 172, and 173, including but not 
limited to package labeling and marking, shipping papers, and emergency 
response information. Your mover must comply with 49 CFR parts 171, 172, 
173, and 177 as a hazardous materials carrier.
    Hazardous materials include explosives, compressed gases, flammable 
liquids and solids, oxidizers, poisons, corrosives, and radioactive 
materials. Examples: Nail polish remover, paints, paint thinners, 
lighter fluid, gasoline, fireworks, oxygen bottles, propane cylinders, 
automotive repair and maintenance chemicals, and radio-pharmaceuticals.
    There are special exceptions for small quantities (up to 70 ounces 
total) of medicinal and toilet articles carried in your household goods 
and certain smoking materials carried on your person. For further 
information, contact your mover.

                        May My Mover Have Agents?

    Yes, your mover may have agents. If your mover has agents, your 
mover must have written agreements with its prime agents. Your mover and 
its retained prime agent must sign their agreements. Copies of your 
mover's prime agent agreements must be in your mover's files for a 
period of at least 24 months following the date of termination of each 
agreement.

            What Items Must Be in My Mover's Advertisements?

    Your mover must publish and use only truthful, straightforward, and 
honest advertisements. Your mover must include certain information in 
all advertisements for all services (including any accessorial services 
incidental to or part of interstate transportation). Your mover must 
require each of its agents to include the same information in its 
advertisements. The information must include the following two pieces of 
information about your mover:
    (1) Name or trade name of the mover under whose U.S. DOT number the 
advertised service will originate.
    (2) U.S. DOT number assigned by FMCSA authorizing your mover to 
operate. Your mover must display the information as: U.S. DOT No. 
(assigned number).
    You should compare the name or trade name of the mover and its U.S. 
DOT number to the name and U.S. DOT number on the sides of the truck(s) 
that arrive at your residence. The names and numbers should be 
identical. If the names and numbers are not identical, you should ask 
your mover immediately why they are not. You should not allow the mover 
to load your household goods on its truck(s) until you obtain a 
satisfactory response from the mover's local agent. The discrepancies 
may warn of problems you will have later in your business dealings with 
this mover.

           How Must My Mover Handle Complaints and Inquiries?

    All movers are expected to respond promptly to complaints or 
inquiries from you, the customer. Should you have a complaint or 
question about your move, you should first attempt to obtain a 
satisfactory response from the mover's local agent, the sales 
representative who handled the arrangements for your move, or the driver 
assigned to your shipment.
    If for any reason you are unable to obtain a satisfactory response 
from one of these persons, you should then contact the mover's principal 
office. When you make such a call, be sure to have available your copies 
of all documents relating to your move. Particularly important is the 
number assigned to your shipment by your mover.

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    Interstate movers are also required to offer neutral arbitration as 
a means of resolving consumer disputes involving loss of or damage to 
your household goods shipment and disputes regarding charges that your 
mover billed in addition to those collected at delivery. Your mover is 
required to provide you with information regarding its arbitration 
program. You have the right to pursue court action under 49 U.S.C. 14706 
to seek judicial redress directly rather than participate in your 
mover's arbitration program.
    All interstate moving companies are required to maintain a complaint 
and inquiry procedure to assist their customers. At the time you make 
the arrangements for your move, you should ask the mover's 
representative for a description of the mover's procedure, the telephone 
number to be used to contact the mover, and whether the mover will pay 
for such telephone calls. Your mover's procedure must include the 
following four things:
    (1) A communications system allowing you to communicate with your 
mover's principal place of business by telephone.
    (2) A telephone number.
    (3) A clear and concise statement about who must pay for complaint 
and inquiry telephone calls.
    (4) A written or electronic record system for recording all 
inquiries and complaints received from you by any means of 
communication.
    Your mover must give you a clear and concise written description of 
its procedure. You may want to be certain that the system is in place.

Do I Have the Right to Inspect My Mover's Tariffs (Schedules of Charges) 
                         Applicable to My Move?

    Federal law requires your mover to advise you of your right to 
inspect your mover's tariffs (its schedules of rates or charges) 
governing your shipment. Movers' tariffs are made a part of the contract 
of carriage (bill of lading) between you and the mover. You may inspect 
the tariff at the mover's facility, or, upon request, the mover will 
furnish you a free copy of any tariff provision containing the mover's 
rates, rules, or charges governing your shipment.
    Tariffs may include provisions limiting the mover's liability. This 
is generally described in a section on declaring value on the bill of 
lading. A second tariff provision may set the periods for filing claims. 
This is generally described in Section 6 on the reverse side of a bill 
of lading. A third tariff provision may reserve your mover's right to 
assess additional charges for additional services performed. For non-
binding estimates, another tariff provision may base charges upon the 
exact weight of the goods transported. Your mover's tariff may contain 
other provisions that apply to your move. Ask your mover what they might 
be, and request a copy.

               Must My Mover Have an Arbitration Program?

    Your mover must have an arbitration program for your use in 
resolving disputes concerning loss of or damage to your household goods 
and disputes regarding charges that were billed to you in addition to 
those collected at delivery of your shipment. You have the right not to 
participate in the arbitration program. You may pursue court action 
under 49 U.S.C. 14706 to seek judicial remedies directly. Your mover 
must establish and maintain an arbitration program with the following 11 
minimum elements:
    (1) The arbitration program offered to you must prevent your mover 
from having any special advantage because you live or work in a place 
distant from the mover's principal or other place of business.
    (2) Before your household goods are tendered for transport, your 
mover must provide notice to you of the availability of neutral 
arbitration, including the following three things:
    (a) A summary of the arbitration procedure.
    (b) Any applicable costs.
    (c) A disclosure of the legal effects of electing to use 
arbitration.
    (3) Upon your request, your mover must provide information and forms 
it considers necessary for initiating an action to resolve a dispute 
under arbitration.
    (4) Each person authorized to arbitrate must be independent of the 
parties to the dispute and capable of resolving such disputes fairly and 
expeditiously. Your mover must ensure the arbitrator is authorized and 
able to obtain from you or your mover any material or relevant 
information to carry out a fair and expeditious decision-making process.
    (5) You must not be required to pay more than one-half of the 
arbitration's cost. The arbitrator may determine the percentage of 
payment of the costs for each party in the arbitration decision, but 
must not make you pay more than half.
    (6) Your mover must not require you to agree to use arbitration 
before a dispute arises.
    (7) You and your mover will be bound by arbitration for claims of 
$10,000 or less if you request arbitration.
    (8) You and your mover will be bound by arbitration for claims of 
more than $10,000 only if you request arbitration and your mover agrees 
to it.
    (9) If you and your mover both agree, the arbitrator may provide for 
an oral presentation of a dispute by a party or representative of a 
party.

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    (10) The arbitrator must render a decision within 60 days of receipt 
of written notification of the dispute, and a decision by an arbitrator 
may include any remedies appropriate under the circumstances.
    (11) The 60-day period may be extended for a reasonable period if 
either you or your mover fails to provide information in a timely 
manner. Your mover must produce and distribute a concise, easy-to-read, 
accurate summary of its arbitration program.

   Must My Mover Inform Me About My Rights and Responsibilities Under 
                              Federal Law?

    Yes, your mover must inform you about your rights and 
responsibilities under Federal law. Your mover must produce and 
distribute this document. It should follow the general order and contain 
the text of appendix A to 49 CFR part 375.

            What Other Information Must My Mover Provide Me?

    At the time your mover provides a written estimate, it must provide 
you with a copy of the U.S. Department of Transportation publication 
FMCSA-ESA-03-005 entitled ``Ready to Move?'' (or its successor 
publication). Before your mover executes an order for service for a 
shipment of household goods, your mover must furnish you with the 
following four documents:
    1. The contents of Appendix A, ''Your Rights and Responsibilities 
When You Move''--this booklet.
    2. A concise, easy-to-read, and accurate summary of your mover's 
arbitration program.
    3. A notice of availability of the applicable sections of your 
mover's tariff for the estimate of charges, including an explanation 
that you may examine the tariff sections or have copies sent to you upon 
request.
    4. A concise, easy-to-read, accurate summary of your mover's 
customer complaint and inquiry handling procedures. Included in this 
summary must be the following two items:
    (a) The main telephone number you may use to communicate with your 
mover.
    (b) A clear and concise statement concerning who must pay for 
telephone calls.
    Your mover may, at its discretion, provide additional information to 
you.

                   How Must My Mover Collect Charges?

    Your mover must issue you an honest, truthful freight or expense 
bill for each shipment transported. Your mover's freight or expense bill 
must contain the following 17 items:
    (1) Name of the consignor.
    (2) Name of the consignees.
    (3) Date of the shipment.
    (4) Origin point.
    (5) Destination points.
    (6) Number of packages.
    (7) Description of the freight.
    (8) Weight of the freight (if your shipment is moved under a non-
binding estimate).
    (9) Exact rate(s) assessed.
    (10) Disclosure of the actual rates, charges, and allowances for the 
transportation service, when your mover electronically presents or 
transmits freight or expense bills to you. These rates must be in 
accordance with the mover's applicable tariff.
    (11) An indication of whether adjustments may apply to the bill.
    (12) Total charges due and acceptable methods of payment.
    (13) The nature and amount of any special service charges.
    (14) The points where special services were rendered.
    (15) Route of movement and name of each mover participating in the 
transportation.
    (16) Transfer points where shipments moved.
    (17) Address where you must pay or address of bill issuer's 
principal place of business.
    Your mover must present its freight or expense bill to you within 15 
days of the date of delivery of a shipment at its destination. The 
computation of time excludes Saturdays, Sundays, and Federal holidays. 
If your mover lacks sufficient information to compute its charges, your 
mover must present its freight bill for payment within 15 days of the 
date when sufficient information does become available.

               May My Mover Collect Charges Upon Delivery?

    Yes. Your mover must specify the form of payment acceptable at 
delivery when the mover prepares an estimate and order for service. The 
mover and its agents must honor the form of payment at delivery, except 
when you mutually agree to a change in writing. The mover must also 
specify the same form of payment when it prepares your bill of lading, 
unless you agree to a change. See also ``May my mover accept charge or 
credit cards for my payments?''
    You must be prepared to pay 10 percent more than the estimated 
amount, if your goods are moving under a non-binding estimate. Every 
collect-on-delivery shipper must have available 110 percent of the 
estimate at the time of delivery. In addition, your mover may also 
collect at the time of delivery the charges for any additional services 
you requested after the contract with your mover was executed (charges 
therefore not included in the estimate) and any charges for 
impracticable operations needed to accomplish delivery, as defined by 
the carrier's tariff. Charges collected at the time of delivery for 
impracticable operations must not exceed 15 percent of all other charges 
due at the time of delivery. You must pay all remaining

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charges for impracticable operations within 30 days after you receive 
the mover's freight bill.

                    May My Mover Extend Credit to Me?

    Extending credit to you is not the same as accepting your charge or 
credit card(s) as payment. Your mover may extend credit to you in the 
amount of the tariff charges. If your mover extends credit to you, your 
mover becomes like a bank offering you a line of credit, whose size and 
interest rate are determined by your ability to pay its tariff charges 
within the credit period. Your mover must ensure you will pay its tariff 
charges within the credit period. Your mover may relinquish possession 
of freight before you pay its tariff charges, at its discretion.
    The credit period must begin on the day following presentation of 
your mover's freight bill to you. Under Federal regulation, the standard 
credit period is 7 days, excluding Saturdays, Sundays, and Federal 
holidays. Your mover must also extend the credit period to a total of 30 
calendar days if the freight bill is not paid within the 7-day period. A 
service charge equal to one percent of the amount of the freight bill, 
subject to a $20 minimum, will be assessed for this extension and for 
each additional 30-day period the charges go unpaid.
    Your failure to pay within the credit period will require your mover 
to determine whether you will comply with the Federal household goods 
transportation credit regulations in good faith in the future before 
extending credit again.

       May My Mover Accept Charge or Credit Cards for My Payments?

    Your mover may allow you to use a charge or credit card for payment 
of the freight charges. Your mover may accept charge or credit cards 
whenever you ship with it under an agreement and tariff requiring 
payment by cash or cash equivalents. Cash equivalents are a certified 
check, money order, or cashier's check (a check that a financial 
institution--bank, credit union, savings and loan--draws upon itself and 
that is signed by an officer of the financial institution).
    If your mover allows you to pay for a freight or expense bill by 
charge or credit card, your mover deems such a payment to be equivalent 
to payment by cash, certified check, or cashier's check. It must note in 
writing on the order for service and the bill of lading whether you may 
pay for the transportation and related services using a charge or credit 
card. You should ask your mover at the time the estimate is written 
whether it will accept charge or credit cards at delivery.
    The mover must specify what charge or credit cards it will accept, 
such as American Express \TM\, Discover \TM\, MasterCard \TM\, or Visa 
\TM\. If your mover agrees to accept payment by charge or credit card, 
you must arrange with your mover for the delivery only at a time when 
your mover can obtain authorization for your credit card transaction. If 
you cause a charge or credit card issuer to reverse a transaction, your 
mover may consider your action tantamount to forcing your mover to 
provide an involuntary extension of its credit.

                   Subpart C--Service Options Provided

               What Service Options May My Mover Provide?

    Your mover may provide any service options it chooses. It is 
customary for movers to offer several price and service options.
    The total cost of your move may increase if you want additional or 
special services. Before you agree to have your shipment moved under a 
bill of lading providing special service, you should have a clear 
understanding with your mover of what the additional cost will be. You 
should always consider whether other movers might provide the services 
you need without requiring you to pay the additional charges.
    One service option is a space reservation. If you agree to have your 
shipment transported under a space reservation agreement, you will pay 
for a minimum number of cubic feet of space in the moving van regardless 
of how much space in the van your shipment actually occupies.
    A second option is expedited service. This aids you if you must have 
your shipments transported on or between specific dates when the mover 
could not ordinarily agree to do so in its normal operations.
    A third customary service option is exclusive use of a vehicle. If 
for any reason you desire or require that your shipment be moved by 
itself on the mover's truck or trailer, most movers will provide such 
service.
    Another service option is guaranteed service on or between agreed 
dates. You enter into an agreement with the mover where the mover 
provides for your shipment to be picked up, transported to destination, 
and delivered on specific guaranteed dates. If the mover fails to 
provide the service as agreed, you are entitled to be compensated at a 
predetermined amount or a daily rate (per diem) regardless of the 
expense you might actually have incurred as a result of the mover's 
failure to perform.
    Before requesting or agreeing to any of these price and service 
options, be sure to ask the mover's representatives about the final 
costs you will pay.

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             Transport of Shipments on Two or More Vehicles

    Although all movers try to move each shipment on one truck, it 
becomes necessary, at times, to divide a shipment among two or more 
trucks. This may occur if your mover has underestimated the cubic feet 
(meters) of space required for your shipment and it will not all fit on 
the first truck. Your mover will pick up the remainder, or ``leave 
behind,'' on a second truck at a later time, and this part of your 
shipment may arrive at the destination later than the first truck. When 
this occurs, your transportation charges will be determined as if the 
entire shipment had moved on one truck.
    If it is important for you to avoid this inconvenience of a ``leave 
behind,'' be sure your estimate includes an accurate calculation of the 
cubic feet (meters) required for your shipment. Ask your estimator to 
use a ``Table of Measurements'' form in making this calculation. 
Consider asking for a binding estimate. A binding estimate is more 
likely to be conservative with regard to cubic feet (meters) than a non-
binding estimate. If the mover offers space reservation service, 
consider purchasing this service for the necessary amount of space plus 
some margin for error. In any case, you would be prudent to 
``prioritize'' your goods in advance of the move so the driver will load 
the more essential items on the first truck if some are left behind.

 If My Mover Sells Liability Insurance Coverage, What Must My Mover Do?

    If your mover provides the service of selling additional liability 
insurance, your mover must follow certain regulations.
    Your mover, its employees, or its agents may sell, offer to sell, or 
procure additional liability insurance coverage for you for loss of or 
damage to your shipment if you release the shipment for transportation 
at a value not exceeding 60 cents per pound ($1.32 per kilogram) per 
article.
    Your mover may offer, sell, or procure any type of insurance policy 
covering loss or damage in excess of its specified liability.
    Your mover must issue you a policy or other appropriate evidence of 
the insurance you purchased. Your mover must provide a copy of the 
policy or other appropriate evidence to you at the time your mover sells 
or procures the insurance. Your mover must issue policies written in 
plain English.
    Your mover must clearly specify the nature and extent of coverage 
under the policy. Your mover's failure to issue you a policy, or other 
appropriate evidence of insurance you purchased, will subject your mover 
to full liability for any claims to recover loss or damage attributed to 
it.
    Your mover's tariff must provide for liability insurance coverage. 
The tariff must also provide for the base transportation charge, 
including its assumption of full liability for the value of the 
shipment. This would offer you a degree of protection in the event your 
mover fails to issue you a policy or other appropriate evidence of 
insurance at the time of purchase.

                      Subpart D--Estimating Charges

Must My Mover Estimate the Transportation and Accessorial Charges for My 
                                  Move?

    We require your mover to prepare a written estimate on every 
shipment transported for you. You are entitled to a copy of the written 
estimate when your mover prepares it. Your mover must provide you a 
written estimate of all charges, including transportation, accessorial, 
and advance charges. Your mover's ``rate quote'' is not an estimate. You 
and your mover must sign the estimate of charges. Your mover must 
provide you with a dated copy of the estimate of charges at the time you 
sign the estimate.
    If the location you are moving from is within a 50-mile radius of 
your mover's (or its agent's) place of business, the estimate that your 
mover provides you must be based on a physical survey of your goods. You 
have the right to waive the requirement for a physical survey if you 
choose, but your waiver must be in the form of a written agreement 
signed by you before your shipment is loaded.
    You should be aware that if you receive an estimate from a household 
goods broker, the mover may not be required to accept the estimate. Be 
sure to obtain a written estimate from a mover who tells you orally that 
it will accept the broker's estimate.
    Your mover must specify the form of payment the mover and its 
delivering agent will honor at delivery. Payment forms may include but 
are not limited to cash, certified check, money order, cashier's check, 
a specific charge card such as American Express \TM\, a specific credit 
card such as Visa \TM\, and your mover's own credit.
    Before loading your household goods, and upon mutual agreement 
between you and your mover, your mover may amend an estimate of charges. 
Your mover may not amend the estimate after loading the shipment.
    A binding estimate is a written agreement made in advance with your 
mover, indicating you and the mover are bound by the charges. It 
guarantees the total cost of the move based upon the quantities and 
services shown on your mover's estimate.
    A non-binding estimate is what your mover believes the total cost 
will be for the move, based upon the estimated weight of the shipment 
and the accessorial services requested. A non-binding estimate is not 
binding on your mover. Your mover will base the final

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charges upon the actual weight of your shipment, the services provided, 
and its tariff provisions in effect. You must be prepared to pay 10 
percent more than the estimated amount at delivery.
    You must also be prepared to pay at delivery the charges for any 
additional services you requested after the contract was executed 
(charges therefore not included in the estimate) and any charges for 
impracticable operations. Impracticable operations are defined in your 
mover's tariff. You should ask to see the mover's tariff to determine 
what services constitute impracticable operations. Charges for 
impracticable operations due at delivery must not exceed 15 percent of 
all other charges due at delivery.

        How Must My Mover Estimate Charges Under the Regulations?

                            Binding Estimates

    Your mover may charge you for providing a binding estimate. The 
binding estimate must clearly describe the shipment and all services 
provided.
    When you receive a binding estimate, you cannot be required to pay 
any more than the estimated amount at delivery. If you have requested 
the mover provide more services than those included in the estimate, 
your mover will collect the charges for those services when your 
shipment is delivered. However, charges for impracticable operations due 
at delivery must not exceed 15 percent of all other charges due at 
delivery.
    A binding estimate must be in writing, and a copy must be made 
available to you before you move.
    If you agree to a binding estimate, you are responsible for paying 
the charges due by cash, certified check, money order, or cashier's 
check. The charges are due your mover at the time of delivery unless 
your mover agrees, before you move, to extend credit or to accept 
payment by a specific charge card such as American Express \TM\ or a 
specific credit card such as Visa \TM\. If you are unable to pay at the 
time the shipment is delivered, the mover may place your shipment in 
storage at your expense until you pay the charges.
    Other requirements of binding estimates include the following eight 
elements:
    (1) Your mover must retain a copy of each binding estimate as an 
attachment to the bill of lading.
    (2) Your mover must clearly indicate upon each binding estimate's 
face that the estimate is binding upon you and your mover. Each binding 
estimate must also clearly indicate on its face that the charges shown 
are the charges to be assessed for only those services specifically 
identified in the estimate.
    (3) Your mover must clearly describe binding estimate shipments and 
all services to be provided.
    (4) If, before loading your shipment, your mover believes you are 
tendering additional household goods or are requiring additional 
services not identified in the binding estimate, and you and your mover 
cannot reach an agreement, your mover may refuse to service the 
shipment. If your mover agrees to service the shipment, your mover must 
do one of the following three things:
    (a) Reaffirm the binding estimate.
    (b) Negotiate a revised written binding estimate listing the 
additional household goods or services.
    (c) Add an attachment to the contract, in writing, stating you both 
will consider the original binding estimate as a non-binding estimate. 
Before you agree to this option, read the information about non-binding 
estimates in the next section of this pamphlet. Accepting a non-binding 
estimate may seriously affect how much you may pay for the entire move.
    (5) Once your mover loads your shipment, your mover's failure to 
execute a new binding estimate or to agree with you to treat the 
original estimate as a non-binding estimate signifies it has reaffirmed 
the original binding estimate. Your mover may not collect more than the 
amount of the original binding estimate, except as provided in the next 
two paragraphs.
    (6) If you request additional services after the bill of lading is 
executed, your mover will collect the charges for these additional 
services when your shipment is delivered.
    (7) If your mover must perform impracticable operations, as defined 
in its tariff, to accomplish the delivery of your shipment, your mover 
will collect the charges for these services when your shipment is 
delivered. However, charges for impracticable operations collected at 
delivery must not exceed 15 percent of all other charges due at 
delivery. Any remaining impracticable operations charges must be paid 
within 30 days after you receive the mover's freight bill.
    (8) Failure of your mover to relinquish possession of a shipment 
upon your offer to pay the binding estimate amount plus the cost of any 
additional services you requested after the bill of lading was executed 
and any charges for impracticable operations (not to exceed 15 percent 
of all other charges due at delivery) constitutes your mover's failure 
to transport a shipment with ``reasonable dispatch'' and subjects your 
mover to cargo delay claims pursuant to 49 CFR part 370.

                          Non-Binding Estimates

    Your mover is not permitted to charge you for giving a non-binding 
estimate.
    A non-binding estimate is not a bid or contract. Your mover provides 
it to you to give you a general idea of the cost of the move,

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but it does not bind your mover to the estimated cost. You should expect 
the final cost to be more than the estimate. The actual cost will be in 
accordance with your mover's tariffs. Federal law requires your mover to 
collect the charges shown in its tariffs, regardless of what your mover 
writes in its non-binding estimates. That is why it is important to ask 
for copies of the applicable portions of the mover's tariffs before 
deciding on a mover. The charges contained in movers' tariffs are 
essentially the same for shipments of equal weight moving equal 
distances. Even if you obtain different non-binding estimates from 
different movers, you must pay only the amount specified in your mover's 
tariff. Therefore, a non-binding estimate may differ substantially from 
the amount that you ultimately will pay.
    You must be prepared to pay 10 percent more than the estimated 
amount at the time of delivery. Every collect-on-delivery shipper must 
have available 110 percent of the estimate at the time of delivery. If 
you order additional services from your mover after the mover issues the 
bill of lading, the mover will collect the charges for those additional 
services when your shipment is delivered.
    Non-binding estimates must be in writing and clearly describe the 
shipment and all services provided. Any time a mover provides such an 
estimate, the amount of the charges estimated must be on the order for 
service and bill of lading related to your shipment. When you are given 
a non-binding estimate, do not sign or accept the order for service or 
bill of lading unless the mover enters the amount estimated on each form 
it prepares.
    Other requirements of non-binding estimates include the following 10 
elements:
    (1) Your mover must provide reasonably accurate non-binding 
estimates based upon the estimated weight of the shipment and services 
required.
    (2) Your mover must explain to you that all charges on shipments 
moved under non-binding estimates will be those appearing in your 
mover's tariffs applicable to the transportation. If your mover provides 
a non-binding estimate of approximate costs, your mover is not bound by 
such an estimate.
    (3) Your mover must furnish non-binding estimates without charge and 
in writing to you.
    (4) Your mover must retain a copy of each non-binding estimate as an 
attachment to the bill of lading.
    (5) Your mover must clearly indicate on the face of a non-binding 
estimate that the estimate is not binding upon your mover and the 
charges shown are the approximate charges to be assessed for the 
services identified in the estimate.
    (6) Your mover must clearly describe on the face of a non-binding 
estimate the entire shipment and all services to be provided.
    (7) If, before loading your shipment, your mover believes you are 
tendering additional household goods or requiring additional services 
not identified in the non-binding estimate, and you and your mover 
cannot reach an agreement, your mover may refuse to service the 
shipment. If your mover agrees to service the shipment, your mover must 
do one of the following two things:
    (a) Reaffirm the non-binding estimate.
    (b) Negotiate a revised written non-binding estimate listing the 
additional household goods or services.
    (8) Once your mover loads your shipment, your mover's failure to 
execute a new estimate signifies it has reaffirmed the original non-
binding estimate. Your mover may not collect more than 110 percent of 
the amount of this estimate at destination for the services and 
quantities shown on the estimate.
    (9) If you request additional services after the bill of lading is 
executed, your mover will collect the charges for these additional 
services when your shipment is delivered.
    (10) If your mover must perform impracticable operations, as defined 
in its tariff, to accomplish the delivery of your shipment, your mover 
will collect the charges for these services when your shipment is 
delivered. However, charges for impracticable operations collected at 
delivery must not exceed 15 percent of all other charges due at 
delivery. Any remaining impracticable operations charges must be paid 
within 30 days after you receive the mover's freight bill.
    If your mover furnishes a non-binding estimate, your mover must 
enter the estimated charges upon the order for service and the bill of 
lading. Your mover must retain a record of all estimates of charges for 
each move performed for at least one year from the date your mover made 
the estimate.

What Payment Arrangements Must My Mover Have in Place To Secure Delivery 
                     of My Household Goods Shipment?

    If your total bill is 110 percent or less of the non-binding 
estimate, the mover can require payment in full upon delivery. If the 
bill exceeds 110 percent of the non-binding estimate, your mover must 
relinquish possession of the shipment at the time of delivery upon 
payment of 110 percent of the estimated amount, and defer billing for 
the remaining charges for at least 30 days.
    There are two exceptions to this requirement. Your mover may demand 
at the time of delivery payment of the charges for any additional 
services you requested after the bill of lading was executed (charges 
therefore not included in the estimate). Your mover may also require you 
to pay charges for impracticable operations at the time of delivery, 
provided these do not exceed 15 percent of all other charges due at 
delivery. Impracticable operations charges that exceed 15 percent of all 
other charges due at delivery

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are due within 30 days after you receive the mover's freight bill. Your 
mover should have specified its acceptable form of payment on the 
estimate, order for service, and bill of lading.
    Your mover's failure to relinquish possession of a shipment after 
you offer to pay 110 percent of the estimated charges, plus the charges 
for any additional services you requested after the bill of lading was 
executed (charges therefore not included in the estimate) and any 
charges for impracticable operations (not to exceed 15 percent of all 
other charges due at delivery), constitutes its failure to transport the 
shipment with ``reasonable dispatch'' and subjects your mover to your 
cargo delay claims under 49 CFR part 370.

           Subpart E--Pickup of My Shipment of Household Goods

              Must My Mover Write Up an Order for Service?

    We require your mover to prepare an order for service on every 
shipment transported for you. You are entitled to a copy of the order 
for service when your mover prepares it.
    The order for service is not a contract. Should you cancel or delay 
your move or decide not to use the mover, you should promptly cancel the 
order.
    If you or your mover change any agreed-upon dates for pickup or 
delivery of your shipment, or agree to any change in the non-binding 
estimate, your mover may prepare a written change to the order for 
service. The written change must be attached to the order for service.
    The order for service must contain the following 15 elements:
    (1) Your mover's name and address and the U.S. DOT number assigned 
to your mover.
    (2) Your name, address and, if available, telephone number(s).
    (3) The name, address, and telephone number of the delivering 
mover's office or agent at or nearest to the destination of your 
shipment.
    (4) A telephone number where you may contact your mover or its 
designated agent.
    (5) One of the following three dates and times:
    (i) The agreed-upon pickup date and agreed delivery date of your 
move.
    (ii) The agreed-upon period(s) of the entire move.
    (iii) If your mover is transporting the shipment on a guaranteed 
service basis, the guaranteed dates or periods of time for pickup, 
transportation, and delivery. Your mover must enter any penalty or per 
diem requirements upon the agreement under this item.
    (6) The names and addresses of any other motor carriers, when known, 
that will participate in interline transportation of the shipment.
    (7) The form of payment your mover will honor at delivery. The 
payment information must be the same as was entered on the estimate.
    (8) The terms and conditions for payment of the total charges, 
including notice of any minimum charges.
    (9) The maximum amount your mover will demand, based on the mover's 
estimate, for you to obtain possession of the shipment at the time of 
delivery, when the household goods are transported on a collect-on-
delivery basis.
    (10) If not provided in the Bill of Lading, the Surface 
Transportation Board's required released rates valuation statement, and 
the charges, if any, for optional valuation coverage. The STB's required 
released rates may be increased annually by your mover based on the U.S. 
Department of Commerce's Cost of Living Adjustment.
    (11) A complete description of any special or accessorial services 
ordered and minimum weight or volume charges applicable to the shipment.
    (12) Any identification or registration number your mover assigns to 
the shipment.
    (13) For non-binding estimated charges, your mover's reasonably 
accurate estimate of the amount of the charges, the method of payment of 
total charges, and the maximum amount (110 percent of the non-binding 
estimate) your mover will demand at the time of delivery for you to 
obtain possession of the shipment.
    (14) For binding estimated charges, the amount of charges your mover 
will demand based upon the binding estimate and the terms of payment 
under the estimate.
    (15) An indication of whether you request notification of the 
charges before delivery. You must provide your mover with the telephone 
number(s) or address(es) where your mover will transmit such 
communications.
    You and your mover must sign the order for service. Your mover must 
provide a dated copy of the order for service to you at the time your 
mover signs the order. Your mover must provide you the opportunity to 
rescind the order for service without any penalty for a 3-day period 
after you sign the order for service, if you scheduled the shipment to 
be loaded more than 3 days after you sign the order.
    Your mover should provide you with documents that are as complete as 
possible, and with all charges clearly identified. However, as a 
practical matter, your mover usually cannot give you a complete bill of 
lading before transporting your goods. This is both because the shipment 
cannot be weighed until it is in transit and because other charges for 
service, such as unpacking, storage-in-transit, and various destination 
charges, cannot be determined until the shipment reaches its 
destination.

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    Therefore, your mover can require you to sign a partially complete 
bill of lading if it contains all relevant information except the actual 
shipment weight and any other information necessary to determine the 
final charges for all services provided. Signing the bill of lading 
allows you to choose the valuation option, request special services, 
and/or acknowledge the terms and conditions of released valuation.
    Your mover also may provide you, strictly for informational 
purposes, with blank or incomplete documents pertaining to the move. 
Before loading your shipment, and upon mutual agreement between you and 
your mover, your mover may amend an order for service. Your mover must 
retain records of an order for service it transported for at least one 
year from the date your mover wrote the order.
    Your mover must inform you, before or at the time of loading, if the 
mover reasonably expects a special or accessorial service is necessary 
to transport a shipment safely. Your mover must refuse to accept the 
shipment when your mover reasonably expects a special or accessorial 
service is necessary to transport a shipment safely but you refuse to 
purchase the special or accessorial service. Your mover must make a 
written note if you refuse any special or accessorial services that your 
mover reasonably expects to be necessary.

          Must My Mover Write Up an Inventory of the Shipment?

    Yes. Your mover must prepare an inventory of your shipment before or 
at the time of loading. If your mover's driver fails to prepare an 
inventory, you should write a detailed inventory of your shipment 
listing any damage or unusual wear to any items. The purpose is to make 
a record of the existence and condition of each item.
    After completing the inventory, you should sign each page and ask 
the mover's driver to sign each page. Before you sign it, it is 
important you make sure that the inventory lists every item in the 
shipment and that the entries regarding the condition of each item are 
correct. You have the right to note any disagreement. If an item is 
missing or damaged when your mover delivers the shipment, your 
subsequent ability to dispute the items lost or damaged may depend upon 
your notations.
    You should retain a copy of the inventory. Your mover may keep the 
original if the driver prepared it. If your mover's driver completed an 
inventory, the mover must attach the complete inventory to the bill of 
lading as an integral part of the bill of lading.

                Must My Mover Write Up a Bill of Lading?

    The bill of lading is the contract between you and the mover. The 
mover is required by law to prepare a bill of lading for every shipment 
it transports. The information on a bill of lading is required to be the 
same information shown on the order for service. The driver who loads 
your shipment must give you a copy of the bill of lading before or at 
the time of loading your furniture and other household goods.
    It is your responsibility to read the bill of lading before you 
accept it. It is your responsibility to understand the bill of lading 
before you sign it. If you do not agree with something on the bill of 
lading, do not sign it until you are satisfied it is correct.
    The bill of lading requires the mover to provide the service you 
have requested. You must pay the charges set forth in the bill of 
lading. The bill of lading is an important document. Do not lose or 
misplace your copy. Have it available until your shipment is delivered, 
all charges are paid, and all claims, if any, are settled.
    A bill of lading must include the following 14 elements:
    (1) Your mover's name and address, or the name and address of the 
motor carrier issuing the bill of lading.
    (2) The names and addresses of any other motor carriers, when known, 
who will participate in the transportation of the shipment.
    (3) The name, address, and telephone number of the office of the 
motor carrier you must contact in relation to the transportation of the 
shipment.
    (4) The form of payment your mover will honor at delivery. The 
payment information must be the same that was entered on the estimate 
and order for service.
    (5) When your mover transports your shipment under a collect-on-
delivery basis, your name, address, and telephone number where the mover 
will notify you about the charges.
    (6) For non-guaranteed service, the agreed-upon date or period of 
time for pickup of the shipment and the agreed-upon date or period of 
time for the delivery of the shipment. The agreed-upon dates or periods 
for pickup and delivery entered upon the bill of lading must conform to 
the agreed-upon dates or periods of time for pickup and delivery entered 
upon the order for service or a proper amendment to the order for 
service.
    (7) For guaranteed service, the dates for pickup and delivery and 
any penalty or per diem entitlements due you under the agreement.
    (8) The actual date of pickup.
    (9) The identification number(s) of the vehicle(s) in which your 
mover loads your shipment.

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    (10) The terms and conditions for payment of the total charges 
including notice of any minimum charges.
    (11) The maximum amount your mover, based on the estimate, will 
demand from you at the time of delivery for you to obtain possession of 
your shipment, when your mover transports under a collect-on-delivery 
basis.
    (12) If not provided for in the Order for Service, the Surface 
Transportation Board's required released rates valuation statement, and 
the charges, if any, for optional valuation coverage. The Board's 
required released rates may be increased annually by your mover based on 
the U.S. Department of Commerce's Cost of Living Adjustment.
    (13) Evidence of any insurance coverage sold to or procured for you 
from an independent insurer, including the amount of the premium for 
such insurance.
    (14) Each attachment to the bill of lading. Each attachment is an 
integral part of the bill of lading contract. If not provided to you 
elsewhere by the mover, the following three items must be added as 
attachments:
    (i) The binding or non-binding estimate.
    (ii) The order for service.
    (iii) The inventory.
    A copy of the bill of lading must accompany your shipment at all 
times while it is in the possession of your mover or its agent(s). When 
your mover loads the shipment on a vehicle for transportation, the bill 
of lading must be in the possession of the driver responsible for the 
shipment. Your mover must retain bills of lading for shipments it 
transported for at least one year from the date your mover created the 
bill of lading.

  Should I Reach an Agreement With My Mover About Pickup and Delivery 
                                 Times?

    You and your mover should reach an agreement for pickup and delivery 
times. It is your responsibility to determine on what date, or between 
what dates, you need to have the shipment picked up and on what date, or 
between what dates, you require delivery. It is your mover's 
responsibility to tell you if it can provide service on or between those 
dates, or, if not, on what other dates it can provide the service.
    In the process of reaching an agreement with your mover, you may 
find it necessary to alter your moving and travel plans if no mover can 
provide service on the specific dates you desire.
    Do not agree to have your shipment picked up or delivered ''as soon 
as possible.'' The dates or periods you and your mover agree upon should 
be definite.
    Once an agreement is reached, your mover must enter those dates upon 
the order for service and the bill of lading.
    Once your goods are loaded, your mover is contractually bound to 
provide the service described in the bill of lading. Your mover's only 
defense for not providing the service on the dates called for is the 
defense of force majeure. This is a legal term. It means that when 
circumstances change, were not foreseen, and are beyond the control of 
your mover, preventing your mover from performing the service agreed to 
in the bill of lading, your mover is not responsible for damages 
resulting from its nonperformance.
    This may occur when you do not inform your mover of the exact 
delivery requirements. For example, because of restrictions trucks must 
follow at your new location, the mover may not be able to take its truck 
down the street of your residence and may need to shuttle the shipment 
using another type of vehicle.

           Must My Mover Determine the Weight of My Shipment?

    Generally, yes. If your mover transports your household goods on a 
non-binding estimate, your mover must determine the actual weight of the 
shipment in order to calculate its lawful tariff charge. If your mover 
provided a binding estimate and has loaded your shipment without 
claiming you have added additional items or services, the weight of the 
shipment will not affect the charges you will pay.
    Your mover must determine the weight of your shipment before 
requesting you to pay for any charges dependent upon your shipment's 
weight.
    Most movers have a minimum weight charge for transporting a 
shipment. Generally, the minimum is the charge for transporting a 
shipment of at least 3,000 pounds (1,362 kilograms).
    If your shipment appears to weigh less than the mover's minimum 
weight, your mover must advise you on the order for service of the 
minimum cost before transporting your shipment. Should your mover fail 
to advise you of the minimum charges and your shipment is less than the 
minimum weight, your mover must base your final charges upon the actual 
weight, not upon the minimum weight.

         How Must My Mover Determine the Weight of My Shipment?

    Your mover must weigh your shipment upon a certified scale.
    The weight of your shipment must be obtained by using one of two 
methods:
    Origin Weighing--Your mover may weigh your shipment in the city or 
area where it loads your shipment. If it elects this option, the driver 
must weigh the truck before coming to your residence. This is called the 
tare weight. At the time of this first weighing, the truck may already 
be partially loaded with another shipment(s). This will not affect the 
weight of your shipment. The truck should also contain the pads, 
dollies, hand trucks,

[[Page 141]]

ramps, and other equipment normally used in the transportation of 
household goods shipments.
    After loading, the driver will weigh the truck again to obtain the 
loaded weight, called the gross weight. The net weight of your shipment 
is then obtained by subtracting the tare weight before loading from the 
gross weight.
    Gross Weight less the Tare Weight Before Loading = Net Weight.
    Destination Weighing (Also called Back Weighing)--The mover is also 
permitted to determine the weight of your shipment at the destination 
after it delivers your load. Weighing your shipment at destination 
instead of at origin will not affect the accuracy of the shipment 
weight. The most important difference is that your mover will not 
determine the exact charges on your shipment before it is unloaded.
    Destination weighing is done in reverse of origin weighing. After 
arriving in the city or area where you are moving, the driver will weigh 
the truck. Your shipment will still be on the truck. Your mover will 
determine the gross weight before coming to your new residence to 
unload. After unloading your shipment, the driver will again weigh the 
truck to obtain the tare weight. The net weight of your shipment will 
then be obtained by subtracting the tare weight after delivery from the 
gross weight.
    Gross Weight less the Tare Weight After Delivery = Net Weight.
    At the time of both weighings, your mover's truck must have 
installed or loaded all pads, dollies, hand trucks, ramps, and other 
equipment required in the transportation of your shipment. The driver 
and other persons must be off the vehicle at the time of both weighings. 
The fuel tanks on the vehicle must be full at the time of each weighing; 
or, if the fuel tanks are not full, your mover must not add fuel between 
the two weighings when the tare weighing is the first weighing 
performed.
    Your mover may detach the trailer of a tractor-trailer vehicle 
combination from the tractor and have the trailer weighed separately at 
each weighing, provided the length of the scale platform is adequate to 
accommodate and support the entire trailer.
    Your mover may use an alternative method to weigh your shipment if 
it weighs 3,000 pounds (1,362 kilograms) or less. The only alternative 
method allowed is weighing the shipment upon a platform or warehouse 
certified scale before loading your shipment for transportation or after 
unloading.
    Your mover must use the net weight of shipments transported in large 
containers, such as ocean or railroad containers. Your mover will 
calculate the difference between the tare weight of the container 
(including all pads, blocking and bracing used in the transportation of 
your shipment) and the gross weight of the container with your shipment 
loaded in the container.
    You have the right, and your mover must inform you of your right, to 
observe all weighings of your shipment. Your mover must tell you where 
and when each weighing will occur. Your mover must give you a reasonable 
opportunity to be present to observe the weighings.
    You may waive your right to observe any weighing or reweighing. This 
does not affect any of your other rights under Federal law.
    Your mover may request that you waive your right to have a shipment 
weighed upon a certified scale. Your mover may want to weigh the 
shipment upon a trailer's on-board, non-certified scale. You should 
demand your right to have a certified scale used. The use of a non-
certified scale may cause you to pay a higher final bill for your move, 
if the non-certified scale does not accurately weigh your shipment. 
Remember that certified scales are inspected and approved for accuracy 
by a government inspection or licensing agency. Non-certified scales are 
not inspected and approved for accuracy by a government inspection or 
licensing agency.
    Your mover must obtain a separate weight ticket for each weighing. 
The weigh master must sign each weight ticket. Each weight ticket must 
contain the following six items:
    (1) The complete name and location of the scale.
    (2) The date of each weighing.
    (3) Identification of the weight entries as being the tare, gross, 
or net weights.
    (4) The company or mover identification of the vehicle.
    (5) Your last name as it appears on the Bill of Lading.
    (6) Your mover's shipment registration or Bill of Lading number.
    Your mover must retain the original weight ticket or tickets 
relating to the determination of the weight of your shipment as part of 
its file on your shipment. When both weighings are performed on the same 
scale, one weight ticket may be used to record both weighings.
    Your mover must present all freight bills with true copies of all 
weight tickets. If your mover does not present its freight bill with all 
weight tickets, your mover is in violation of Federal law.
    Before the driver actually begins unloading your shipment weighed at 
origin and after your mover informs you of the billing weight and total 
charges, you have the right to demand a reweigh of your shipment. If you 
believe the weight is not accurate, you have the right to request your 
mover reweigh your shipment before unloading.
    You have the right, and your mover must inform you of your right, to 
observe all reweighings of your shipment. Your mover

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must tell you where and when each reweighing will occur. Your mover must 
give you a reasonable opportunity to be present to observe the 
reweighing. You may waive your right to observe any reweighing; however, 
you must waive that right in writing. You may send the written waiver 
via fax or e-mail, as well as by overnight courier or certified mail, 
return receipt requested. This does not affect any of your other rights 
under Federal law.
    Your mover is prohibited from charging you for the reweighing. If 
the weight of your shipment at the time of the reweigh is different from 
the weight determined at origin, your mover must recompute the charges 
based upon the reweigh weight.
    Before requesting a reweigh, you may find it to your advantage to 
estimate the weight of your shipment using the following three-step 
method:
    1. Count the number of items in your shipment. Usually there will be 
either 30 or 40 items listed on each page of the inventory. For example, 
if there are 30 items per page and your inventory consists of four 
complete pages and a fifth page with 15 items listed, the total number 
of items will be 135. If an automobile is listed on the inventory, do 
not include this item in the count of the total items.
    2. Subtract the weight of any automobile included in your shipment 
from the total weight of the shipment. If the automobile was not weighed 
separately, its weight can be found on its title or license receipt.
    3. Divide the number of items in your shipment into the weight. If 
the average weight resulting from this exercise ranges between 35 and 45 
pounds (16 and 20 kilograms) per article, it is unlikely a reweigh will 
prove beneficial to you. In fact, it could result in your paying higher 
charges.
    Experience has shown that the average shipment of household goods 
will weigh about 40 pounds (18 kilograms) per item. If a shipment 
contains a large number of heavy items, such as cartons of books, boxes 
of tools or heavier than average furniture, the average weight per item 
may be 45 pounds or more (20 kilograms or more).

What Must My Mover Do if I Want To Know the Actual Weight or Charges for 
                      My Shipment Before Delivery?

    If you request notification of the actual weight and charges of your 
shipment, your mover must comply with your request if it is moving your 
goods on a collect-on-delivery basis. This requirement is conditioned 
upon your supplying your mover with an address or telephone number where 
you will receive the communication. Your mover must make its 
notification by telephone; fax transmissions; e-mail; overnight courier; 
certified mail, return receipt requested; or in person.
    You must receive the mover's notification at least one full 24-hour 
day before its scheduled delivery, excluding Saturdays, Sundays, and 
Federal holidays.
    Your mover may disregard this 24-hour notification requirement on 
shipments subject to one of the following three things:
    (1) Back weigh (when your mover weighs your shipment at its 
destination).
    (2) Pickup and delivery encompassing two consecutive weekdays, if 
you agree.
    (3) Maximum payment amounts at time of delivery of 110 percent of 
the estimated charges, if you agree.

                Subpart F--Transportation of My Shipment

        Must My Mover Transport the Shipment in a Timely Manner?

    Yes, your mover must transport your household goods in a timely 
manner. This is also known as ''reasonable dispatch service.'' Your 
mover must provide reasonable dispatch service to you, except for 
transportation on the basis of guaranteed delivery dates.
    When your mover is unable to perform either the pickup or delivery 
of your shipment on the dates or during the periods of time specified in 
the order for service, your mover must notify you of the delay, at the 
mover's expense. As soon as the delay becomes apparent to your mover, it 
must give you notification it will be unable to provide the service 
specified in the terms of the order for service. Your mover may notify 
you of the delay in any of the following ways: By telephone; fax 
transmissions; e-mail; overnight courier; certified mail, return receipt 
requested; or in person.
    When your mover notifies you of a delay, it also must advise you of 
the dates or periods of time it may be able to pick up and/or deliver 
the shipment. Your mover must consider your needs in its advisement. 
Your mover must prepare a written record of the date, time, and manner 
of its notification.
    Your mover must prepare a written record of its amended date or 
period for delivery. Your mover must retain these records as a part of 
its file on your shipment. The retention period is one year from the 
date of notification. Your mover must furnish a copy of the notification 
to you either by first class mail or in person, if you request a copy of 
the notice.
    Your mover must tender your shipment for delivery on the agreed-upon 
delivery date or within the period specified on the bill of lading. Upon 
your request or concurrence, your mover may deliver your shipment on 
another day.
    The establishment of a delayed pickup or delivery date does not 
relieve your mover from liability for damages resulting from your 
mover's failure to provide service as agreed. However, when your mover 
notifies

[[Page 143]]

you of alternate delivery dates, it is your responsibility to be 
available to accept delivery on the dates specified. If you are not 
available and are not willing to accept delivery, your mover has the 
right to place your shipment in storage at your expense or hold the 
shipment on its truck and assess additional charges.
    If after the pickup of your shipment, you request your mover to 
change the delivery date, most movers will agree to do so provided your 
request will not result in unreasonable delay to its equipment or 
interfere with another customer's move. However, your mover is under no 
obligation to consent to amended delivery dates. Your mover has the 
right to place your shipment in storage at your expense if you are 
unwilling or unable to accept delivery on the date agreed to in the bill 
of lading.
    If your mover fails to pick up and deliver your shipment on the date 
entered on the bill of lading and you have expenses you otherwise would 
not have had, you may be able to recover those expenses from your mover. 
This is what is called an inconvenience or delay claim. Should your 
mover refuse to honor such a claim and you continue to believe you are 
entitled to be paid damages, you may take your mover to court under 49 
U.S.C. 14706. The Federal Motor Carrier Safety Administration (FMCSA) 
has no authority to order your mover to pay such claims.
    While we hope your mover delivers your shipment in a timely manner, 
you should consider the possibility your shipment may be delayed, and 
find out what payment you can expect if a mover delays service through 
its own fault, before you agree with the mover to transport your 
shipment.

What Must My Mover Do if It Is Able To Deliver My Shipment More Than 24 
               Hours Before I Am Able To Accept Delivery?

    At your mover's discretion, it may place your shipment in storage. 
This will be under its own account and at its own expense in a warehouse 
located in proximity to the destination of your shipment. Your mover may 
do this if you fail to request or concur with an early delivery date, 
and your mover is able to deliver your shipment more than 24 hours 
before your specified date or the first day of your specified period.
    If your mover exercises this option, your mover must immediately 
notify you of the name and address of the warehouse where your mover 
places your shipment. Your mover must make and keep a record of its 
notification as a part of its shipment records. Your mover has full 
responsibility for the shipment under the terms and conditions of the 
bill of lading. Your mover is responsible for the charges for 
redelivery, handling, and storage until it makes final delivery. Your 
mover may limit its responsibility to the agreed-upon delivery date or 
the first day of the period of delivery as specified in the bill of 
lading.

  What Must My Mover Do for Me When I Store Household Goods in Transit?

    If you request your mover to hold your household goods in storage-
in-transit and the storage period is about to expire, your mover must 
notify you, in writing, about the four following items:
    (1) The date when storage-in-transit will convert to permanent 
storage.
    (2) The existence of a 9-month period after the date of conversion 
to permanent storage, during which you may file claims against your 
mover for loss or damage occurring to your goods while in transit or 
during the storage-in-transit period.
    (3) The date your mover's liability will end.
    (4) Your property will be subject to the rules, regulations, and 
charges of the warehouseman.
    Your mover must make this notification at least 10 days before the 
expiration date of one of the following two periods of time:
    (1) The specified period of time when your mover is to hold your 
goods in storage.
    (2) The maximum period of time provided in its tariff for storage-
in-transit.
    Your mover must notify you by facsimile transmission; overnight 
courier; e-mail; or certified mail, return receipt requested.
    If your mover holds your household goods in storage-in-transit for 
less than 10 days, your mover must notify you, one day before the 
storage-in-transit period expires, of the same information specified 
above.
    Your mover must maintain a record of all notifications to you as 
part of the records of your shipment. Under the applicable tariff 
provisions regarding storage-in-transit, your mover's failure or refusal 
to notify you will automatically extend your mover's liability until the 
end of the day following the date when your mover actually gives you 
notice.

                   Subpart G--Delivery of My Shipment

May My Mover Ask Me To Sign a Delivery Receipt Purporting To Release It 
                             From Liability?

    At the time of delivery, your mover will expect you to sign a 
receipt for your shipment. Normally, you will sign each page of your 
mover's copy of the inventory.
    Your mover's delivery receipt or shipping document must not contain 
any language purporting to release or discharge it or its agents from 
liability.
    Your mover may include a statement about your receipt of your 
property in apparent good condition, except as noted on the shipping 
documents.
    Do not sign the delivery receipt if it contains any language 
purporting to release or

[[Page 144]]

discharge your mover or its agents from liability. Strike out such 
language before signing, or refuse delivery if the driver or mover 
refuses to provide a proper delivery receipt.

What Is the Maximum Collect-on-Delivery Amount My Mover May Demand I Pay 
                        at the Time of Delivery?

    On a binding estimate, the maximum amount is the exact estimate of 
the charges, plus the charges for any additional services you requested 
after the bill of lading was executed (charges therefore not included in 
the estimate) and any charges for impracticable operations (not to 
exceed 15 percent of all other charges due at delivery). Your mover must 
specify on the estimate, order for service, and bill of lading the form 
of payment acceptable to it (for example, a certified check).
    On a non-binding estimate, the maximum amount is 110 percent of the 
approximate costs, plus the charges for any additional services you 
requested after the bill of lading was executed (charges therefore not 
included in the estimate) and any charges for impracticable operations 
(not to exceed 15 percent of all other charges due at delivery). Your 
mover must specify on the estimate, order for service, and bill of 
lading the form of payment acceptable to it (for example, cash).

If My Shipment Is Transported on More Than One Vehicle, What Charges May 
                      My Mover Collect at Delivery?

    Although all movers try to move each shipment on one truck, it 
becomes necessary at times to divide a shipment among two or more 
trucks. This frequently occurs when an automobile is included in the 
shipment and transported on a specially designed vehicle. When this 
occurs, your transportation charges are the same as if the entire 
shipment moved on one truck.
    If your shipment is divided for transportation on two or more 
trucks, the mover may require payment for each portion as it is 
delivered.
    Your mover may delay the collection of all the charges until the 
entire shipment is delivered, at its discretion, not yours. When you 
order your move, you should ask the mover about its policies in this 
regard.

If My Shipment Is Partially Lost or Destroyed, What Charges May My Mover 
                          Collect at Delivery?

    Movers customarily make every effort to avoid losing, damaging, or 
destroying any of your items while your shipment is in their possession 
for transportation. However, despite the precautions taken, articles are 
sometimes lost or destroyed during the move.
    In addition to any money you may recover from your mover to 
compensate for lost or destroyed articles, you also may recover the 
transportation charges represented by the portion of the shipment lost 
or destroyed. Your mover may apply this paragraph only to the 
transportation of household goods. Your mover may disregard this 
paragraph if loss or destruction was due to an act or omission by you. 
Your mover must require you to pay any specific valuation charge due.
    For example, if you pack a hazardous material (i.e., gasoline, 
aerosol cans, motor oil, etc.) and your shipment is partially lost or 
destroyed by fire in storage or in the mover's trailer, your mover may 
require you to pay for the full cost of transportation.
    If your shipment is partially lost or destroyed, your mover is 
permitted to collect at delivery only a prorated percentage based on the 
freight charges for the goods actually delivered, plus the charges for 
any additional services you requested after the bill of lading was 
executed and any charges for impracticable operations. Charges for 
impracticable operations collected at delivery must not exceed 15 
percent of the total charges your mover collects at delivery.
    Your mover is forbidden from collecting, or requiring you to pay, 
any freight charges (including any charges for accessorial or terminal 
services) when your household goods shipment is totally lost or 
destroyed in transit, unless the loss or destruction was due to an act 
or omission by you.

 How Must My Mover Calculate the Charges Applicable to the Shipment as 
                               Delivered?

    Your mover must multiply the percentage equal to the weight of the 
portion of the shipment delivered to the total weight of the shipment 
times the total charges applicable to the shipment tendered by you to 
obtain the total charges it must collect from you.
    If your mover's computed charges exceed the charges otherwise 
applicable to the shipment as delivered, the lesser of those charges 
must apply. This will apply only to the transportation of your household 
goods.
    Your mover must require you to pay any specific valuation charge 
due.
    Your mover may not refund the freight charges if the loss or 
destruction was due to an act or omission by you. For example, you fail 
to disclose to your mover that your shipment contains perishable live 
plants. Your mover may disregard its loss or destruction of your plants 
because you failed to inform your mover you were transporting live 
plants.
    Your mover must determine, at its own expense, the proportion of the 
shipment, based on actual or constructive weight, not lost or destroyed 
in transit.
    Your rights are in addition to, and not in lieu of, any other rights 
you may have with

[[Page 145]]

respect to your shipment of household goods your mover lost or 
destroyed, or partially lost or destroyed, in transit. This applies 
whether or not you have exercised your rights provided above.

                    Subpart H--Collection of Charges

               Does This Subpart Apply to Most Shipments?

    It applies to all shipments of household goods that involve a 
balance due freight or expense bill or are shipped on credit.

      How Must My Mover Present Its Freight or Expense Bill to Me?

    At the time of payment of transportation charges, your mover must 
give you a freight bill identifying the service provided and the charge 
for each service. It is customary for most movers to use a copy of the 
bill of lading as a freight bill; however, some movers use an entirely 
separate document for this purpose.
    Except in those instances where a shipment is moving on a binding 
estimate, the freight bill must specifically identify each service 
performed, the rate or charge per service performed, and the total 
charges for each service. If this information is not on the freight 
bill, do not accept or pay the freight bill.
    Movers' tariffs customarily specify that freight charges must be 
paid in cash, by certified check, or by cashier's check. When this 
requirement exists, the mover will not accept personal checks. At the 
time you order your move, you should ask your mover about the form of 
payment your mover requires.
    Some movers permit payment of freight charges by use of a charge or 
credit card. However, do not assume your nationally recognized charge, 
credit, or debit card will be acceptable for payment. Ask your mover at 
the time you request an estimate. Your mover must specify the form of 
payment it will accept at delivery.
    If you do not pay the transportation charges at the time of 
delivery, your mover has the right, under the bill of lading, to refuse 
to deliver your goods. The mover may place them in storage, at your 
expense, until the charges are paid. However, the mover must deliver 
your goods upon payment of 100 percent of a binding estimate, plus the 
charges for any additional services you requested after the bill of 
lading was executed (charges therefore not included in the estimate) and 
any charges for impracticable operations (not to exceed 15 percent of 
all other charges due at delivery).
    If, before payment of the transportation charges, you discover an 
error in the charges, you should attempt to correct the error with the 
driver or the mover's local agent, or by contacting the mover's main 
office. If an error is discovered after payment, you should write the 
mover (the address will be on the freight bill) explaining the error, 
and request a refund.
    Movers customarily check all shipment files and freight bills after 
a move has been completed to make sure the charges were accurate. If an 
overcharge is found, you should be notified and a refund should be made. 
If an undercharge occurred, you may be billed for the additional charges 
due.
    On ``to be prepaid'' shipments, your mover must present its freight 
bill for all transportation charges within 15 days of the date your 
mover received the shipment. This period excludes Saturdays, Sundays, 
and Federal holidays.
    On ``collect'' shipments, your mover must present its freight bill 
for all transportation charges on the date of delivery, or, at its 
discretion, within 15 days, calculated from the date the shipment was 
delivered at your destination. This period excludes Saturdays, Sundays, 
and Federal holidays. (Bills for additional charges based on the weight 
of the shipment will be presented 30 days after delivery; charges for 
impracticable operations not paid at delivery are due within 30 days of 
the invoice.) Your mover's freight bills and accompanying written 
notices must state the following five items:
    (1) Penalties for late payment.
    (2) Credit time limits.
    (3) Service or finance charges.
    (4) Collection expense charges.
    (5) Discount terms.
    If your mover extends credit to you, freight bills or a separate 
written notice accompanying a freight bill or a group of freight bills 
presented at one time must state, ``You may be subject to tariff 
penalties for failure to timely pay freight charges,'' or a similar 
statement. Your mover must state on its freight bills or other notices 
when it expects payment and any applicable service charges, collection 
expense charges, and discount terms.
    When your mover lacks sufficient information to compute its tariff 
charges at the time of billing, your mover must present its freight bill 
for payment within 15 days following the day when sufficient information 
becomes available. This period excludes Saturdays, Sundays, and Federal 
holidays.
    Your mover must not extend additional credit to you if you fail to 
furnish sufficient information to your mover. Your mover must have 
sufficient information to render a freight bill within a reasonable time 
after shipment.
    When your mover presents freight bills by mail, it must deem the 
time of mailing to be the time of presentation of the bills. The term 
``freight bills,'' as used in this paragraph, includes both paper 
documents and billing by use of electronic media such as computer tapes, 
disks, or the Internet (e-mail).

[[Page 146]]

    When you mail acceptable checks or drafts in payment of freight 
charges, your mover must deem the act of mailing the payment within the 
credit period to be the proper collection of the tariff charges within 
the credit period for the purposes of Federal law. In case of a dispute 
as to the date of mailing, your mover must accept the postmark as the 
date of mailing.

If I Forced My Mover To Relinquish a Collect-on-Delivery Shipment Before 
   the Payment of ALL Charges, How Must My Mover Collect the Balance?

    On ``collect-on-delivery'' shipments, your mover must present its 
freight bill for transportation charges within 15 days, calculated from 
the date the shipment was delivered at your destination. This period 
excludes Saturdays, Sundays, and Federal holidays. (Bills for additional 
charges based on the weight of the shipment will be presented 30 days 
after delivery; charges for impracticable operations not paid at 
delivery are due within 30 days of the invoice.)

  What Actions May My Mover Take To Collect From Me the Charges in Its 
                              Freight Bill?

    Your mover must present a freight bill within 15 days (excluding 
Saturdays, Sundays, and Federal holidays) of the date of delivery of a 
shipment at your destination. (Bills for additional charges based on the 
weight of the shipment will be presented 30 days after delivery; charges 
for impracticable operations not paid at delivery are due within 30 days 
of the invoice.)
    Your mover must provide in its tariffs the following three things:
    (1) A provision indicating its credit period is a total of 30 
calendar days.
    (2) A provision indicating you will be assessed a service charge by 
your mover equal to one percent of the amount of the freight bill, 
subject to a $20 minimum charge, for the extension of the credit period. 
The mover will assess the service charge for each 30-day extension that 
the charges go unpaid.
    (3) A provision that your mover must deny credit to you if you fail 
to pay a duly presented freight bill within the 30-day period. Your 
mover may grant credit to you, at its discretion, when you satisfy your 
mover's condition that you will pay all future freight bills duly 
presented. Your mover must ensure all your payments of freight bills are 
strictly in accordance with Federal rules and regulations for the 
settlement of its rates and charges.

Do I Have a Right To File a Claim To Recover Money for Property My Mover 
                            Lost or Damaged?

    Should your move result in the loss of or damage to any of your 
property, you have the right to file a claim with your mover to recover 
money for such loss or damage.
    You should file a claim as soon as possible. If you fail to file a 
claim within 9 months, your mover may not be required to accept your 
claim. If you institute a court action and win, you may be entitled to 
attorney's fees if you submitted your claim to the carrier within 120 
days after delivery or the scheduled date of delivery (whichever is 
later), and (1) the mover did not advise you during the claim settlement 
process of the availability of arbitration as a means for resolving the 
dispute; (2) a decision was not rendered through arbitration within the 
time required by law; or (3) you are instituting a court action to 
enforce an arbitration decision with which the mover has not complied.
    While the Federal Government maintains regulations governing the 
processing of loss and damage claims (49 CFR part 370), it cannot 
resolve those claims. If you cannot settle a claim with the mover, you 
may file a civil action to recover your claim in court under 49 U.S.C. 
14706. You may obtain the name and address of the mover's agent for 
service of legal process in your State by contacting the Federal Motor 
Carrier Safety Administration. You may also obtain the name of a process 
agent via the Internet. Go to http.//www.fmcsa.dot.gov then click on 
Licensing and Insurance (L&I) section.
    In addition, your mover must participate in an arbitration program. 
As described earlier in this pamphlet, an arbitration program gives you 
the opportunity to settle, through a neutral arbitrator, certain types 
of unresolved loss or damage claims and disputes regarding charges that 
were billed to you by your mover after your shipment was delivered. You 
may find submitting your claim to arbitration under such a program to be 
a less expensive and more convenient way to seek recovery of your claim. 
Your mover is required to provide you with information about its 
arbitration program before you move. If your mover fails to do so, ask 
the mover for details of its program.

               Subpart I--Resolving Disputes With My Mover

            What May I Do To Resolve Disputes With My Mover?

The Federal Motor Carrier Safety Administration Does Not Help You Settle 
                      Your Dispute With Your Mover

    Generally, you must resolve your own loss and damage disputes with 
your mover. You enter a contractual arrangement with your mover. You are 
bound by each of the following three things:
    (1) The terms and conditions you negotiated before your move.

[[Page 147]]

    (2) The terms and conditions you accepted when you signed the bill 
of lading.
    (3) The terms and conditions you accepted when you signed for 
delivery of your goods.
    You have the right to take your mover to court. We require your 
mover to offer you arbitration to settle your disputes with it.

[72 FR 36775, July 5, 2007, as amended at 77 FR 59824, Oct. 1, 2012; 80 
FR 59071, Oct. 1, 2015]



PART 376_LEASE AND INTERCHANGE OF VEHICLES--Table of Contents



             Subpart A_General Applicability and Definitions

Sec.
376.1 Applicability.
376.2 Definitions.

                      Subpart B_Leasing Regulations

376.11 General leasing requirements.
376.12 Written lease requirements.

            Subpart C_Exemptions for the Leasing Regulations

376.21 General exemptions.
376.22 Exemption for private carrier leasing and leasing between 
          authorized carriers.
376.26 Exemption for leases between authorized carriers and their 
          agents.

                    Subpart D_Interchange Regulations

376.31 Interchange of equipment.

                 Subpart E_Private Carriers and Shippers

376.42 Lease of equipment by regulated carriers.

    Authority: 49 U.S.C. 13301 and 14102; and 49 CFR 1.87.

    Source: 44 FR 4681, Jan. 23, 1979, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.

    Editorial Note: Nomenclature changes to part 376 appear at 66 FR 
49871, Oct. 1, 2001.



             Subpart A_General Applicability and Definitions



Sec.  376.1  Applicability.

    The regulations in this part apply to the following actions by motor 
carriers registered with the Secretary to transport property under 49 
U.S.C. subtitle IV, part B:
    (a) The leasing of equipment with which to perform transportation 
regulated by the Secretary.
    (b) The leasing of equipment to motor private carrier or shippers.
    (c) The interchange of equipment between for-hire motor carriers in 
the performance of transportation regulated by the Secretary.

[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15423, Apr. 1, 1997; 81 FR 68346, Oct. 4, 2016]



Sec.  376.2  Definitions.

    (a) Authorized carrier. A person or persons authorized to engage in 
the transportation of property as a motor carrier under the provisions 
of 49 U.S.C. 13901 and 13902.
    (b) Equipment. A motor vehicle, straight truck, tractor, 
semitrailer, full trailer, any combination of these and any other type 
of equipment used by authorized carriers in the transportation of 
property for hire.
    (c) Interchange. The receipt of equipment by one motor carrier of 
property from another such carrier, at a point which both carriers are 
authorized to serve, with which to continue a through movement.
    (d) Owner. A person (1) to whom title to equipment has been issued, 
or (2) who, without title, has the right to exclusive use of equipment, 
or (3) who has lawful possession of equipment registered and licensed in 
any State in the name of that person.
    (e) Lease. A contract or arrangement in which the owner grants the 
use of equipment, with or without driver, for a specified period to an 
authorized carrier for use in the regulated transportation of property, 
in exchange for compensation.
    (f) Lessor. In a lease, the party granting the use of equipment, 
with or without driver, to another.
    (g) Lessee. In a lease, the party acquiring the use of equipment 
with or without driver, from another.
    (h) Sublease. A written contract in which the lessee grants the use 
of leased equipment, with or without driver, to another.
    (i) Addendum. A supplement to an existing lease which is not 
effective until signed by the lessor and lessee.
    (j) Private carrier. A person, other than a motor carrier, 
transporting property by motor vehicle in interstate

[[Page 148]]

or foreign commerce when (1) the person is the owner, lessee, or bailee 
of the property being transported; and (2) the property is being 
transported for sale, lease, rent, or bailment, or to further a 
commercial enterprise.
    (k) Shipper. A person who sends or receives property which is 
transported in interstate or foreign commerce.
    (l) Escrow fund. Money deposited by the lessor with either a third 
party or the lessee to guarantee performance, to repay advances, to 
cover repair expenses, to handle claims, to handle license and State 
permit costs, and for any other purposes mutually agreed upon by the 
lessor and lessee.
    (m) Detention. The holding by a consignor or consignee of a trailer, 
with or without power unit and driver, beyond the free time allocated 
for the shipment, under circumstances not attributable to the 
performance of the carrier.

[44 FR 4681, Jan. 23, 1979, as amended at 49 FR 47850, Dec. 7, 1984; 62 
FR 15424, Apr. 1, 1997; 81 FR 68346, Oct. 4, 2016]



                      Subpart B_Leasing Regulations



Sec.  376.11  General leasing requirements.

    Other than through the interchange of equipment as set forth in 
Sec.  376.31, and under the exemptions set forth in subpart C of these 
regulations, the authorized carrier may perform authorized 
transportation in equipment it does not own only under the following 
conditions:
    (a) Lease. There shall be a written lease granting the use of the 
equipment and meeting the requirements contained in Sec.  376.12.
    (b) Receipts for equipment. Receipts, specifically identifying the 
equipment to be leased and stating the date and time of day possession 
is transferred, shall be given as follows:
    (1) When possession of the equipment is taken by the authorized 
carrier, it shall give the owner of the equipment a receipt. The receipt 
identified in this section may be transmitted by mail, telegraph, or 
other similar means of communication.
    (2) When possession of the equipment by the authorized carrier ends, 
a receipt shall be given in accordance with the terms of the lease 
agreement if the lease agreement requires a receipt.
    (3) Authorized representatives of the carrier and the owner may take 
possession of leased equipment and give and receive the receipts 
required under this subsection.
    (c) Identification of equipment. The authorized carrier acquiring 
the use of equipment under this section shall identify the equipment as 
being in its service as follows:
    (1) During the period of the lease, the carrier shall identify the 
equipment in accordance with the FMCSA's requirements in 49 CFR part 390 
of this chapter (Identification of Vehicles).
    (2) Unless a copy of the lease is carried on the equipment, the 
authorized carrier shall keep a statement with the equipment during the 
period of the lease certifying that the equipment is being operated by 
it. The statement shall also specify the name of the owner, the date and 
length of the lease, any restrictions in the lease relative to the 
commodities to be transported, and the address at which the original 
lease is kept by the authorized carrier. This statement shall be 
prepared by the authorized carrier or its authorized representative.
    (d) Records of equipment. The authorized carrier using equipment 
leased under this section shall keep records of the equipment as 
follows:
    (1) The authorized carrier shall prepare and keep documents covering 
each trip for which the equipment is used in its service. These 
documents shall contain the name and address of the owner of the 
equipment, the point of origin, the time and date of departure, and the 
point of final destination. Also, the authorized carrier shall carry 
papers with the leased equipment during its operation containing this 
information and identifying the lading and clearly indicating that the 
transportation is under its responsibility. These papers shall be 
preserved by the authorized carrier as part of its transportation 
records. Leases which contain the information required by the provisions 
in this paragraph may be used and retained instead of such documents or 
papers. As to lease agreements negotiated under a master lease, this 
provision is complied with by having a copy of a master lease

[[Page 149]]

in the unit of equipment in question and where the balance of 
documentation called for by this paragraph is included in the freight 
documents prepared for the specific movement.
    (2) [Reserved]

[44 FR 4681, Jan. 23, 1979, as amended at 49 FR 47269, Dec. 3, 1984; 49 
FR 47850, Dec. 7, 1984; 50 FR 24649, June 12, 1985; 51 FR 37406, Oct. 
22, 1986; 62 FR 15424, Apr. 1, 1997; 78 FR 58479, Sept. 24, 2013]



Sec.  376.12  Written lease requirements.

    Except as provided in the exemptions set forth in subpart C of this 
part, the written lease required under Sec.  376.11(a) shall contain the 
following provisions. The required lease provisions shall be adhered to 
and performed by the authorized carrier.
    (a) Parties. The lease shall be made between the authorized carrier 
and the owner of the equipment. The lease shall be signed by these 
parties or by their authorized representatives.
    (b) Duration to be specific. The lease shall specify the time and 
date or the circumstances on which the lease begins and ends. These 
times or circumstances shall coincide with the times for the giving of 
receipts required by Sec.  376.11(b).
    (c) Exclusive possession and responsibilities. (1) The lease shall 
provide that the authorized carrier lessee shall have exclusive 
possession, control, and use of the equipment for the duration of the 
lease. The lease shall further provide that the authorized carrier 
lessee shall assume complete responsibility for the operation of the 
equipment for the duration of the lease.
    (2) Provision may be made in the lease for considering the 
authorized carrier lessee as the owner of the equipment for the purpose 
of subleasing it under these regulations to other authorized carriers 
during the lease.
    (3) When an authorized carrier of household goods leases equipment 
for the transportation of household goods, as defined by the Secretary, 
the parties may provide in the lease that the provisions required by 
paragraph (c)(1) of this section apply only during the time the 
equipment is operated by or for the authorized carrier lessee.
    (4) Nothing in the provisions required by paragraph (c)(1) of this 
section is intended to affect whether the lessor or driver provided by 
the lessor is an independent contractor or an employee of the authorized 
carrier lessee. An independent contractor relationship may exist when a 
carrier lessee complies with 49 U.S.C. 14102 and attendant 
administrative requirements.
    (d) Compensation to be specified. The amount to be paid by the 
authorized carrier for equipment and driver's services shall be clearly 
stated on the face of the lease or in an addendum which is attached to 
the lease. Such lease or addendum shall be delivered to the lessor prior 
to the commencement of any trip in the service of the authorized 
carrier. An authorized representative of the lessor may accept these 
documents. The amount to be paid may be expressed as a percentage of 
gross revenue, a flat rate per mile, a variable rate depending on the 
direction traveled or the type of commodity transported, or by any other 
method of compensation mutually agreed upon by the parties to the lease. 
The compensation stated on the lease or in the attached addendum may 
apply to equipment and driver's services either separately or as a 
combined amount.
    (e) Items specified in lease. The lease shall clearly specify which 
party is responsible for removing identification devices from the 
equipment upon the termination of the lease and when and how these 
devices, other than those painted directly on the equipment, will be 
returned to the carrier. The lease shall clearly specify the manner in 
which a receipt will be given to the authorized carrier by the equipment 
owner when the latter retakes possession of the equipment upon 
termination of the lease agreement, if a receipt is required at all by 
the lease. The lease shall clearly specify the responsibility of each 
party with respect to the cost of fuel, fuel taxes, empty mileage, 
permits of all types, tolls, ferries, detention and accessorial 
services, base plates and licenses, and any unused portions of such 
items. The lease shall clearly specify who is responsible for loading 
and unloading the property onto and from the motor vehicle, and the 
compensation, if any, to be paid for

[[Page 150]]

this service. Except when the violation results from the acts or 
omissions of the lessor, the authorized carrier lessee shall assume the 
risks and costs of fines for overweight and oversize trailers when the 
trailers are pre-loaded, sealed, or the load is containerized, or when 
the trailer or lading is otherwise outside of the lessor's control, and 
for improperly permitted overdimension and overweight loads and shall 
reimburse the lessor for any fines paid by the lessor. If the authorized 
carrier is authorized to receive a refund or a credit for base plates 
purchased by the lessor from, and issued in the name of, the authorized 
carrier, or if the base plates are authorized to be sold by the 
authorized carrier to another lessor the authorized carrier shall refund 
to the initial lessor on whose behalf the base plate was first obtained 
a prorated share of the amount received.
    (f) Payment period. The lease shall specify that payment to the 
lessor shall be made within 15 days after submission of the necessary 
delivery documents and other paperwork concerning a trip in the service 
of the authorized carrier. The paperwork required before the lessor can 
receive payment is limited to log books required by the Department of 
Transportation and those documents necessary for the authorized carrier 
to secure payment from the shipper. In addition, the lease may provide 
that, upon termination of the lease agreement, as a condition precedent 
to payment, the lessor shall remove all identification devices of the 
authorized carrier and, except in the case of identification painted 
directly on equipment, return them to the carrier. If the identification 
device has been lost or stolen, a letter certifying its removal will 
satisfy this requirement. Until this requirement is complied with, the 
carrier may withhold final payment. The authorized carrier may require 
the submission of additional documents by the lessor but not as a 
prerequisite to payment. Payment to the lessor shall not be made 
contingent upon submission of a bill of lading to which no exceptions 
have been taken. The authorized carrier shall not set time limits for 
the submission by the lessor of required delivery documents and other 
paperwork.
    (g) Copies of freight bill or other form of freight documentation. 
When a lessor's revenue is based on a percentage of the gross revenue 
for a shipment, the lease must specify that the authorized carrier will 
give the lessor, before or at the time of settlement, a copy of the 
rated freight bill or a computer-generated document containing the same 
information, or, in the case of contract carriers, any other form of 
documentation actually used for a shipment containing the same 
information that would appear on a rated freight bill. When a computer-
generated document is provided, the lease will permit lessor to view, 
during normal business hours, a copy of any actual document underlying 
the computer-generated document. Regardless of the method of 
compensation, the lease must permit lessor to examine copies of the 
carrier's tariff or, in the case of contract carriers, other documents 
from which rates and charges are computed, provided that where rates and 
charges are computed from a contract of a contract carrier, only those 
portions of the contract containing the same information that would 
appear on a rated freight bill need be disclosed. The authorized carrier 
may delete the names of shippers and consignees shown on the freight 
bill or other form of documentation.
    (h) Charge-back items. The lease shall clearly specify all items 
that may be initially paid for by the authorized carrier, but ultimately 
deducted from the lessor's compensation at the time of payment or 
settlement, together with a recitation as to how the amount of each item 
is to be computed. The lessor shall be afforded copies of those 
documents which are necessary to determine the validity of the charge.
    (i) Products, equipment, or services from authorized carrier. The 
lease shall specify that the lessor is not required to purchase or rent 
any products, equipment, or services from the authorized carrier as a 
condition of entering into the lease arrangement. The lease shall 
specify the terms of any agreement in which the lessor is a party to an 
equipment purchase or rental contract which gives the authorized carrier 
the

[[Page 151]]

right to make deductions from the lessor's compensation for purchase or 
rental payments.
    (j) Insurance. (1) The lease shall clearly specify the legal 
obligation of the authorized carrier to maintain insurance coverage for 
the protection of the public pursuant to FMCSA regulations under 49 
U.S.C. 13906. The lease shall further specify who is responsible for 
providing any other insurance coverage for the operation of the leased 
equipment, such as bobtail insurance. If the authorized carrier will 
make a charge back to the lessor for any of this insurance, the lease 
shall specify the amount which will be charged-back to the lessor.
    (2) If the lessor purchases any insurance coverage for the operation 
of the leased equipment from or through the authorized carrier, the 
lease shall specify that the authorized carrier will provide the lessor 
with a copy of each policy upon the request of the lessor. Also, where 
the lessor purchases such insurance in this manner, the lease shall 
specify that the authorized carrier will provide the lessor with a 
certificate of insurance for each such policy. Each certificate of 
insurance shall include the name of the insurer, the policy number, the 
effective dates of the policy, the amounts and types of coverage, the 
cost to the lessor for each type of coverage, and the deductible amount 
for each type of coverage for which the lessor may be liable.
    (3) The lease shall clearly specify the conditions under which 
deductions for cargo or property damage may be made from the lessor's 
settlements. The lease shall further specify that the authorized carrier 
must provide the lessor with a written explanation and itemization of 
any deductions for cargo or property damage made from any compensation 
of money owed to the lessor. The written explanation and itemization 
must be delivered to the lessor before any deductions are made.
    (k) Escrow funds. If escrow funds are required, the lease shall 
specify:
    (1) The amount of any escrow fund or performance bond required to be 
paid by the lessor to the authorized carrier or to a third party.
    (2) The specific items to which the escrow fund can be applied.
    (3) That while the escrow fund is under the control of the 
authorized carrier, the authorized carrier shall provide an accounting 
to the lessor of any transactions involving such fund. The carrier shall 
perform this accounting in one of the following ways:
    (i) By clearly indicating in individual settlement sheets the amount 
and description of any deduction or addition made to the escrow fund; or
    (ii) By providing a separate accounting to the lessor of any 
transactions involving the escrow fund. This separate accounting shall 
be done on a monthly basis.
    (4) The right of the lessor to demand to have an accounting for 
transactions involving the escrow fund at any time.
    (5) That while the escrow fund is under the control of the carrier, 
the carrier shall pay interest on the escrow fund on at least a 
quarterly basis. For purposes of calculating the balance of the escrow 
fund on which interest must be paid, the carrier may deduct a sum equal 
to the average advance made to the individual lessor during the period 
of time for which interest is paid. The interest rate shall be 
established on the date the interest period begins and shall be at least 
equal to the average yield or equivalent coupon issue yield on 91-day, 
13-week Treasury bills as established in the weekly auction by the 
Department of Treasury.
    (6) The conditions the lessor must fulfill in order to have the 
escrow fund returned. At the time of the return of the escrow fund, the 
authorized carrier may deduct monies for those obligations incurred by 
the lessor which have been previously specified in the lease, and shall 
provide a final accounting to the lessor of all such final deductions 
made to the escrow fund. The lease shall further specify that in no 
event shall the escrow fund be returned later than 45 days from the date 
of termination.
    (l) Copies of the lease. An original and two copies of each lease 
shall be signed by the parties. The authorized carrier shall keep the 
original and shall place a copy of the lease on the equipment during the 
period of the lease unless a statement as provided for in Sec.  
376.11(c)(2) is carried on the equipment

[[Page 152]]

instead. The owner of the equipment shall keep the other copy of the 
lease.
    (m) This paragraph applies to owners who are not agents but whose 
equipment is used by an agent of an authorized carrier in providing 
transportation on behalf of that authorized carrier. In this situation, 
the authorized carrier is obligated to ensure that these owners receive 
all the rights and benefits due an owner under the leasing regulations, 
especially those set forth in paragraphs (d)-(k) of this section. This 
is true regardless of whether the lease for the equipment is directly 
between the authorized carrier and its agent rather than directly 
between the authorized carrier and each of these owners. The lease 
between an authorized carrier and its agent shall specify this 
obligation.

[44 FR 4681, Jan. 23, 1979, as amended at 45 FR 13092, Feb. 28, 1980; 47 
FR 28398, June 30, 1982; 47 FR 51140, Nov. 12, 1982; 47 FR 54083, Dec. 
1, 1982; 49 FR 47851, Dec. 7, 1984; 51 FR 37406, 37407, Oct. 22, 1986; 
52 FR 2412, Jan. 22, 1987; 57 FR 32905, July 24, 1992; 62 FR 15424, Apr. 
1, 1997]



            Subpart C_Exemptions for the Leasing Regulations



Sec.  376.21  General exemptions.

    Except for Sec.  376.11(c) which requires the identification of 
equipment, the leasing regulations in this part shall not apply to:
    (a) Equipment used in substituted motor-for-rail transportation of 
railroad freight moving between points that are railroad stations and on 
railroad billing.
    (b) Equipment used in transportation performed exclusively within 
any commercial zone as defined by the Secretary.
    (c) Equipment leased without drivers from a person who is 
principally engaged in such a business.
    (d) Any type of trailer not drawn by a power unit leased from the 
same lessor.

[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997]



Sec.  376.22  Exemption for private carrier leasing and leasing
between authorized carriers.

    Regardless of the leasing regulations set forth in this part, an 
authorized carrier may lease equipment to or from another authorized 
carrier, or a private carrier may lease equipment to an authorized 
carrier under the following conditions:
    (a) The identification of equipment requirements in Sec.  376.11(c) 
must be complied with;
    (b) The lessor must own the equipment or hold it under a lease;
    (c) There must be a written agreement between the authorized 
carriers or between the private carrier and authorized carrier, as the 
case may be, concerning the equipment as follows:
    (1) It must be signed by the parties or their authorized 
representatives.
    (2) It must provide that control and responsibility for the 
operation of the equipment shall be that of the lessee from the time 
possession is taken by the lessee and the receipt required under Sec.  
376.11(b) is given to the lessor until:
    (i) Possession of the equipment is returned to the lessor and the 
receipt required under Sec.  376.11(b) is received by the authorized 
carrier; or
    (ii) In the event that the agreement is between authorized carriers, 
possession of the equipment is returned to the lessor or given to 
another authorized carrier in an interchange of equipment.
    (3) A copy of the agreement must be carried in the equipment while 
it is in the possession of the lessee.
    (4) Nothing in this section shall prohibit the use, by authorized 
carriers, private carriers, and all other entities conducting lease 
operations pursuant to this section, of a master lease if a copy of that 
master lease is carried in the equipment while it is in the possession 
of the lessee, and if the master lease complies with the provisions of 
this section and receipts are exchanged in accordance with Sec.  
376.11(b), and if records of the equipment are prepared and maintained 
in accordance with Sec.  376.11(d).
    (d) Authorized and private carriers under common ownership and 
control may lease equipment to each other

[[Page 153]]

under this section without complying with the requirements of paragraph 
(a) of this section pertaining to identification of equipment, and the 
requirements of paragraphs (c)(2) and (c)(4) of this section pertaining 
to equipment receipts. The leasing of equipment between such carriers 
will be subject to all other requirements of this section.

[49 FR 9570, Mar. 14, 1984, as amended at 49 FR 47269, Dec. 3, 1984; 49 
FR 47851, Dec. 7, 1984; 62 FR 15424, Apr. 1, 1997; 63 FR 40838, July 31, 
1998]



Sec.  376.26  Exemption for leases between authorized carriers and
their agents.

    The leasing regulations set forth in Sec.  376.12(e) through (l) do 
not apply to leases between authorized carriers and their agents.

[47 FR 28398, June 30, 1982, as amended at 62 FR 15424, Apr. 1, 1997]



                    Subpart D_Interchange Regulations



Sec.  376.31  Interchange of equipment.

    Authorized for-hire motor carriers may interchange equipment under 
the following conditions:
    (a) Interchange agreement. There shall be a written contract, lease, 
or other arrangement providing for the interchange and specifically 
describing the equipment to be interchanged. This written agreement 
shall set forth the specific points of interchange, how the equipment is 
to be used, and the compensation for such use. The interchange agreement 
shall be signed by the parties or by their authorized representatives.
    (b) Operating authority. The carriers participating in the 
interchange shall be registered with the Secretary to provide the 
transportation of the commodities at the point where the physical 
exchange occurs.
    (c) Through bills of lading. The traffic transported in interchange 
service must move on through bills of lading issued by the originating 
carrier. The rates charged and the revenues collected must be accounted 
for in the same manner as if there had been no interchange. Charges for 
the use of the interchanged equipment shall be kept separate from 
divisions of the joint rates or the proportions of such rates accruing 
to the carriers by the application of local or proportional rates.
    (d) Identification of equipment. The authorized for-hire motor 
carrier receiving the equipment shall identify equipment operated by it 
in interchange service as follows:
    (1) The authorized for-hire motor carrier shall identify power units 
in accordance with FMCSA's requirements in 49 CFR part 390 
(Identification of Vehicles). Before giving up possession of the 
equipment, the carrier shall remove all identification showing it as the 
operating carrier.
    (2) Unless a copy of the interchange agreement is carried on the 
equipment, the authorized for-hire motor carrier shall carry a statement 
with each vehicle during interchange service certifying that it is 
operating the equipment. The statement shall also identify the equipment 
by company or State registration number and shall show the specific 
point of interchange, the date and time it assumes responsibility for 
the equipment, and the use to be made of the equipment. This statement 
shall be signed by the parties to the interchange agreement or their 
authorized representatives. The requirements of this paragraph shall not 
apply where the equipment to be operated in interchange service consists 
only of trailers or semitrailers.
    (3) Authorized carriers under common ownership and control may 
interchange equipment with each other without complying with the 
requirements of paragraph (d)(1) of this section pertaining to removal 
of identification from equipment.
    (e) Connecting carriers considered as owner--An authorized carrier 
receiving equipment in connection with a through movement shall be 
considered to the owner of the equipment for the purpose of leasing the 
equipment to other authorized carriers in furtherance of the movement to 
destination or the return of the equipment after the movement is 
completed.

[44 FR 4681, Jan. 23, 1979. Redesignated at 61 FR 54707, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997; 63 FR 40838, July 31, 1998; 81 
FR 68346, Oct. 4, 2016]

[[Page 154]]



                 Subpart E_Private Carriers and Shippers



Sec.  376.42  Lease of equipment by regulated carriers.

    Authorized carriers may lease equipment and drivers from private 
carriers, for periods of less than 30 days, in the manner set forth in 
Sec.  376.22.

[49 FR 9570, Mar. 14, 1984, as amended at 51 FR 37034, Oct. 17, 1986; 62 
FR 15424, Apr. 1, 1997]



PART 377_PAYMENT OF TRANSPORTATION CHARGES--Table of Contents



                 Subpart A_Handling of C.O.D. Shipments

Sec.
377.101 Applicability.
377.103 Tariff requirements.
377.105 Collection and remittance.

Subpart B_Extension of Credit to Shippers by For-Hire, Non-Exempt Motor 
             Carriers and Household Goods Freight Forwarders

377.201 Scope.
377.203 Extension of credit to shippers.
377.205 Presentation of freight bills.
377.207 Effect of mailing freight bills or payments.
377.209 Additional charges.
377.211 Computation of time.
377.213-377.215 [Reserved]
377.217 Interline settlement of revenues.

    Authority: 49 U.S.C. 13101, 13301, 13701, 13702, 13706, 13707, and 
14101; and 49 CFR 1.87.

    Editorial Note: Nomenclature changes to part 377 appear at 66 FR 
49871, Oct. 1, 2001.



                 Subpart A_Handling of C.O.D. Shipments

    Source: 32 FR 20050, Dec. 20, 1967, unless otherwise noted. 
Redesignated at 61 FR 54708, Oct. 21, 1996.



Sec.  377.101  Applicability.

    (a) Applicability. The rules and regulations in this part apply to 
the transportation by motor vehicle of cash-on-delivery (c.o.d.) 
shipments by all for-hire motor carriers of property subject to 49 
U.S.C. 13702.
    (b) Exceptions. (1) The rules in this part do not apply to 
transportation which is auxiliary to or supplemental of transportation 
by railroad and performed on railroad bills of lading.
    (2) The rules in this part do not apply to transportation which is 
performed for freight forwarders and on freight forwarder bills of 
lading.

[81 FR 68346, Oct. 4, 2016]



Sec.  377.103  Tariff requirements.

    No motor carrier of property subject to the provisions of 49 U.S.C. 
13702, except as otherwise provided in Sec.  377.101, shall render any 
c.o.d. service unless such carrier has published, posted and filed 
tariffs which contain the rates, charges and rules governing such 
service, which rules shall conform to the regulations in this part.

[32 FR 20050, Dec. 20, 1967. Redesignated at 61 FR 54708, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997; 81 FR 68346, Oct. 4, 2016]



Sec.  377.105  Collection and remittance.

    Every motor carrier of property subject to 49 U.S.C. 13702, except 
as otherwise provided in Sec.  377.101, which chooses to provide c.o.d. 
service may publish and maintain, or cause to be published and 
maintained for its account, a tariff or tariffs which set forth 
nondiscriminatory rules governing c.o.d. service and the collection and 
remittance of c.o.d. funds. Alternatively, any carrier that provides 
c.o.d. service, but does not wish to publish and maintain, or cause to 
be published and maintained, its own nondiscriminatory tariff, may adopt 
a rule requiring remittance of each c.o.d. collection directly to the 
consignor or other person designated by the consignor as payee within 
fifteen (15) days after delivery of the c.o.d. shipment to the 
consignee.

[52 FR 45966, Dec. 3, 1987, as amended at 62 FR 15424, Apr. 1, 1997; 81 
FR 68346, Oct. 4, 2016]



Subpart B_Extension of Credit to Shippers by For-Hire, Non-Exempt Motor 
             Carriers and Household Goods Freight Forwarders

    Source: 50 FR 2290, Jan. 16, 1985, unless otherwise noted. 
Redesignated at 61 FR 54709, Oct. 21, 1996.

[[Page 155]]



Sec.  377.201  Scope.

    (a) General. These regulations apply to the extension of credit in 
the transportation of property under Federal Motor Carrier Safety 
Administration regulation by for-hire, non-exempt motor carriers and 
household goods freight forwarders subject to 49 U.S.C. subtitle IV, 
part B, except as otherwise provided.
    (b) Exceptions. These regulations do not apply to--
    (1) Transportation for--
    (i) The United States or any department, bureau, or agency thereof;
    (ii) Any State or political subdivision thereof; or
    (iii) The District of Columbia.
    (2) Property transportation incidental to passenger operations.

[81 FR 68346, Oct. 4, 2016]



Sec.  377.203  Extension of credit to shippers.

    (a) Authorization to extend credit. (1) A carrier that meets the 
requirements in paragraph (a)(2) of this section may--
    (i) Relinquish possession of freight in advance of the payment of 
the tariff charges, and
    (ii) Extend credit in the amount of such charges to those who 
undertake to pay them (such persons are called shippers in this part).
    (2) For such authorization, the carrier shall take reasonable 
actions to assure payment of the tariff charges within the credit 
periods specified--
    (i) In this part, or
    (ii) In tariff provisions published pursuant to the regulations in 
paragraph (d) of this section.
    (b) When the credit period begins. The credit period shall begin on 
the day following presentation of the freight bill.
    (c) Length of credit period. Unless a different credit period has 
been established by tariff publication pursuant to paragraph (d) of this 
section, the credit period is 15 days. It includes Saturdays, Sundays, 
and legal holidays.
    (d) Carriers may establish different credit periods in tariff rules. 
Carriers may publish tariff rules establishing credit periods different 
from those in paragraph (c) of this section. Such credit periods shall 
not be longer than 30 calendar days.
    (e) Service charges. (1) Service charges shall not apply when credit 
is extended and payments are made within the standard credit period. The 
term standard credit period, as used in the preceding sentence, means--
    (i) The credit period prescribed in paragraph (c) of this section, 
or
    (ii) A substitute credit period published in a tariff rule pursuant 
to the authorization in paragraph (d) of this section.
    (2) Carriers may, by tariff rule, extend credit for an additional 
time period, subject if they wish to a service charge for that 
additional time. The combined length of the carrier's standard credit 
period (as defined in paragraph (e)(1) of this section) and its 
additional credit period shall not exceed the 30-day maximum credit 
period prescribed in paragraph (d) of this section. When such a tariff 
rule is in effect, shippers may elect to postpone payment until the end 
of the extended credit period if, in consideration therefor, they 
include any published service charges when making their payment.
    (3) Carriers may, by tariff rule, establish service charges for 
payments made after the expiration of an authorized credit period. Such 
a rule shall--
    (i) Institute such charges on the day following the last day of an 
authorized credit period, and
    (ii) Notify shippers--
    (A) That its only purpose is to prevent a shipper who does not pay 
on time from having free use of funds due to the carrier,
    (B) That it does not sanction payment delays, and
    (C) That failure to pay within the authorized credit period will, 
despite this provision for such charges, continue to require the 
carrier, before again extending credit, to determine in good faith 
whether the shipper will comply with the credit regulations in the 
future.
    (4) Tariff rules that establish charges pursuant to paragraph (e) 
(2) or (3) of this section may establish minimum charges.
    (f) Discounts. Carriers may, by tariff rule, authorize discounts for 
early freight bill payments when credit is extended.

[[Page 156]]

    (g)(1) Collection expense charges. Carriers may, by tariff rule, 
assess reasonable and certain liquidated damages for all costs incurred 
in the collection of overdue freight charges. Carriers may use one of 
two methods in their tariffs:
    (i) The first method is to assess liquidated damages as a separate 
additional charge to the unpaid freight bill. In doing so, the tariff 
rule shall disclose the exact amount of the charges by stating either a 
dollar or specified percentage amount (or a combination of both) of the 
unpaid freight bill. The tariff shall further specify the time period 
(which shall at least allow for the authorized credit period) within 
which the shipper must pay to avoid such liquidated damages.
    (ii) The second method is to require payment of the full, 
nondiscounted rate instead of the discounted rate otherwise applicable. 
The difference between the discount and the full rate constitutes a 
carrier's liquidated damages for its collection effort. Under this 
method the tariff shall identify the discount rates that are subject to 
the condition precedent and which require the shipper to make payment by 
a date certain. The date certain may not be set to occur by the carrier 
until at least after the expiration of the carrier's authorized credit 
period.
    (2) The damages, the timing of their applicability, and the 
conditions, if any, as provided by the tariff-rule methods allowed under 
paragraphs (g)(1) (i) and (ii) of this section also:
    (i) Shall be clearly described in the tariff rule;
    (ii) Shall be applied without unlawful prejudice and/or unjust 
discrimination between similarly situated shippers and/or consignees;
    (iii) Shall be applied only to the nonpayment of original, separate 
and independent freight bills and shall not apply to aggregate balance-
due claims sought for collection on past shipments by a bankruptcy 
trustee, or any other person or agent;
    (iv) Shall not apply to instances of clear clerical or ministerial 
error such as non-receipt of a carrier's freight bill, or shipper's 
payment check lost in the mail, or carrier mailing of the freight bill 
to the wrong address;
    (v) Shall not apply in any way to a charge for a transportation 
service if the carrier's bill of lading independently provides that the 
shipper is liable for fees incurred by the carrier in the collection of 
freight charges on that same transportation service;
    (vi) shall be applied only after the authorized credit period, and 
when the carrier has issued a revised freight bill or notice of 
imposition of collection expense charges for late payment within 90 days 
after expiration of the authorized credit period.
    (3) As an alternative to the tariff-rule methods allowed under 
paragraphs (g)(1) (i) and (ii) of this section, a carrier may, wholly 
outside of its tariff, assess collection charges though contract terms 
in a bill of lading. By using the carrier and its bill of lading, the 
shipper accepts the bill of lading terms.
    (h) Discrimination prohibited. Tariff rules published pursuant to 
paragraphs (d), (e), and (f) of this section shall not result in 
unreasonable discrimination among shippers.

[50 FR 2290, Jan. 16, 1985, as amended at 53 FR 6991, Mar. 4, 1988; 54 
FR 30748, July 24, 1989]



Sec.  377.205  Presentation of freight bills.

    (a) ``To be prepaid'' shipments. (1) On ``to be prepaid'' shipments, 
the carrier shall present its freight bill for all transportation 
charges within the time period prescribed in paragraph (a)(2) of this 
section, except--
    (i) As noted in paragraph (d) of this section, or
    (ii) As otherwise excepted in this part.
    (2) The time period for a carrier to present its freight bill for 
all transportation charges shall be 7 days, measured from the date the 
carrier received the shipment. This time period does not include 
Saturdays, Sundays, or legal holidays.
    (b) ``Collect'' shipments. (1) On ``collect'' shipments, the carrier 
shall present its freight bill for all transportation charges within the 
time period prescribed in paragraph (b)(2) and of this section, except--
    (i) As noted in paragraph (d) of this section, or

[[Page 157]]

    (ii) As otherwise excepted in this part.
    (2) The time period for a carrier to present its freight bill for 
all transportation charges shall be 7 days, measured from the date the 
shipment was delivered at its destination. This time period does not 
include Saturdays, Sundays, or legal holidays.
    (c) Bills or accompanying written notices shall state penalties for 
late payment, credit time limits and service charge and/or collection 
expense charge and discount terms. When credit is extended, freight 
bills or a separate written notice accompanying a freight bill or a 
group of freight bills presented at one time shall state that ``failure 
timely to pay freight charges may be subject to tariff penalties'' (or a 
statement of similar import). The bills or other notice shall also state 
the time by which payment must be made and any applicable service charge 
and/or collection expense charge and discount terms.
    (d) When the carrier lacks sufficient information to compute tariff 
charges. (1) When information sufficient to enable the carrier to 
compute the tariff charges is not then available to the carrier at its 
billing point, the carrier shall present its freight bill for payment 
within 7 days following the day upon which sufficient information 
becomes available at the billing point. This time period does not 
include Saturdays, Sundays, or legal holidays.
    (2) A carrier shall not extend further credit to any shipper which 
fails to furnish sufficient information to allow the carrier to render a 
freight bill within a reasonable time after the shipment is tendered to 
the origin carrier.
    (3) As used in this paragraph, the term ``shipper'' includes, but is 
not limited to, freight forwarders, and shippers' associations and 
shippers' agents.

[50 FR 2290, Jan. 16, 1985, as amended at 54 FR 30748, July 24, 1989; 62 
FR 15424, Apr. 1, 1997]



Sec.  377.207  Effect of mailing freight bills or payments.

    (a) Presentation of freight bills by mail. When carriers present 
freight bills by mail, the time of mailing shall be deemed to be the 
time of presentation of the bills. The term freight bills, as used in 
this paragraph, includes both paper documents and billing by use of 
electronic media such as computer tapes or disks, when the mails are 
used to transmit them.
    (b) Payment by mail. Wnen shippers mail acceptable checks, drafts, 
or money orders in payment of freight charges, the act of mailing them 
within the credit period shall be deemed to be the collection of the 
tariff charges within the credit period for the purposes of the 
regulations in this part.
    (c) Disputes as to date of mailing. In case of dispute as to the 
date of mailing, the postmark shall be accepted as such date.



Sec.  377.209  Additional charges.

    When a carrier--
    (a) Has collected the amount of tariff charges represented in a 
freight bill presented by it as the total amount of such charges, and
    (b) Thereafter presents to the shipper another freight bill for 
additional charges--

the carrier may extend credit in the amount of such additional charges 
for a period of 30 calendar days from the date of the presentation of 
the freight bill for the additional charges.



Sec.  377.211  Computation of time.

    Time periods involving calendar days shall be calculated pursuant to 
49 CFR 386.8.

[80 FR 59072, Oct. 1, 2015]



Sec. Sec.  377.213-377.215  [Reserved]



Sec.  377.217  Interline settlement of revenues.

    Nothing in this part shall be interpreted as affecting the interline 
settlement of revenues from traffic which is transported over through 
routes composed of lines of motor carriers subject to the Secretary's 
jurisdiction under 49 U.S.C. subtitle IV, part B.

[50 FR 2290, Jan. 16, 1985. Redesignated at 61 FR 54709, Oct. 21, 1996, 
as amended at 62 FR 15424, Apr. 1, 1997; 81 FR 68346, Oct. 4, 2016]

[[Page 158]]



PART 378_PROCEDURES GOVERNING THE PROCESSING, INVESTIGATION, AND
DISPOSITION OF OVERCHARGE, DUPLICATE PAYMENT, OR OVERCOLLECTION CLAIMS
--Table of Contents



Sec.
378.1 Applicability.
378.2 Definitions.
378.3 Filing and processing claims.
378.4 Documentation of claims.
378.5 Investigation of claims.
378.6 Claim records.
378.7 Acknowledgment of claims.
378.8 Disposition of claims.
378.9 Disposition of unidentified payments, overcharges, duplicate 
          payments, and overcollections not supported by claims.

    Authority: 49 U.S.C. 13321, 14101, 14704 and 14705; and 49 CFR 1.87.

    Source: 43 FR 41040, Sept. 14, 1978, unless otherwise noted. 
Redesignated at 61 FR 54707, Oct. 21, 1996.



Sec.  378.1  Applicability.

    The regulations set forth in this part govern the processing of 
claims for overcharge, duplicate payment, or overcollection for the 
transportation of property in interstate or foreign commerce by motor 
carriers and household goods freight forwarders subject to 49 U.S.C. 
subtitle IV, part B.

[43 FR 41040, Sept. 14, 1978, as amended at 51 FR 44297, Dec. 9, 1986; 
62 FR 15424, Apr. 1, 1997; 81 FR 68346, Oct. 4, 2016]



Sec.  378.2  Definitions.

    (a) Carrier means a motor carrier or household goods freight 
forwarder subject to 49 U.S.C. subtitle IV, part B.
    (b) Overcharge means an overcharge as defined in 49 U.S.C. 14704(b). 
It also includes duplicate payments as defined in paragraph (c) of this 
section and overcollections as defined in paragraph (d) of this section 
when a dispute exists between the parties concerning such charges.
    (c) Duplicate payment means two or more payments for transporting 
the same shipment. Where one or more payment is not in the exact amount 
of the applicable tariff rates and charges, refunds shall be made on the 
basis of the excess amount over the applicable tariff rates and charges.
    (d) Overcollection means the receipt by a household goods carrier of 
a payment in excess of the transportation and/or accessorial charges 
applicable to a particular shipment of household goods, as defined in 
part 375 of this chapter, under tariffs lawfully on file with the United 
States Department of Transportation's Surface Transportation Board.
    (e) Unidentified payment means a payment which a carrier has 
received but which the carrier is unable to match with its open accounts 
receivable or otherwise identify as being due for the performance of 
transportation services.
    (f) Claimant means any shipper or receiver, or its authorized agent, 
filing a request with a carrier for the refund of an overcharge, 
duplicate payment, or overcollection.

[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 66832, Nov. 21, 1979; 
51 FR 34989, Oct. 1, 1986; 51 FR 44297, Dec. 9, 1986; 62 FR 15424, Apr. 
1, 1997; 81 FR 68346, Oct. 4, 2016]



Sec.  378.3  Filing and processing claims.

    (a) A claim for overcharge, duplicate payment, or overcollection 
shall not be paid unless filed in writing or electronically communicated 
(when agreed to by the carrier and shipper or receiver involved) with 
the carrier that collected the transportation charges. The collecting 
carrier shall be the carrier to process all such claims. When a claim is 
filed with another carrier that participated in the transportation, that 
carrier shall transmit the claim to the collecting carrier within 15 
days after receipt of the claim. If the collecting carrier is unable to 
dispose of the claim for any reason, the claim may be filed with or 
transferred to any participating carrier for final disposition.
    (b) A single claim may include more than one shipment provided the 
claim on each shipment involves:
    (1) The same tariff issue or authority or circumstances,
    (2) Single line service by the same carrier, or
    (3) Service by the same interline carriers.

[43 FR 41040, Sept. 14, 1978, as amended at 47 FR 12804, Mar. 25, 1982]

[[Page 159]]



Sec.  378.4  Documentation of claims.

    (a) Claims for overcharge, duplicate payment, or overcollection 
shall be accompanied by sufficient information to allow the carriers to 
conduct an investigation and pay or decline the claim within the time 
limitations set forth in Sec.  378.8. Claims shall include the name of 
the claimant, its file number, if any, and the amount of the refund 
sought to be recovered, if known.
    (b) Except when the original freight bill is not a paper document 
but is electronically transmitted, claims for overcharge shall be 
accompanied by the original freight bill. Additional information may 
include, but is not limited to, the following:
    (1) The rate, classification, or commodity description or weight 
claimed to have been applicable.
    (2) Complete tariff authority for the rate, classification, or 
commodity description claimed.
    (3) Freight bill payment information.
    (4) Other documents or data which is believed by claimant to 
substantiate the basis for its claim.
    (c) Claims for duplicate payment and overcollection shall be 
accompanied by the original freight bill(s) for which charges were paid 
(except when the original freight bill is not a paper document but is 
electronically transmitted) and by freight bill payment information.
    (d) Regardless of the provisions of paragraphs (a), (b), and (c) of 
this section, the failure to provide sufficient information and 
documentation to allow a carrier to conduct an investigation and pay or 
decline the claim within the allowable time limitation shall not 
constitute grounds for disallowance of the claim. Rather, the carrier 
shall comply with Sec.  378.5(c) to obtain the additional information 
required.
    (e) A carrier shall accept copies instead of the orginal documents 
required to be submitted in this section where the carrier is furnished 
with an agreement entered into by the claimant which indemnifies the 
carrier for subsequent duplicate claims which might be filed and 
supported by the original documents.

[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 4679, Jan. 23, 1979; 
47 FR 12804, Mar. 25, 1982; 62 FR 15424, Apr. 1, 1997]



Sec.  378.5  Investigation of claims.

    (a) Upon receipt of a claim, whether written or otherwise, the 
processing carrier shall promptly initiate an investigation and 
establish a file, as required by Sec.  378.6.
    (b) If a carrier discovers an overcharge, duplicate payment, or 
overcollection which has not been the subject of a claim, it shall 
promptly initiate an investigation and comply with the provisions in 
Sec.  378.9.
    (c) In the event the carrier processing the claim requires 
information or documents in addition to that submitted with the claim, 
the carrier shall promptly notify the claimant and request the 
information required. This includes notifying the claimant that a 
written or electronically transmitted claim must be filed before the 
carrier becomes subject to the time limits for settling such a claim 
under Sec.  378.8.

[43 FR 41040, Sept. 14, 1978, as amended at 47 FR 12804, Mar. 25, 1982; 
62 FR 15424, 15425, Apr. 1, 1997]



Sec.  378.6  Claim records.

    At the time a claim is received the carrier shall create a separate 
file and assign it a successive claim file number and note that number 
on all documents filed in support of the claim and all records and 
correspondence with respect to the claim, including the written or 
electronic acknowledgment of receipt required under Sec.  378.7. If 
pertinent to the disposition of the claim, the carrier shall also note 
that number on the shipping order and delivery receipt, if any, covering 
the shipment involved.

[47 FR 12804, Mar. 25, 1982, as amended at 62 FR 15425, Apr. 1, 1997]



Sec.  378.7  Acknowledgment of claims.

    Upon receipt of a written or electronically transmitted claim, the 
carrier shall acknowledge its receipt in writing or electronically to 
the claimant within 30 days after the date of receipt except when the 
carrier shall have paid or declined in writing or electronically within 
that period. The carrier shall include the date of receipt in its 
written or electronic claim which

[[Page 160]]

shall be placed in the file for that claim.

[47 FR 12804, Mar. 25, 1982]



Sec.  378.8  Disposition of claims.

    The processing carrier shall pay, decline to pay, or settle each 
written or electronically communicated claim within 60 days after its 
receipt by that carrier, except where the claimant and the carrier agree 
in writing or electronically to a specific extension based upon 
extenuating circumstances. If the carrier declines to pay a claim or 
makes settlement in an amount different from that sought, the carrier 
shall notify the claimant in writing or electronically, of the reason(s) 
for its action, citing tariff authority or other pertinent information 
developed as a result of its investigation.

[47 FR 12804, Mar. 25, 1982]



Sec.  378.9  Disposition of unidentified payments, overcharges, duplicate
payments, and overcollections not supported by claims.

    (a)(1) Carriers shall establish procedures for identifying and 
properly applying all unidentified payments. If a carrier does not have 
sufficient information with which properly to apply such a payment, the 
carrier shall notify the payor of the unidentified payment within 60 
days of receipt of the payment and request information which will enable 
it to identify the payment. If the carrier does not receive the 
information requested within 90 days from the date of the notice, the 
carrier may treat the unidentified payment as a payment in fact of 
freight charges owing to it. Following the 90-day period, the regular 
claims procedure under this part shall be applicable.
    (2) Notice shall be in writing and clearly indicate that it is a 
final notice and not a bill. Notice shall include: The check number, 
amount, and date; the payor's name; and any additional basic information 
the carrier is able to provide. The final notice also must inform payor 
that: (i) Applicable regulations allow the carrier to conditionally 
retain the payment as revenue in the absence of a timely response by the 
payor; and (ii) following the 90-day period the regular claims procedure 
shall be applicable.
    (3) Upon a carrier's receipt of information from the payor, the 
carrier shall, within 14 days: (i) Make a complete refund of such funds 
to the payor; or (ii) notify the payor that the information supplied is 
not sufficient to identify the unapplied payment and request additional 
information; or (iii) notify the payor of the carrier's determination 
that such payment was applicable to particular freight charges lawfully 
due the carrier. Where no refund is made by the carrier, the carrier 
shall advise the payor of its right to file a formal claim for refund 
with the carrier in accordance with the regular claims procedure under 
this part.
    (b) When a carrier which participates in a transportation movement, 
but did not collect the transporation charges, finds that an overpayment 
has been made, that carrier shall immediately notify the collecting 
carrier. When the collecting carrier (when single or joint line haul) 
discovers or is notified by such a participating carrier that an 
overcharge, duplicate payment, or overcollection exists for any 
tranportation charge which has not been the subject of a claim, the 
carrier shall create a file as if a claim had been submitted and shall 
record in the file the date it discovered or was notified of the 
overpayment. The carrier that collected the charges shall then refund 
the amount of the overpayment to the person who paid the transportation 
charges or to the person that made duplicate payment within 30 days from 
the date of such discovery or notification.

[43 FR 41040, Sept. 14, 1978, as amended at 44 FR 66832, Nov. 21, 1979]



PART 379_PRESERVATION OF RECORDS--Table of Contents



Sec.
379.1 Applicability.
379.3 Records required to be retained.
379.5 Protection and storage of records.
379.7 Preservation of records.
379.9 Companies going out of business.
379.11 Waiver of requirements of the regulations in this part.
379.13 Disposition and retention of records.

Appendix A to Part 379--Schedule of Records and Periods of Retention


[[Page 161]]


    Authority: 49 U.S.C. 13301, 14122 and 14123; and 49 CFR 1.87.

    Source: 62 FR 32044, June 12, 1997, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 379 appear at 66 FR 
49871, Oct. 1, 2001.



Sec.  379.1  Applicability.

    (a) The preservation of record rules contained in this part shall 
apply to the following:
    (1) Motor carriers and brokers;
    (2) Water carriers; and
    (3) Household goods freight forwarders.
    (b) This part applies also to the preservation of accounts, records 
and memoranda of traffic associations, weighing and inspection bureaus, 
and other joint activities maintained by or on behalf of companies 
listed in paragraph (a) of this section.



Sec.  379.3  Records required to be retained.

    Companies subject to this part shall retain records for the minimum 
retention periods provided in appendix A to this part. After the 
required retention periods, the records may be destroyed at the 
discretion of each company's management. It shall be the obligation of 
the subject company to maintain records that adequately support 
financial and operational data required by the Secretary. The company 
may request a ruling from the Secretary on the retention of any record. 
The provisions of this part shall not be construed as excusing 
compliance with the lawful requirements of any other governmental body 
prescribing longer retention periods for any category of records.



Sec.  379.5  Protection and storage of records.

    (a) The company shall protect records subject to this part from 
fires, floods, and other hazards, and safeguard the records from 
unnecessary exposure to deterioration from excessive humidity, dryness, 
or lack of ventilation.
    (b) The company shall notify the Secretary if prescribed records are 
substantially destroyed or damaged before the term of the prescribed 
retention periods.



Sec.  379.7  Preservation of records.

    (a) All records may be preserved by any technology that is immune to 
alteration, modification, or erasure of the underlying data and will 
enable production of an accurate and unaltered paper copy.
    (b) Records not originally preserved on hard copy shall be 
accompanied by a statement executed by a person having personal 
knowledge of the facts indicating the type of data included within the 
records. One comprehensive statement may be executed in lieu of 
individual statements for multiple records if the type of data included 
in the multiple records is common to all such records. The records shall 
be indexed and retained in such a manner as will render them readily 
accessible. The company shall have facilities available to locate, 
identify and produce legible paper copies of the records.
    (c) Any significant characteristic, feature or other attribute that 
a particular medium will not preserve shall be clearly indicated at the 
beginning of the applicable records as appropriate.
    (d) The printed side of forms, such as instructions, need not be 
preserved for each record as long as the printed matter is common to all 
such forms and an identified specimen of the form is maintained on the 
medium for reference.



Sec.  379.9  Companies going out of business.

    The records referred to in the regulations in this part may be 
destroyed after business is discontinued and the company is completely 
liquidated. The records may not be destroyed until dissolution is final 
and all pending transactions and claims are completed. When a company is 
merged with another company under jurisdiction of the Secretary, the 
successor company shall preserve records of the merged company in 
accordance with the regulations in this part.



Sec.  379.11  Waiver of requirements of the regulations in this part.

    A waiver from any provision of the regulations in this part may be 
made by the Secretary upon his/her own initiative or upon submission of 
a written request by the company. Each request

[[Page 162]]

for waiver shall demonstrate that unusual circumstances warrant a 
departure from prescribed retention periods, procedures, or techniques, 
or that compliance with such prescribed requirements would impose an 
unreasonable burden on the company.



Sec.  379.13  Disposition and retention of records.

    The schedule in appendix A to this part shows periods that 
designated records shall be preserved. The descriptions specified under 
the various general headings are for convenient reference and 
identification, and are intended to apply to the items named regardless 
of what the records are called in individual companies and regardless of 
the record media. The retention periods represent the prescribed number 
of years from the date of the document and not calendar years. Records 
not listed in appendix A to this part shall be retained as determined by 
the management of each company.



    Sec. Appendix A to Part 379--Schedule of Records and Periods of 
                                Retention

------------------------------------------------------------------------
 Item and category of records               Retention period
------------------------------------------------------------------------
   A. Corporate and General
 
1. Incorporation and
 reorganization:
    (a) Charter or             Note A.
     certificate of
     incorporation and
     amendments.
    (b) Legal documents        Note A.
     related to mergers,
     consolidations,
     reorganization,
     receiverships and
     similar actions which
     affect the identity or
     organization of the
     company.
2. Minutes of Directors,       Note A.
 Executive Committees,
 Stockholders and other
 corporate meetings.
3. Titles, franchises and
 authorities:
    (a) Certificates of        Until expiration or cancellation.
     public convenience and
     necessity issued by
     regulating bodies.
    (b) Operating              Until expiration or cancellation.
     authorizations and
     exemptions to operate.
    (c) Copies of formal       Note A.
     orders of regulatory
     bodies served upon the
     company.
    (d) Deeds, charters, and   Until disposition of property.
     other title papers.
4. Annual reports or           3 years.
 statements to stockholders.
5. Contracts and agreements:
    (a) Service contracts,     Until expiration or termination plus 3
     such as for operational    years.
     management, accounting,
     financial or legal
     services, and agreements
     with agents.
    (b) Contracts and other    Until expiration or termination plus 3
     agreements relating to     years.
     the construction,
     acquisition or sale of
     real property and
     equipment except as
     otherwise provided in
     (a) above.
    (c) Contracts for the      Until expiration.
     purchase or sale of
     material and supplies
     except as provided in
     (a) above.
    (d) Shipping contracts     Until expiration.
     for transportation or
     caretakers of freight.
    (e) Contracts with         Until expiration.
     employees and employee
     bargaining groups.
    (f) Contracts, leases and  Until expiration or termination plus 1
     agreements, not            year.
     specifically provided
     for in this section.
6. Accountant's auditor's,
 and inspector's reports:
    (a) Certifications and     3 years.
     reports of examinations
     and audits conducted by
     public accountants.
    (b) Reports of             3 years.
     examinations and audits
     conducted by internal
     auditors, time
     inspectors, and others.
7. Other.....................  Note A.
 
         B. Treasury
 
1. Capital stock records:
    (a) Capital stock ledger.  Note A.
    (b) Capital stock          Note A.
     certificates, records of
     or stubs of.
    (c) Stock transfer         Note A.
     register.
2. Long-term debt records:
    (a) Bond indentures,       Until redemption plus 3 years.
     underwritings,
     mortgages, and other
     long-term credit
     agreements.
    (b) Registered bonds and   Until redemption plus 3 years.
     debenture ledgers.
    (c) Stubs or similar       Note A.
     records of bonds or
     other long-term debt
     issued.
3. Authorizations from         Note A.
 regulatory bodies for
 issuance of securities
 including applications,
 reports, and supporting
 papers.
4. Records of securities       Until the securities are sold, redeemed
 owned, in treasury, or held    or otherwise disposed of.
 by custodians, detailed
 ledgers and journals, or
 their equivalent.
5. Other.....................  Note A.
 
 C. Financial and Accounting
 
1. Ledgers:

[[Page 163]]

 
    (a) General and            Until discontinuance of use plus 3 years.
     subsidiary ledgers with
     indexes.
    (b) Balance sheets and     3 years.
     trial balance sheets of
     general and subsidiary
     ledgers.
2. Journals:
    (a) General journals.....  Until discontinuance of use plus 3 years.
    (b) Subsidiary journals    3 years.
     and any supporting data,
     except as otherwise
     provided for, necessary
     to explain journal
     entries.
3. Cash books:
    (a) General cash books...  Until discontinuance of use plus 3 years.
    (b) Subsidiary cash books  3 years.
4. Vouchers:
    (a) Voucher registers,     3 years.
     indexes, or equivalent.
    (b) Paid and canceled      3 years.
     vouchers, expenditure
     authorizations, detailed
     distribution sheets and
     other supporting data
     including original bills
     and invoices, if not
     provided for elsewhere.
    (c) Paid drafts, paid      3 years.
     checks, and receipts for
     cash paid out.
5. Accounts receivable:
    (a) Record or register of  3 years after settlement.
     accounts receivable,
     indexes thereto, and
     summaries of
     distribution.
    (b) Bills issued for       3 years after settlement.
     collection and
     supporting data.
    (c) Authorization for      1 year.
     writing off receivables.
    (d) Reports and            1 year.
     statements showing age
     and status of
     receivables.
6. Records of accounting       3 years after discontinuance.
 codes and instructions.
7. Other.....................  Note A.
 
  D. Property and Equipment
 
  Note.--All accounts, records, and memoranda necessary for making a
complete analysis of the cost or value of property shall be retained for
the periods shown. If any of the records elsewhere provided for in this
schedule are of this character, they shall be retained for the periods
shown below, regardless of any lesser retention period assigned.
 
1. Property records:
    (a) Records which          3 years after disposition of property.
     maintain complete
     information on cost or
     other value of all real
     and personal property or
     equipment.
    (b) Records of additions   3 years after disposition of property.
     and betterments made to
     property and equipment.
    (c) Records pertaining to  3 years after disposition of property.
     retirements and
     replacements of property
     and equipment.
    (d) Records pertaining to  3 years after disposition of property.
     depreciation.
    (e) Records of equipment   3 years after disposition of property.
     number changes.
    (f) Records of motor and   3 years after disposition of property.
     engine changes.
    (g) Records of equipment   Only current or latest records.
     lightweighed and
     stenciled.
2. Engineering records of      3 years after disposition of property.
 property changes actually
 made.
3. Other.....................  Note A.
 
   E. Personnel and Payroll
 
1. Personnel and payroll       1 year.
 records.
 
   F. Insurance and Claims
 
1. Insurance records:
    (a) Schedules of           Until expiration plus 1 year.
     insurance against fire,
     storms, and other
     hazards and records of
     premium payments.
    (b) Records of losses and  1 year after settlement.
     recoveries from
     insurance companies and
     supporting papers.
    (c) Insurance policies...  Until expiration of coverage plus 1 year.
2. Claims records:
    (a) Claim registers, card  1 year after settlement.
     or book indexes, and
     other records which
     record personal injury,
     fire and other claims
     against the company,
     together with all
     supporting data.
    (b) Claims registers,      1 year after settlement.
     card or book indexes,
     and other records which
     record overcharges,
     damages, and other
     claims filed by the
     company against others,
     together with all
     supporting data.
    (c) Records giving the     3 years.
     details of authorities
     issued to agents,
     carriers, and others for
     participation in freight
     claims.
    (d) Reports, statements    3 years.
     and other data
     pertaining to personal
     injuries or damage to
     property when not
     necessary to support
     claims or vouchers.
    (e) Reports, statements,   1 year.
     tracers, and other data
     pertaining to unclaimed,
     over, short, damaged,
     and refused freight,
     when not necessary to
     support claims or
     vouchers.
    (f) Authorities for        3 years.
     disposal of unclaimed,
     damaged, and refused
     freight.
3. Other.....................  Note A.
 
           G. Taxes
 
1. Taxes.....................  Note A.
 
   H. Purchases and Stores
 
1. Purchases and stores......  Note A.
 

[[Page 164]]

 
    I. Shipping and Agency
          Documents
 
1. Bills of lading and
 releases:
    (a) Consignors' shipping   1 year.
     orders, consignors'
     shipping tickets, and
     copies of bills of
     lading, freight bills
     from other carriers and
     other similar documents
     furnished the carrier
     for movement of freight.
    (b) Shippers' order-to-    1 year.
     notify bills of lading
     taken up and canceled.
2. Freight waybills:
    (a) Local waybills.......  1 year.
    (b) Interline waybills     1 year.
     received from and made
     to other carriers.
    (c) Company freight        1 year.
     waybills.
    (d) Express waybills.....  1 year.
3. Freight bills and
 settlements:
    (a) Paid copy of freight
     bill retained to support
     receipt of freight
     charges:
        (1) Bus express        1 year.
         freight bills
         provided no claim
         has been filed.
        (2) All other freight  1 year.
         bills.
    (b) Paid copy of freight
     bill retained to support
     payment of freight
     charges to other
     carriers:
        (1) Bus express        1 year.
         freight bills
         provided no claim
         has been filed.
        (2) All other freight  1 year.
         bills.
    (c) Records of unsettled   1 year after disposition.
     freight bills and
     supporting papers.
    (d) Records and reports    1 year.
     of correction notices.
4. Other freight records:
    (a) Records of freight     1 year.
     received, forwarded, and
     delivered.
    (b) Notice to consignees   1 year.
     of arrival of freight;
     tender of delivery.
5. Agency records:
    (a) Cash books...........  1 year.
    (b) Remittance records,    1 year.
     bank deposit slips and
     supporting papers.
    (c) Balance sheets and     1 year.
     supporting papers.
    (d) Statements of          1 year.
     corrections in agents'
     accounts.
    (e) Other records and      1 year.
     reports pertaining to
     ticket sales, baggage
     handled, miscellaneous
     collections, refunds,
     adjustments, etc..
------------------------------------------------------------------------
      J. Transportation
------------------------------------------------------------------------
1. Records pertaining to
 transportation of household
 goods:
    (a) Estimate of charges..  1 year.
    (b) Order for service....  1 year.
    (c) Vehicle load manifest  1 year.
    (d) Descriptive inventory  1 year.
2. Dispatchers' sheets,        3 years.
 registers, and other records
 pertaining to movement of
 transportation equipment.
3. Import and export records   2 years.
 including bonded freight.
4. Records, reports, orders    3 years.
 and tickets pertaining to
 weighting of freight.
5. Records of loading and      2 years.
 unloading of transportation
 equipment.
6. Records pertaining to the   2 years.
 diversion or reconsignment
 of freight, including
 requests, tracers, and
 correspondence.
7. Other.....................  Note A.
------------------------------------------------------------------------
 
    K. Supporting Data for
    Reports and Statistics
 
1. Supporting data for
 reports filed with the
 Federal Motor Carrier Safety
 Administration, the Surface
 Transportation Board, the
 Department of
 Transportation's Bureau of
 Transportation Statistics
 and regulatory bodies:
    (a) Supporting data for    3 years.
     annual financial,
     operating and
     statistical reports.
    (b) Supporting data for    3 years.
     periodical reports of
     operating revenues,
     expenses, and income.
    (c) Supporting data for    3 years.
     reports detailing use of
     proceeds from issuance
     or sale of company
     securities.
    (d) Supporting data for    3 years after disposition of the
     valuation inventory        property.
     reports and records.
     This includes related
     notes, maps and
     sketches, underlying
     engineering, land, and
     accounting reports,
     pricing schedules,
     summary or collection
     sheets, yearly reports
     of changes and other
     miscellaneous data, all
     relating to the
     valuation of the
     company's property by
     the Federal Highway
     Administration, the
     Surface Transportation
     Board, the Department of
     Transportation's Bureau
     of Transportation
     Statistics or other
     regulatory body.
2. Supporting data for         6 months.
 periodical reports of
 accidents, inspections,
 tests, hours of service,
 repairs, etc..
3. Supporting data for         3 years.
 periodical statistical of
 operating results or
 performance by tonnage,
 mileage, passengers carried,
 piggyback traffic,
 commodities, costs, analyses
 of increases and decreases,
 or otherwise.
 
       M. Miscellaneous
 
1. Index of records..........  Until revised as record structure
                                changes.

[[Page 165]]

 
2. Statement listing records   For the remainder of the period as
 prematurely destroyed or       prescribed for records destroyed.
 lost.
------------------------------------------------------------------------
Note A--Records referenced to this note shall be maintained as
  determined by the designated records supervisory official. Companies
  should be mindful of the record retention requirements of the Internal
  Revenue Service, Securities and Exchange Commission, State and local
  jurisdictions, and other regulatory agencies. Companies shall exercise
  reasonable care in choosing retention periods, and the choice of
  retention periods shall reflect past experiences, company needs,
  pending litigation, and regulatory requirements.


[62 FR 32044, June 12, 1997, as amended at 77 FR 59824, Oct. 1, 2012]



PART 380_SPECIAL TRAINING REQUIREMENTS--Table of Contents



 Subpart A_Longer Combination Vehicle (LCV) Driver-Training and Driver-
                     Instructor Requirements_General

Sec.
380.101 Purpose and scope.
380.103 Applicability.
380.105 Definitions.
380.107 General requirements.
380.109 Driver testing.
380.111 Substitute for driver training.
380.113 Employer responsibilities.

                  Subpart B_LCV Driver-Training Program

380.201 General requirements.
380.203 LCV Doubles.
380.205 LCV Triples.

              Subpart C_LCV Driver-Instructor Requirements

380.301 General requirements.
380.303 Substitute for instructor requirements.
380.305 Employer responsibilities.

                 Subpart D_Driver-Training Certification

380.401 Certification document.

           Subpart E_Entry-Level Driver Training Requirements

380.501 Applicability.
380.502 Definitions.
380.503 Entry-level driver training requirements.
380.505 Proof of training.
380.507 Driver responsibilities.
380.509 Employer responsibilities.
380.511 Employer recordkeeping responsibilities.
380.513 Required information on the training certificate.

Subpart F_Entry-Level Driver Training Requirements On and After February 
                                 7, 2020

380.600 Compliance date for training requirements for entry-level 
          drivers.
380.601 Purpose and scope.
380.603 Applicability.
380.605 Definitions.
380.609 General entry-level driver training requirements.

       Subpart G_Registry of Entry-Level Driver Training Providers

380.700 Scope.
380.703 Requirements for listing on the training provider registry 
          (TPR).
380.707 Entry-level training provider requirements.
380.709 Facilities.
380.711 Equipment.
380.713 Instructor requirements.
380.715 Assessments.
380.717 Training certification.
380.719 Requirements for continued listing on the training provider 
          registry (TPR).
380.721 Removal from Training Provider Registry: factors considered.
380.723 Removal from Training Provider Registry: procedure.
380.725 Documentation and record retention.

Appendix A to Part 380--Class A--CDL Training Curriculum
Appendix B to Part 380--Class B--CDL Training Curriculum
Appendix C to Part 380--Passenger Endorsement Training Curriculum
Appendix D to Part 380--School Bus Endorsement Training Curriculum
Appendix E to Part 380--Hazardous Materials Endorsement Training 
          Curriculum
Appendix F to Part 380--LCV Driver Training Programs, Required Knowledge 
          and Skills

    Authority: 49 U.S.C. 31133, 31136, 31305, 31307, 31308, and 31502; 
sec. 4007(a) and (b) of Pub. L. 102-240 (105 Stat. 2151-2152); sec. 
32304 of Pub. L. 112-141; and 49 CFR 1.87.

[[Page 166]]


    Source: 69 FR 16732, Mar. 30, 2004, unless otherwise noted.



 Subpart A_Longer Combination Vehicle (LCV) Driver-Training and Driver-
                     Instructor Requirements_General



Sec.  380.101  Purpose and scope.

    (a) Purpose. The purpose of this part is to establish minimum 
requirements for operators of longer combination vehicles (LCVs) and LCV 
driver-instructors.
    (b) Scope. This part establishes:
    (1) Minimum training requirements for operators of LCVs;
    (2) Minimum qualification requirements for LCV driver-instructors; 
and
    (3) Procedures for determining compliance with this part by 
operators, instructors, training institutions, and employers.



Sec.  380.103  Applicability.

    The rules in this part apply to all operators of LCVs in interstate 
commerce, employers of such persons, and LCV driver-instructors.



Sec.  380.105  Definitions.

    (a) The definitions in part 383 of this subchapter apply to this 
part, except where otherwise specifically noted.
    (b) As used in this part:
    Classroom instructor means a qualified LCV driver-instructor who 
provides knowledge instruction that does not involve the actual 
operation of a longer combination vehicle or its components. Instruction 
may take place in a parking lot, garage, or any other facility suitable 
for instruction.
    Longer combination vehicle (LCV) means any combination of a truck-
tractor and two or more trailers or semi-trailers, which operate on the 
National System of Interstate and Defense Highways with a gross vehicle 
weight (GVW) greater than 36,288 kilograms (80,000 pounds).
    LCV Double means an LCV consisting of a truck-tractor in combination 
with two trailers and/or semi-trailers.
    LCV Triple means an LCV consisting of a truck-tractor in combination 
with three trailers and/or semi-trailers.
    Qualified LCV driver-instructor means an instructor meeting the 
requirements contained in subpart C of this part. There are two types of 
qualified LCV driver-instructors: (1) classroom instructor and (2) 
skills instructor.
    Skills instructor means a qualified LCV driver-instructor who 
provides behind-the-wheel instruction involving the actual operation of 
a longer combination vehicle or its components outside a classroom.
    Training institution means any technical or vocational school 
accredited by an accrediting institution recognized by the U.S. 
Department of Education. A motor carrier's training program for its 
drivers or an entity that exclusively offers services to a single motor 
carrier is not a training institution.



Sec.  380.107  General requirements.

    (a) Except as provided in Sec.  380.111, a driver who wishes to 
operate an LCV shall first take and successfully complete an LCV driver-
training program that provides the knowledge and skills necessary to 
operate an LCV. The specific types of knowledge and skills that a 
training program shall include are outlined in the appendix to this 
part.
    (b) Before a person receives training:
    (1) That person shall present evidence to the LCV driver-instructor 
showing that he/she meets the general requirements set forth in subpart 
B of this part for the specific type of LCV training to be taken.
    (2) The LCV driver-instructor shall verify that each trainee 
applicant meets the general requirements for the specific type of LCV 
training to be taken.
    (c) Upon successful completion of the training requirement, the 
driver-student shall be issued an LCV Driver Training Certificate by a 
certifying official of the training entity in accordance with the 
requirements specified in subpart D of this part.



Sec.  380.109  Driver testing.

    (a) Testing methods. The driver-student must pass knowledge and 
skills tests in accordance with the following requirements, to determine 
whether a driver-student has successfully completed an LCV driver-
training program as specified in subpart B of this part.

[[Page 167]]

The written knowledge test may be administered by any qualified driver-
instructor. The skills tests, based on actual operation of an LCV, must 
be administered by a qualified LCV skills instructor.
    (1) All tests shall be constructed to determine if the driver-
student possesses the required knowledge and skills set forth in the 
appendix to this part for the specific type of LCV training program 
being taught.
    (2) Instructors shall develop their own tests for the specific type 
of LCV-training program being taught, but those tests must be at least 
as stringent as the requirements set forth in paragraph (b) of this 
section.
    (3) LCV driver-instructors shall establish specific methods for 
scoring the knowledge and skills tests.
    (4) Passing scores must meet the requirements of paragraph (b) of 
this section.
    (5) Knowledge and skills tests shall be based upon the information 
taught in the LCV training programs as set forth in the appendix to this 
part.
    (6) Each knowledge test shall address the training provided during 
both theoretical and behind-the-wheel instruction, and include at least 
one question from each of the units listed in the table to the appendix 
to this part, for the specific type of LCV training program being 
taught.
    (7) Each skills test shall include all the maneuvers and operations 
practiced during the Proficiency Development unit of instruction 
(behind-the-wheel instruction), as described in the appendix to this 
part, for the specific type of LCV training program being taught.
    (b) Proficiency determinations. The driver-student must meet the 
following conditions to be certified as an LCV driver:
    (1) Answer correctly at least 80 percent of the questions on each 
knowledge test; and
    (2) Demonstrate that he/she can successfully perform all of the 
skills addressed in paragraph (a)(7) of this section.
    (c) Automatic test failure. Failure to obey traffic laws or 
involvement in a preventable crash during the skills portion of the test 
will result in automatic failure. Automatic test failure determinations 
are made at the sole discretion of the qualified LCV driver-instructor.
    (d) Guidance for testing methods and proficiency determinations. 
Motor carriers should refer to the Examiner's Manual for Commercial 
Driver's License Tests for help in developing testing methods and making 
proficiency determinations. You may obtain a copy of this document by 
contacting the American Association of Motor Vehicle Administrators 
(AAMVA), 4300 Wilson Boulevard, Suite 400, Arlington, Virginia 22203.



Sec.  380.111  Substitute for driver training.

    (a) Grandfather clause. The LCV driver-training requirements 
specified in subpart B of this part do not apply to an individual who 
meets the conditions set forth in paragraphs (b), (c), and (d) of this 
section. A motor carrier must ensure that an individual claiming 
eligibility to operate an LCV on the basis of this section meets these 
conditions before allowing him/her to operate an LCV.
    (b) An individual must certify that, during the 2-year period 
immediately preceding the date of application for a Certificate of 
Grandfathering, he/she had:
    (1) A valid Class A CDL with a ``double/triple trailers'' 
endorsement;
    (2) No more than one driver's license;
    (3) No suspension, revocation, or cancellation of his/her CDL;
    (4) No convictions for a major offense while operating a CMV as 
defined in Sec.  383.51(b) of this subchapter;
    (5) No convictions for a railroad-highway grade crossing offense 
while operating a CMV as defined in Sec.  383.51(d) of this subchapter;
    (6) No convictions for violating an out-of-service order as defined 
in Sec.  383.51(e) of this subchapter;
    (7) No more than one conviction for a serious traffic violation, as 
defined in Sec.  383.5 of this subchapter, while operating a CMV; and
    (8) No convictions for a violation of State or local law relating to 
motor vehicle traffic control arising in connection with any traffic 
crash while operating a CMV.

[[Page 168]]

    (c) An individual must certify and provide evidence that he/she:
    (1) Is regularly employed in a job requiring the operation of a CMV 
that requires a CDL with a double/triple trailers endorsement; and
    (2) Has operated, during the 2 years immediately preceding the date 
of application for a Certificate of Grandfathering, vehicles 
representative of the type of LCV that he/she seeks to continue 
operating.
    (d) A motor carrier must issue a Certificate of Grandfathering to a 
person who meets the requirements of this section and must maintain a 
copy of the certificate in the individual's Driver Qualification file.
[GRAPHIC] [TIFF OMITTED] TR30MR04.000

    (e) An applicant may be grandfathered under this section only during 
the year following June 1, 2004.



Sec.  380.113  Employer responsibilities.

    (a) No motor carrier shall:
    (1) Allow, require, permit or authorize an individual to operate an 
LCV unless he/she meets the requirements in Sec. Sec.  380.203 or 
380.205 and has been issued the LCV driver-training certificate 
described in Sec.  380.401. This provision does not apply to individuals 
who are eligible for the substitute for driver training provision in 
Sec.  380.111.
    (2) Allow, require, permit, or authorize an individual to operate an 
LCV which the LCV driver-training certificate, CDL, and CDL 
endorsement(s) do not authorize the driver to operate. This provision 
applies to individuals employed by or under contract to the motor 
carrier.
    (b) A motor carrier that employs or has under contract LCV drivers 
shall provide evidence of the certifications required by Sec.  380.401 
or Sec.  380.111 of this part when requested by an authorized FMCSA, 
State, or local official in the course of a compliance review.

[[Page 169]]



                  Subpart B_LCV Driver-Training Program



Sec.  380.201  General requirements.

    (a) The LCV Driver-Training Program that is described in the 
appendix to this part requires training using an LCV Double or LCV 
Triple and must include the following general categories of instruction:
    (1) Orientation;
    (2) Basic operation;
    (3) Safe operating practices;
    (4) Advanced operations; and
    (5) Nondriving activities.
    (b) The LCV Driver-Training Program must include the minimum topics 
of training set forth in the appendix to this part and behind-the-wheel 
instruction that is designed to provide an opportunity to develop the 
skills outlined under the Proficiency Development unit of the training 
program.



Sec.  380.203  LCV Doubles.

    (a) To qualify for the training necessary to operate an LCV Double, 
a driver-student shall, during the 6 months immediately preceding 
application for training, have:
    (1) A valid Class A CDL with a double/triple trailer endorsement;
    (2) Driving experience in a Group A vehicle as described in Sec.  
383.91 of this subchapter. Evidence of driving experience shall be an 
employer's written statement that the driver has, for at least 6 months 
immediately preceding application, operated a Group A vehicle while 
under his/her employ;
    (3) No more than one driver's license;
    (4) No suspension, revocation, or cancellation of his/her CDL;
    (5) No convictions for a major offense, as defined in Sec.  
383.51(b) of this subchapter, while operating a CMV;
    (6) No convictions for a railroad-highway grade crossing offense, as 
defined in Sec.  383.51(d) of this subchapter, while operating a CMV;
    (7) No convictions for violating an out-of-service order as defined 
in Sec.  383.51(e) of this subchapter;
    (8) No more than one conviction for a serious traffic violation, as 
defined in Sec.  383.5 of this subchapter, while operating a CMV; and
    (9) No convictions for a violation of State or local law relating to 
motor vehicle traffic control arising in connection with any traffic 
crash while operating a CMV.
    (b) Driver-students meeting the preliminary requirements in 
paragraph (a) of this section shall successfully complete a training 
program that meets the minimum unit requirements for LCV Doubles as set 
forth in the appendix to this part.
    (c) Driver-students who successfully complete the Driver Training 
Program for LCV Doubles shall be issued a certificate, in accordance 
with subpart D of this part, indicating the driver is qualified to 
operate an LCV Double.



Sec.  380.205  LCV Triples.

    (a) To qualify for the training necessary to operate an LCV Triple, 
a driver-student shall, during the 6 months immediately preceding 
application for training, have:
    (1) A valid Class A CDL with a double/triple trailer endorsement;
    (2) Experience operating the vehicle listed under paragraph 
(a)(2)(i) or (a)(2)(ii) of this section. Evidence of driving experience 
shall be an employer's written statement that the driver has, during the 
6 months immediately preceding application, operated the applicable 
vehicle(s):
    (i) Group A truck-tractor/semi-trailer combination as described in 
Sec.  383.91 of this subchapter; or
    (ii) Group A truck-tractor/semi-trailer/trailer combination that 
operates at a gross vehicle weight of 80,000 pounds or less;
    (3) No more than one driver's license;
    (4) No suspension, revocation, or cancellation of his/her CDL;
    (5) No convictions for a major offense, as defined in Sec.  
383.51(b) of this subchapter, while operating a CMV;
    (6) No convictions for a railroad-highway grade crossing offense, as 
defined in Sec.  383.51(d) of this subchapter, while operating a CMV;
    (7) No convictions for violating an out-of-service order, as defined 
in Sec.  383.51(e) of this subchapter;
    (8) No more than one conviction for a serious traffic violation, as 
defined in Sec.  383.5 of this subchapter, while operating a CMV; and

[[Page 170]]

    (9) No convictions for a violation of State or local law relating to 
motor vehicle traffic control arising in connection with any traffic 
crash, while operating a CMV.
    (b) Driver-students meeting the preliminary requirements in 
paragraph (a) of this section shall successfully complete a training 
program that meets the minimum unit requirements for LCV Triples as set 
forth in the appendix to this part.
    (c) Driver-students who successfully complete the Driver Training 
Program for LCV Triples shall be issued a certificate, in accordance 
with subpart D of this part, indicating the driver is qualified to 
operate an LCV Triple.



              Subpart C_LCV Driver-Instructor Requirements



Sec.  380.301  General requirements.

    There are two types of LCV driver-instructors: Classroom instructors 
and Skills instructors. Except as provided in Sec.  380.303, you must 
meet the conditions under paragraph (a) or paragraph (b) of this section 
to qualify as an LCV driver-instructor.
    (a) Classroom instructor. To qualify as an LCV Classroom instructor, 
a person shall:
    (1) Have audited the driver-training course that he/she intends to 
instruct.
    (2) If employed by a training institution, meet all State 
requirements for a vocational instructor.
    (b) Skills instructor. To qualify as an LCV skills instructor, a 
person shall:
    (1) Provide evidence of successful completion of the Driver-Training 
Program requirements, as set forth in subpart B of this part, when 
requested by employers and/or an authorized FMCSA, State, or local 
official in the course of a compliance review. The Driver-Training 
Program must be for the operation of CMVs representative of the subject 
matter that he/she will teach.
    (2) If employed by a training institution, meet all State 
requirements for a vocational instructor;
    (3) Possess a valid Class A CDL with all endorsements necessary to 
operate the CMVs applicable to the subject matter being taught (LCV 
Doubles and/or LCV Triples, including any specialized variation thereof, 
such as a tank vehicle, that requires an additional endorsement); and
    (4) Have at least 2 years' CMV driving experience in a vehicle 
representative of the type of driver training to be provided (LCV 
Doubles or LCV Triples).



Sec.  380.303  Substitute for instructor requirements.

    (a) Classroom instructor. The requirements specified under Sec.  
380.301(a) of this part for a qualified LCV driver-instructor are waived 
for a classroom instructor-candidate who has 2 years of recent 
satisfactory experience teaching the classroom portion of a program 
similar in content to that set forth in the appendix to this part.
    (b) Skills instructor. The requirements specified under Sec.  
380.301(b) of this part for a qualified LCV driver-instructor are waived 
for a skills instructor-candidate who:
    (1) Meets the conditions of Sec.  380.111(b);
    (2) Has CMV driving experience during the previous 2 years in a 
vehicle representative of the type of LCV that is the subject of the 
training course to be provided;
    (3) Has experience during the previous 2 years in teaching the 
operation of the type of LCV that is the subject of the training course 
to be provided; and
    (4) If employed by a training institution, meets all State 
requirements for a vocational instructor.



Sec.  380.305  Employer responsibilities.

    (a) No motor carrier shall: (1) Knowingly allow, require, permit or 
authorize a driver-instructor in its employ, or under contract to the 
motor carrier, to provide LCV driver training unless such person is a 
qualified LCV driver-instructor under the requirements of this subpart; 
or
    (2) Contract with a training institution to provide LCV driver 
training unless the institution:
    (i) Uses instructors who are qualified LCV driver-instructors under 
the requirements of this subpart;
    (ii) Is accredited by an accrediting institution recognized by the 
U.S. Department of Education;

[[Page 171]]

    (iii) Is in compliance with all applicable State training school 
requirements; and
    (iv) Identifies drivers certified under Sec.  380.401 of this part, 
when requested by employers and/or an authorized FMCSA, State, or local 
official in the course of a compliance review.
    (b) A motor carrier that employs or has under contract qualified LCV 
driver-instructors shall provide evidence of the certifications required 
by Sec.  380.301 or Sec.  380.303 of this part, when requested by an 
authorized FMCSA, State, or local official in the course of a compliance 
review.



                 Subpart D_Driver-Training Certification



Sec.  380.401  Certification document.

    (a) A student who successfully completes LCV driver training shall 
be issued a Driver-Training Certificate that is substantially in 
accordance with the following form.
[GRAPHIC] [TIFF OMITTED] TR30MR04.001

    (b) An LCV driver must provide a copy of the Driver-Training 
Certificate to his/her employer to be filed in the Driver Qualification 
File.



           Subpart E_Entry-Level Driver Training Requirements

    Editorial Note: At 81 FR 88790, Dec. 8, 2016, subpart E was amended; 
however, the amendment could not be incorporated due to an inaccurate 
amendatory instruction.

[[Page 172]]


    Source: 69 FR 29404, May 21, 2004, unless otherwise noted.



Sec.  380.501  Applicability.

    All entry-level drivers who drive in interstate commerce and are 
subject to the CDL requirements of part 383 of this chapter must comply 
with the rules of this subpart, except drivers who are subject to the 
jurisdiction of the Federal Transit Administration or who are otherwise 
exempt under Sec.  390.3(f) of this subchapter.



Sec.  380.502  Definitions.

    (a) The definitions in part 383 of this chapter apply to this part, 
except where otherwise specifically noted.
    (b) As used in this subpart:
    Entry-level driver is a driver with less than one year of experience 
operating a CMV with a CDL in interstate commerce.
    Entry-level driver training is training the CDL driver receives in 
driver qualification requirements, hours of service of drivers, driver 
wellness, and whistleblower protection as appropriate to the entry-level 
driver's current position in addition to passing the CDL test.

[69 FR 29404, May 21, 2004, as amended at 78 FR 58479, Sept. 24, 2013]



Sec.  380.503  Entry-level driver training requirements.

    Entry-level driver training must include instruction addressing the 
following four areas:
    (a) Driver qualification requirements. The Federal rules on medical 
certification, medical examination procedures, general qualifications, 
responsibilities, and disqualifications based on various offenses, 
orders, and loss of driving privileges (part 391, subparts B and E of 
this subchapter).
    (b) Hours of service of drivers. The limitations on driving hours, 
the requirement to be off-duty for certain periods of time, record of 
duty status preparation, and exceptions (part 395 of this subchapter). 
Fatigue countermeasures as a means to avoid crashes.
    (c) Driver wellness. Basic health maintenance including diet and 
exercise. The importance of avoiding excessive use of alcohol.
    (d) Whistleblower protection. The right of an employee to question 
the safety practices of an employer without the employee's risk of 
losing a job or being subject to reprisals simply for stating a safety 
concern (29 CFR part 1978).



Sec.  380.505  Proof of training.

    An employer who uses an entry-level driver must ensure the driver 
has received a training certificate containing all the information 
contained in Sec.  380.513 from the training provider.



Sec.  380.507  Driver responsibilities.

    Each entry-level driver must receive training required by Sec.  
380.503.



Sec.  380.509  Employer responsibilities.

    (a) Each employer must ensure each entry-level driver who first 
began operating a CMV requiring a CDL in interstate commerce after July 
20, 2003, receives training required by Sec.  380.503.
    (b) Each employer must place a copy of the driver's training 
certificate in the driver's personnel or qualification file.
    (c) All records required by this subpart shall be maintained as 
required by Sec.  390.31 of this subchapter and shall be made available 
for inspection at the employer's principal place of business within two 
business days after a request has been made by an authorized 
representative of the Federal Motor Carrier Safety Administration.



Sec.  380.511  Employer recordkeeping responsibilities.

    The employer must keep the records specified in Sec.  380.505 for as 
long as the employer employs the driver and for one year thereafter.



Sec.  380.513  Required information on the training certificate.

    The training provider must provide a training certificate or diploma 
to the entry-level driver. If an employer is the training provider, the 
employer must provide a training certificate or diploma to the entry-
level driver. The certificate or diploma must contain the following 
seven items of information:
    (a) Date of certificate issuance.
    (b) Name of training provider.
    (c) Mailing address of training provider.
    (d) Name of driver.

[[Page 173]]

    (e) A statement that the driver has completed training in driver 
qualification requirements, hours of service of drivers, driver 
wellness, and whistleblower protection requirements substantially in 
accordance with the following sentence:

    I certify _____has completed training requirements set forth in the 
Federal Motor Carrier Safety Regulations for entry-level driver training 
in accordance with 49 CFR 380.503.

    (f) The printed name of the person attesting that the driver has 
received the required training.
    (g) The signature of the person attesting that the driver has 
received the required training.

[69 FR 29404, May 21, 2004, as amended at 78 FR 58479, Sept. 24, 2013



Subpart F_Entry-Level Driver Training Requirements On and After February 
                                 7, 2020

    Source: 81 FR 88790, Dec. 8, 2016, unless otherwise noted.



Sec.  380.600  Compliance date for training requirements for entry
-level drivers.

    Compliance with the provisions of this subpart is required on or 
after February 7, 2020.



Sec.  380.601  Purpose and scope.

    This subpart establishes training requirements for entry-level 
drivers, as defined in this subpart, and minimum content for theory and 
Behind-the-Wheel (BTW) training curricula. Entry-level driver training, 
as defined in this subpart, applies only to those individuals who apply 
for a commercial driver's license (CDL) or a CDL upgrade or endorsement 
and does not otherwise amend substantive CDL requirements in part 383 of 
this chapter.



Sec.  380.603  Applicability.

    (a) The rules in this subpart apply to all entry-level drivers, as 
defined in this subpart, who intend to drive CMVs as defined in Sec.  
383.5 of this chapter in interstate and/or intrastate commerce, except:
    (1) Drivers excepted from the CDL requirements under Sec.  383.3(c), 
(d), and (h) of this chapter;
    (2) Drivers applying for a restricted CDL under Sec.  383.3(e) 
through (g) of this chapter;
    (3) Veterans with military CMV experience who meet all the 
requirements and conditions of Sec.  383.77 of this chapter; and
    (4) Drivers applying for a removal of a restriction in accordance 
with Sec.  383.135(b)(7).
    (b) Drivers who hold a valid Class A or Class B CDL, or a passenger 
(P), school bus (S), or hazardous materials (H) endorsement, issued 
before February 7, 2020, are not required to comply with this subpart 
pertaining to that CDL or endorsement.
    (c)(1) Individuals who obtain a CLP before February 7, 2020, are not 
required to comply with this subpart if they obtain a CDL before the CLP 
or renewed CLP expires.
    (2) Individuals who obtain a CLP on or after February 7, 2020, are 
required to comply with this subpart.
    (3) Except for individuals seeking the H endorsement, individuals 
must complete the theory and BTW (range and public road) portions of 
entry-level driver training within one year of completing the first 
portion.



Sec.  380.605  Definitions.

    (a) The definitions in parts 383 and 384 of this subchapter apply to 
this subpart, except as stated below.
    (b) As used in this subpart:
    Behind-the-wheel (BTW) instructor means an individual who provides 
BTW training involving the actual operation of a CMV by an entry-level 
driver on a range or a public road and meets one of these 
qualifications:
    (i) Holds a CDL of the same (or higher) class and with all 
endorsements necessary to operate the CMV for which training is to be 
provided and has at least two years of experience driving a CMV 
requiring a CDL of the same or higher class and/or the same endorsement 
and meets all applicable State qualification requirements for CMV 
instructors; or
    (ii) Holds a CDL of the same (or higher) class and with all 
endorsements necessary to operate the CMV for

[[Page 174]]

which training is to be provided and has at least two years of 
experience as a BTW CMV instructor and meets all applicable State 
qualification requirements for CMV instructors.
    Exception: A BTW instructor who provides training solely on a range 
which is not a public road is not required to hold a CDL of the same (or 
higher) class and with all endorsements necessary to operate the CMV for 
which training is to be provided, as long as the instructor previously 
held a CDL of the same (or higher) class and with all endorsements 
necessary to operate the CMV for which training is to be provided, and 
complies with the other requirements set forth in paragraphs (1), (2), 
or (3) of this definition.
    (iii) If an instructor's CDL has been cancelled, suspended, or 
revoked due to any of the disqualifying offenses identified in Sec.  
383.51, the instructor is prohibited from engaging in BTW instruction 
for two years following the date his or her CDL is reinstated.
    Behind-the-wheel (BTW) range training means training provided by a 
BTW instructor when an entry-level driver has actual control of the 
power unit during a driving lesson conducted on a range. BTW range 
training does not include time an entry-level driver spends observing 
the operation of a CMV when he or she is not in control of the vehicle.
    Behind-the-wheel (BTW) public road training means training provided 
by a BTW instructor when an entry-level driver has actual control of the 
power unit during a driving lesson conducted on a public road. BTW 
public road training does not include the time that an entry-level 
driver spends observing the operation of a CMV when he or she is not in 
control of the vehicle.
    Entry-level driver means an individual who must complete the CDL 
skills test requirements under Sec.  383.71 prior to receiving a CDL for 
the first time, upgrading to a Class A or Class B CDL, or obtaining a 
hazardous materials, passenger, or school bus endorsement for the first 
time. This definition does not include individuals for whom States waive 
the CDL skills test under Sec.  383.77 or individuals seeking to remove 
a restriction in accordance with Sec.  383.135(b)(7).
    Entry-level driver training means training an entry-level driver 
receives from an entity listed on FMCSA's Training Provider Registry 
prior to:
    (i) Taking the CDL skills test required to receive the Class A or 
Class B CDL for the first time;
    (ii) Taking the CDL skills test required to upgrade to a Class A or 
Class B CDL; or
    (iii) Taking the CDL skills test required to obtain a passenger and/
or school bus endorsement for the first time or the CDL knowledge test 
required to obtain a hazardous materials endorsement for the first time.
    Range means an area that must be free of obstructions, enables the 
driver to maneuver safely and free from interference from other vehicles 
and hazards, and has adequate sight lines.
    Theory instruction means knowledge instruction on the operation of a 
CMV and related matters provided by a theory instructor through 
lectures, demonstrations, audio-visual presentations, computer-based 
instruction, driving simulation devices, online training, or similar 
means.
    Theory instructor means an individual who provides knowledge 
instruction on the operation of a CMV and meets one of these 
qualifications:
    (i) Holds a CDL of the same (or higher) class and with all 
endorsements necessary to operate the CMV for which training is to be 
provided and has at least two years of experience driving a CMV 
requiring a CDL of the same (or higher) class and/or the same 
endorsement and meets all applicable State qualification requirements 
for CMV instructors; or
    (ii) Holds a CDL of the same (or higher) class and with all 
endorsements necessary to operate the CMV for which training is to be 
provided and has at least two years of experience as a BTW CMV 
instructor and meets all applicable State qualification requirements for 
CMV instructors.
    Exception: An instructor is not required to hold a CDL of the same 
(or higher) class and with all endorsements necessary to operate the CMV 
for which training is to be provided, if the instructor previously held 
a CDL of the same (or higher) class and complies with the other 
requirements set forth

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in paragraphs (1), (2), and (3) of this definition.
    (iii) If an instructor's CDL has been cancelled, suspended, or 
revoked due to any of the disqualifying offenses identified in Sec.  
383.51, the instructor is prohibited from engaging in theory instruction 
for two years following the date his or her CDL is reinstated.
    (iv) Exception. Training providers offering online content 
exclusively are not required to meet State qualification requirements 
for theory instructors.
    Training provider means an entity that is listed on the FMCSA 
Training Provider Registry, as required by subpart G of this part. 
Training providers include, but are not limited to, training schools, 
educational institutions, rural electric cooperatives, motor carriers, 
State/local governments, school districts, joint labor management 
programs, owner-operators, and individuals.



Sec.  380.609  General entry-level driver training requirements.

    (a) An individual who applies, for the first time, for a Class A or 
Class B CDL, or who upgrades to a Class A or B CDL, must complete driver 
training from a provider listed on the Training Provider Registry (TPR), 
as set forth in subpart G.
    (b) An individual seeking to obtain a passenger (P), school bus (S), 
or hazardous materials (H) endorsement for the first time, must complete 
the training related to that endorsement from a training provider listed 
on the TPR, as set forth in subpart G.



       Subpart G_Registry of Entry-Level Driver Training Providers

    Source: 81 FR 88791, Dec. 8, 2016, unless otherwise noted.



Sec.  380.700  Scope.

    The rules in this subpart establish the eligibility requirements for 
listing on FMCSA's Training Provider Registry (TPR). In order to provide 
entry-level driver training in compliance with this part, training 
providers must be listed on the TPR.



Sec.  380.703  Requirements for listing on the training provider registry
(TPR).

    (a) To be eligible for listing on the TPR, an entity must:
    (1) Follow a curriculum that meets the applicable criteria set forth 
in appendices A through E of part 380,
    (2) Utilize facilities that meet the criteria set forth in Sec.  
380.709;
    (3) Utilize vehicles that meet the criteria set forth in Sec.  
380.711;
    (4) Utilize driver training instructors that meet the criteria set 
forth in Sec.  380.713;
    (5)(i) Be licensed, certified, registered, or authorized to provide 
training in accordance with the applicable laws and regulations of any 
State where in-person training is conducted.
    (ii) Exception: State qualification requirements otherwise 
applicable to theory instruction do not apply to providers offering such 
instruction only online.
    (6) Allow FMCSA or its authorized representative to audit or 
investigate the training provider's operations to ensure that the 
provider meets the criteria set forth in this section.
    (7) Electronically transmit an Entry-Level Driver Training Provider 
Registration Form through the TPR Web site maintained by FMCSA, which 
attests that the training provider meets all the applicable requirements 
of this section, to obtain a unique TPR number. If a training provider 
has more than one campus or training location, the training provider 
must electronically transmit an Entry-Level Driver Training Provider 
Registration Form for each campus or training location in order to 
obtain a unique TPR number for each location.
    (b) When a provider meets the requirements of Sec. Sec.  380.703 and 
380.707, FMCSA will issue the provider a unique TPR number and, as 
applicable, add the provider's name and/or contact information to the 
TPR Web site.



Sec.  380.707  Entry-level training provider.

    (a) Training providers must require all accepted applicants for 
behind-the-wheel (BTW) training to certify that they will comply U.S. 
Department of Transportation regulations in parts 40, 382, 383, and 391, 
as well as State and/or

[[Page 176]]

local laws, related to controlled substances testing, age, medical 
certification, licensing, and driving record. Training providers must 
verify that all accepted BTW applicants hold a valid commercial 
learner's permit or commercial driver's license, as applicable.
    (b) Training providers offering online training must ensure that the 
content is prepared and/or delivered by a theory instructor, as defined 
in Sec.  380.605.
    (c) Separate training providers may deliver the theory and BTW 
portions of the training, but both portions (range and public road) of 
the BTW training must be delivered by the same training provider.



Sec.  380.709  Facilities.

    The training provider's classroom and range facilities must comply 
with all applicable Federal, State, and/or local statutes and 
regulations.



Sec.  380.711  Equipment.

    (a) All vehicles used in the behind-the-wheel training must comply 
with applicable Federal and State safety requirements.
    (b) Training vehicles must be in the same group and type that 
driver-trainees intend to operate for their CDL skills test.



Sec.  380.713  Instructor requirements.

    (a) Theory training providers must utilize instructors who are a 
theory instructor as defined in Sec.  380.605.
    (b) BTW training providers must utilize instructors who are a BTW 
instructors as defined in Sec.  380.605.



Sec.  380.715  Assessments.

    (a) Training providers must use assessments (in written or 
electronic format) to determine driver-trainees' proficiency in the 
knowledge objectives in the theory portion of each unit of instruction 
in appendices A through E of part 380, as applicable. The driver-trainee 
must receive an overall minimum score of 80 percent on the theory 
assessment.
    (b) Training instructors must evaluate and document a driver-
trainee's proficiency in BTW skills in accordance with the curricula in 
appendices A through D of part 380, as applicable.



Sec.  380.717  Training certification.

    After an individual completes training administered by a provider 
listed on the TPR, that provider must, by midnight of the second 
business day after the driver-trainee completes the training, 
electronically transmit training certification information through the 
TPR Web site including the following:
    (a) Driver-trainee name, number of driver's license/commercial 
learner's permit/commercial driver's license, as applicable, and State 
of licensure;
    (b) Commercial driver's license class and/or endorsement and type of 
training (theory and/or BTW) the driver-trainee completed;
    (c) Total number of clock hours the driver-trainee spent to complete 
BTW training, as applicable;
    (d) Name of the training provider and its unique TPR identification 
number; and
    (e) Date(s) of successful training completion.



Sec.  380.719  Requirements for continued listing on the training provider
registry (TPR).

    (a) To be eligible for continued listing on the TPR, a provider 
must:
    (1) Meet the requirements of this subpart and the applicable 
requirements of Sec.  380.703.
    (2) Biennially update the Entry-Level Driver Training Provider 
Registration Form.
    (3) Report to FMCSA changes to key information, as identified in 
paragraph (a)(3)(i) of this section, within 30 days of the change.
    (i) Key information is defined as training provider name, address, 
phone number, type(s) of training offered, training provider status, 
and, if applicable, any change in State licensure, certification, or 
accreditation status.
    (ii) Changes must be reported by electronically transmitting an 
updated Entry-Level Driver Training Provider Registration Form.
    (4) Maintain documentation of State licensure, registration, or 
certification verifying that the provider is authorized to provide 
training in that State, if applicable.
    (5) Allow an audit or investigation of the training provider to be 
completed

[[Page 177]]

by FMCSA or its authorized representative, if requested.
    (6) Ensure that all required documentation, as set forth in Sec.  
380.725, is available to FMCSA or its authorized representative, upon 
request. The provider must submit this documentation within 48 hours of 
the request.
    (b) [Reserved]



Sec.  380.721  Removal from training provider registry: factors considered.

    FMCSA may remove a provider from the TPR when a provider fails to 
meet or maintain any of the qualifications established by this subpart 
or the requirements of other State and Federal regulations applicable to 
the provider. If FMCSA removes a provider from the TPR, any training 
conducted after the removal date will be considered invalid.
    (a) The factors FMCSA may consider for removing a provider from the 
TPR include, but are not limited to, the following:
    (1) The provider fails to comply with the requirements for continued 
listing on the TPR, as described in Sec.  380.719.
    (2) The provider denies FMCSA or its authorized representatives the 
opportunity to conduct an audit or investigation of its training 
operations.
    (3) The audit or investigation conducted by FMCSA or its authorized 
representatives identifies material deficiencies, pertaining to the 
training provider's program, operations, or eligibility.
    (4) The provider falsely claims to be licensed, certified, 
registered, or authorized to provide training in accordance with the 
applicable laws and regulations in any State where in-person training is 
provided.
    (5) The State-administered CDL skills examination passage rate for 
applicants for the Class A CDL, Class B CDL, passenger endorsement, and/
or school bus endorsement who complete the provider's training and the 
CDL knowledge test passage rate for applicants for the hazardous 
materials endorsement who complete the provider's training.
    (b) In instances of fraud or other criminal behavior by a training 
provider in which driver-trainees have knowingly participated, FMCSA 
reserves the right, on a case-by-case basis, to retroactively invalidate 
training conducted under this subpart .



Sec.  380.723  Removal from training provider registry: procedure.

    (a) Voluntary removal. To be voluntarily removed from the Training 
Provider Registry (TPR), a provider must submit written notice to 
FMCSA's Director, Office of Carrier, Driver, and Vehicle Safety 
Standards (Director). Upon receiving the written notice, FMCSA will 
remove the training provider from the TPR. On and after the date of 
issuance of a notice of proposed removal from the TPR issued in 
accordance with paragraph (b) of this section, such a voluntary removal 
notice will not be effective.
    (b) Involuntary removal; Notice of proposed removal. Except as 
provided by paragraphs (a) and (e) of this section, FMCSA initiates the 
process for involuntary removal of a provider from the TPR by issuing a 
written notice to the provider, stating the reasons for the proposed 
removal and setting forth any corrective actions necessary for the 
provider to remain listed on the TPR. If a notice of proposed removal is 
issued, the provider must notify current driver-trainees and driver-
trainees scheduled for future training of the proposed removal. If a 
notice of proposed removal is issued to a training provider listed on 
the TPR Web site, FMCSA will note on the TPR Web site that such notice 
has been issued. FMCSA will remove the notation if the notice is 
withdrawn.
    (c) Response to notice of proposed removal and corrective action. A 
training provider that has received a notice of proposed removal and 
wishes to remain on the TPR must submit a written response to the 
Director no later than 30 days after the date of issuance of the notice 
explaining why it believes that decision is not proper, as described in 
paragraph (c)(1) of this section. Alternatively, the provider will set 
forth corrective actions taken in response to FMCSA's notice of proposed 
removal, as described in paragraph (c)(2) of this section.
    (1) Opposing a notice of proposed removal. If the provider believes 
FMCSA has relied on erroneous information in

[[Page 178]]

proposing removal from the TPR, the provider must explain the basis for 
that belief and provide supporting documentation. The Director will 
review the explanation.
    (i) If the Director finds that FMCSA has relied on erroneous 
information to propose removal of a training provider from the TPR, the 
Director will withdraw the notice of proposed removal and notify the 
provider of the withdrawal in writing.
    (ii) If the Director finds that FMCSA has not relied on erroneous 
information in proposing removal, the Director will affirm the notice of 
proposed removal and notify the provider in writing of the 
determination. No later than 60 days after the date the Director affirms 
the notice of proposed removal, or as otherwise agreed to by the 
provider and the Director, the provider must comply with this subpart 
and correct the deficiencies identified in the notice of proposed 
removal as described in paragraph (c)(2) of this section.
    (iii) If the provider does not respond in writing within 30 days of 
the date of issuance of a notice of proposed removal, the removal 
becomes effective immediately and the provider will be removed from the 
TPR. Any training conducted after the removal date is invalid.
    (2) Corrective action. (i) The provider must comply with this 
subpart and complete the corrective actions specified in the notice of 
proposed removal no later than 60 days after either the date of issuance 
of the notice of proposed removal or the date the Director subsequently 
affirms or modifies the notice of proposed removal. The provider must 
provide documentation of completion of the corrective action(s) to the 
Director. The Director may conduct an investigation and request any 
documentation necessary to verify that the provider has complied with 
this subpart and completed the required corrective action(s). The 
Director will notify the provider in writing whether it has met the 
requirements for continued listing on the TPR.
    (ii) If the provider fails to complete the proposed corrective 
action(s) within the 60-day period, the provider will be removed from 
the TPR. The Director will notify the provider in writing of the 
removal.
    (d) Request for administrative review. If a provider has been 
removed from the TPR under paragraph (c)(1)(iii), (c)(2)(ii), or (e) of 
this section, the provider may request an administrative review. The 
request must be submitted in writing to the FMCSA Associate 
Administrator for Policy (Associate Administrator) no later than 30 days 
after the effective date of the removal. The request must explain the 
alleged error(s) committed in removing the provider from the TPR, and 
include all factual, legal, and procedural issues in dispute, as well as 
any supporting documentation.
    (1) Additional procedures for administrative review. The Associate 
Administrator may ask the provider to submit additional information or 
attend a conference to discuss the removal. If the provider does not 
provide the information requested, or does not attend the scheduled 
conference, the Associate Administrator may dismiss the request for 
administrative review.
    (2) Decision on administrative review. The Associate Administrator 
will complete the administrative review and notify the provider in 
writing of the decision. The decision constitutes final Agency action. 
If the Associate Administrator deems the removal to be invalid, FMCSA 
will reinstate the provider's listing on the TPR.
    (e) Emergency removal. In cases of fraud, criminal behavior, or 
willful disregard of the regulations in this subpart or in which public 
health, interest, or safety requires, the provisions of paragraph (b) of 
this section are not applicable. In these cases, the Director may 
immediately remove a provider from the TPR. In instances of fraud or 
other criminal behavior by a training provider in which driver-trainees 
have knowingly participated, FMCSA reserves the right to retroactively 
invalidate training conducted under this subpart. A provider who has 
been removed under the provisions of this paragraph may request an 
administrative review of that decision as described under paragraph (d) 
of this section.
    (f) Reinstatement to the Training Provider Registry. (1) Any time 
after a training provider's voluntary removal

[[Page 179]]

from the TPR, the provider may apply to the Director to be reinstated.
    (2) No sooner than 30 days after the date of a provider's 
involuntary removal from the TPR, the provider may apply to the Director 
to be reinstated. The provider must submit documentation showing 
completion of any corrective action(s) identified in the notice of 
proposed removal or final notice of removal, as applicable.



Sec.  380.725  Documentation and record retention.

    (a) Applicability. The documentation and retention of records 
required by this subpart apply to entities that meet the requirements of 
subpart F of this part and are eligible for listing on the Training 
Provider Registry (TPR).
    (b) Document retention. All training providers on the TPR must 
retain the following:
    (1) Self-certifications by all accepted applicants for behind-the-
wheel (BTW) training attesting that they will comply with U.S. 
Department of Transportation regulations in parts 40, 382, 383 and 391, 
as well as State and/or local laws, related to alcohol and controlled 
substances testing, age, medical certification, licensing, and driver 
records, as required in 380.707(a).
    (2) A copy of the driver-trainee's commercial learner's permit(s) or 
commercial driver's license, as applicable, as required in 380.707(a).
    (3) Instructor qualification documentation indicating driving and/or 
training experience, as applicable, for each instructor and copies of 
commercial driver's licenses and applicable endorsements held by BTW 
instructors or theory instructors, as applicable.
    (4) The Training Provider Registration Form submitted to the TPR.
    (5) The lesson plans for theory and BTW (range and public road) 
training curricula, as applicable.
    (6) Records of individual entry-level driver training assessments as 
described in Sec.  380.715.
    (c) Retention of records. Training providers listed on the TPR must 
retain the records identified in paragraph (b) of this section for a 
minimum of three years from the date each required record is generated 
or received, unless a record, such as a BTW instructor's CDL, has 
expired or been canceled, in which case the most recent, valid CDL 
should be retained, if applicable. The provisions of this part do not 
affect a training provider's obligation to comply with any other local, 
State, or Federal requirements prescribing longer retention periods for 
any category of records described herein.



      Sec. Appendix A to Part 380--Class A--CDL Training Curriculum

    Class A CDL applicants must complete the Class A CDL curriculum 
outlined in this Appendix. The curriculum for Class A applicants 
pertains to combination vehicles (Group A) as defined in 49 CFR 
383.91(a)(1). There is no required minimum number of instruction hours 
for theory training, but the training instructor must cover all topics 
set forth in the curriculum. There is no required minimum number of 
instruction hours for BTW (range and public road) training, but the 
training instructor must cover all topics set forth in the BTW 
curriculum. BTW training must be conducted in a CMV for which a Class A 
CDL is required. The instructor must determine and document that each 
driver-trainee has demonstrated proficiency in all elements of the BTW 
curriculum, unless otherwise noted. Consistent with the definitions of 
BTW range training and BTW public road training in Sec.  380.605, a 
simulation device cannot be used to conduct such training or to 
demonstrate proficiency. Training instructors must document the total 
number of clock hours each driver-trainee spends to complete the BTW 
curriculum. The Class A curriculum must, at a minimum, include the 
following:

                           Theory Instruction

                      Section A1.1 Basic Operation

    This section must cover the interaction between driver-trainees and 
the CMV. Driver-trainees will receive instruction in the Federal Motor 
Carrier Safety Regulations (FMCSRs) and will be introduced to the basic 
CMV instruments and controls. Training providers will teach driver-
trainees the basic operating characteristics of a CMV. This section must 
also teach driver-trainees how to properly perform vehicle inspections, 
control the motion of CMVs under various road and traffic conditions, 
employ shifting and backing techniques, and properly couple and uncouple 
combination vehicles. Driver-trainees must familiarize themselves with 
the basic operating characteristics of a CMV.

[[Page 180]]

                         Unit A1.1.1 Orientation

    This unit must introduce driver-trainees to the combination vehicle 
driver training curriculum and the components of a combination vehicle. 
The training providers must teach the safety fundamentals, essential 
regulatory requirements (e.g., overview of FMCSRs and Hazardous 
Materials Regulations), and driver-trainees' responsibilities not 
directly related to CMV driving, such as proper cargo securement. This 
unit must also cover the ramifications, including driver 
disqualification provisions and fines, for non-compliance with parts 
380, 382, 383, and 390 through 399 of the FMCSRs. This unit must also 
include an overview of the applicability of State and local laws 
relating to the safe operation of the CMV, stopping at weigh stations/
scales, hazard awareness of vehicle size and weight limitations, low 
clearance areas (e.g., CMV height restrictions), and bridge formulas.

                  Unit A1.1.2 Control Systems/Dashboard

    This unit must introduce driver-trainees to vehicle instruments, 
controls, and safety components. The training providers must teach 
driver-trainees to read gauges and instruments correctly and the proper 
use of vehicle safety components, including safety belts and mirrors. 
The training providers must teach driver-trainees to identify, locate, 
and explain the function of each of the primary and secondary controls 
including those required for steering, accelerating, shifting, braking 
systems (e.g., ABS, hydraulic, air), as applicable, and parking.

               Unit A1.1.3 Pre- and Post-Trip Inspections

    This unit must teach the driver-trainees to conduct pre-trip and 
post-trip inspections as specified in Sec. Sec.  392.7 and 396.11, 
including appropriate inspection locations. Instruction must also be 
provided on enroute vehicle inspections.

                        Unit A1.1.4 Basic Control

    This unit must introduce basic vehicular control and handling as it 
applies to combination vehicles. This unit must include instruction 
addressing basic combination vehicle controls in areas such as executing 
sharp left and right turns, centering the vehicle, maneuvering in 
restricted areas, and entering and exiting the interstate or controlled 
access highway.

              Unit A1.1.5 Shifting/Operating Transmissions

    This unit must introduce shifting patterns and procedures to driver-
trainees to prepare them to safely and competently perform basic 
shifting maneuvers. This unit must include training driver-trainees to 
execute up and down shifting techniques on multi-speed dual range 
transmissions, if appropriate. The training providers must teach the 
importance of increased vehicle control and improved fuel economy 
achieved by utilizing proper shifting techniques.

                     Unit A1.1.6 Backing and Docking

    This unit must teach driver-trainees to back and dock the 
combination vehicle safely. This unit must cover ``Get Out and Look'' 
(GOAL), evaluation of backing/loading facilities, knowledge of backing 
set ups, as well as instruction in how to back with the use of spotters.

                   Unit A1.1.7 Coupling and Uncoupling

    This unit must provide instruction for driver-trainees to develop 
the skills necessary to conduct the procedures for safe coupling and 
uncoupling of combination vehicle units, as applicable.

                 Section A1.2 Safe Operating Procedures

    This section must teach the practices required for safe operation of 
the combination vehicle on the highway under various road, weather, and 
traffic conditions. The training providers must teach driver-trainees 
the Federal rules governing the proper use of seat belt assemblies 
(Sec.  392.16).

                        Unit A1.2.1 Visual Search

    This unit must teach driver-trainees to visually search the road for 
potential hazards and critical objects, including instruction on 
recognizing distracted pedestrians or distracted drivers.

                        Unit A1.2.2 Communication

    This unit must instruct driver-trainees on how to communicate their 
intentions to other road users. Driver-trainees must be instructed in 
techniques for different types of communication on the road, including 
proper use of headlights, turn signals, four-way flashers, and horns. 
This unit must cover instruction in proper utilization of eye contact 
techniques with other drivers, bicyclists, and pedestrians.

                     Unit A1.2.3 Distracted Driving

    This unit must instruct driver-trainees in FMCSRs related to 
distracted driving and other key driver distraction driving issues, 
including improper cell phone use, texting, and use of in-cab technology 
(e.g., Sec. Sec.  392.80 and 392.82). This instruction will include 
training in the following aspects: visual attention (keeping eyes on the 
road); manual control (keeping hands on the wheel); and cognitive 
awareness (keeping mind on the task and safe operation of the CMV).

[[Page 181]]

                      Unit A1.2.4 Speed Management

    This unit must teach driver-trainees how to manage speed effectively 
in response to various road, weather, and traffic conditions. The 
instruction must include methods for calibrating safe following 
distances taking into account CMV braking distances under an array of 
conditions including traffic, weather, and CMV weight and length.

                      Unit A1.2.5 Space Management

    This unit must teach driver-trainees about the importance of 
managing the space surrounding the vehicle under various traffic and 
road conditions.

                       Unit A1.2.6 Night Operation

    This unit must instruct driver-trainees in the factors affecting the 
safe operation of CMVs at night and in darkness. Additionally, driver-
trainees must be instructed in changes in vision, communications, speed 
space management, and proper use of lights, as needed, to deal with the 
special problems night driving presents.

                 Unit A1.2.7 Extreme Driving Conditions

    This unit must teach driver-trainees about the specific problems 
presented by extreme driving conditions. The training provide will 
emphasize the factors affecting the operation of CMVs in cold, hot, and 
inclement weather and on steep grades and sharp curves. The training 
provider must teach proper tire chaining procedures.

                Section A1.3 Advanced Operating Practices

    This section must introduce higher-level skills that can be acquired 
only after the more fundamental skills and knowledge taught in the prior 
two sections have been mastered. The training providers must teach 
driver-trainees about the advanced skills necessary to recognize 
potential hazards and must teach the driver-trainees the procedures 
needed to handle a CMV when faced with a hazard.

                      Unit A1.3.1 Hazard Perception

    The unit must teach driver-trainees to recognize potential hazards 
in the driving environment in order to reduce the severity of the hazard 
and neutralize possible emergency situations. The training providers 
must teach driver-trainees to identify road conditions and other road 
users that are a potential threat to the safety of the combination 
vehicle and suggest appropriate adjustments. The instruction must 
emphasize hazard recognition, visual search, adequate surveillance, and 
response to possible emergency-producing situations encountered by CMV 
drivers in various traffic situations. The training providers must teach 
driver-trainees to recognize potential dangers and the safety procedures 
that must be utilized while driving in construction/work zones.

  Unit A1.3.2 Skid Control/Recovery, Jackknifing, and Other Emergencies

    This unit must teach the causes of skidding and jackknifing and 
techniques for avoiding and recovering from them. The training providers 
must teach the importance of maintaining directional control and 
bringing the CMV to a stop in the shortest possible distance while 
operating over a slippery surface. This unit must provide instruction in 
appropriate responses when faced with CMV emergencies. This instruction 
must include evasive steering, emergency braking, and off-road recovery, 
as well as the proper response to brake failures, tire blowouts, 
hydroplaning, and rollovers. The instruction must include a review of 
unsafe acts and the role the acts play in producing or worsening 
hazardous situations.

              Unit A1.3.3 Railroad-Highway Grade Crossings

    This unit must teach driver-trainees to recognize potential dangers 
and the appropriate safety procedures to utilize at railroad (RR)-
highway grade crossings. This instruction must include an overview of 
various Federal/State RR grade crossing regulations, RR grade crossing 
environments, obstructed view conditions, clearance around the tracks, 
and rail signs and signals. The training providers must instruct driver-
trainees that railroads have personnel available (``Emergency 
Notification Systems'') to receive notification of any information 
relating to an unsafe condition at the RR-highway grade crossing or a 
disabled vehicle or other obstruction blocking a railroad track at the 
RR-highway grade crossing.

         Section A1.4 Vehicle Systems and Reporting Malfunctions

    This section must provide entry-level driver-trainees with 
sufficient knowledge of the combination vehicle and its systems and 
subsystems to ensure that they understand and respect their role in 
vehicle inspection, operation, and maintenance and the impact of those 
factors upon highway safety and operational efficiency.

        Unit A1.4.1 Identification and Diagnosis of Malfunctions

    This unit must teach driver-trainees to identify major combination 
vehicle systems. The goal is to explain their function and how to check 
all key vehicle systems, (e.g., engine, engine exhaust auxiliary 
systems, brakes, drive train, coupling systems, and suspension) to 
ensure their safe operation. Driver-trainees must be provided with a 
detailed description of each system, its importance to safe and 
efficient operation, and

[[Page 182]]

what is needed to keep the system in good operating condition.

                    Unit A1.4.2 Roadside Inspections

    This unit must instruct driver-trainees on what to expect during a 
standard roadside inspection conducted by authorized personnel. The 
training providers must teach driver-trainees on what vehicle and driver 
violations are classified as out-of-service (OOS), including the 
ramifications and penalties for operating a CMV when subject to an OOS 
order as defined in section 390.5.

                         Unit A1.4.3 Maintenance

    This unit must introduce driver-trainees to the basic servicing and 
checking procedures for various engine and vehicle components and to 
help develop their ability to perform preventive maintenance and simple 
emergency repairs.

                   Section A1.5 Non-Driving Activities

    This section must teach driver-trainees the activities that do not 
involve actually operating the CMV.

               Unit A1.5.1 Handling and Documenting Cargo

    This unit must teach the basic theory of cargo weight distribution, 
cargo securement on the vehicle, cargo covering, and techniques for safe 
and efficient loading/unloading. The training providers must teach 
driver-trainees the basic cargo security/cargo theft prevention 
procedures. The training provider must teach driver-trainees the basic 
information regarding the proper handling and documentation of HM cargo.

               Unit A1.5.2 Environmental Compliance Issues

    This unit must teach driver-trainees to recognize environmental 
hazards and issues related to the CMV and load, and also make the 
driver-trainee aware that city, county, State, and Federal requirements 
may apply to such circumstances.

                Unit A1.5.3 Hours of Service Requirements

    This unit must teach driver-trainees to understand that there are 
different hours-of-service (HOS) requirements applicable to different 
industries. The training providers must teach driver-trainees all 
applicable HOS regulatory requirements. The training providers must 
teach driver-trainees to complete a Driver's Daily Log (electronic and 
paper), timesheet, and logbook recap, as appropriate. The training 
providers must teach driver-trainees the consequences (safety, legal, 
and personal) of violating the HOS regulations, including the fines and 
penalties imposed for these types of violations.

               Unit A1.5.4 Fatigue and Wellness Awareness

    This unit must teach driver-trainees about the issues and 
consequences of chronic and acute driver fatigue and the importance of 
staying alert. The training providers must teach driver-trainees 
wellness and basic health maintenance information that affect a driver's 
ability to safely operate a CMV.

                    Unit A1.5.5 Post-Crash Procedures

    This unit must teach driver-trainees appropriate post-crash 
procedures, including the requirement that the driver, if possible, 
assess his or her physical condition immediately after the crash and 
notify authorities or assign the task to other individuals at the crash 
scene. The training providers must teach driver-trainees how to protect 
the area; obtain emergency medical assistance; move on-road vehicles off 
the road in minor crashes so as to avoid subsequent crashes or injuries; 
engage flashers; place reflective triangles and other warning devices 
for stopped vehicles; and properly use a fire extinguisher, if 
necessary. The training providers must instruct driver-trainees in post-
crash testing requirements related to controlled substances and alcohol.

                   Unit A1.5.6 External Communications

    This unit must teach driver-trainees in the value of effective 
interpersonal communication techniques/skills to interact with 
enforcement officials. The training providers must teach driver-trainees 
the specifics of the roadside vehicle inspection process, and what to 
expect during this activity. Driver-trainees who are not English 
speakers must be instructed in FMCSA English language proficiency 
requirements. The training providers must teach driver-trainees the 
impact that violating Federal and state regulations has on their driving 
records and their employing motor carrier's records.

                   Unit A1.5.7 Whistleblower/Coercion

    This unit must teach the driver-trainees about the right of an 
employee to question the safety practices of an employer without 
incurring the risk of losing a job or being subject to reprisals simply 
for stating a safety concern. The training providers must instruct 
driver-trainees in the whistleblower protection regulations in 29 CFR 
part 1978. The training providers must teach the procedures for 
reporting to FMCSA incidents of coercion from motor carriers, shippers, 
receivers, or transportation intermediaries.

                        Unit A1.5.8 Trip Planning

    This unit must address the importance of and requirements for 
planning routes and trips. This instruction must address planning the 
safest route, planning for rest stops, heavy traffic areas, railroad-
highway grade

[[Page 183]]

crossing safe clearance and ground clearance (i.e., ``high center''), 
the importance of Federal and State requirements on the need for 
permits, and vehicle size and weight limitations. The training providers 
must teach driver-trainees in the correct identification of restricted 
routes, the pros and cons of Global Positioning System (GPS)/trip 
routing software, and the importance of selecting fuel-efficient routes.

                        Unit A1.5.9 Drugs/Alcohol

    This unit must teach driver-trainees the rules applicable to 
controlled substances (including prescription drugs) and alcohol use and 
testing related to the operation of a CMV.

                    Unit A1.5.10 Medical Requirements

    This unit must teach driver-trainees the Federal rules on medical 
certification, medical examination procedures, general qualifications, 
responsibilities, and disqualifications based on various offenses, 
orders, and loss of driving privileges (49 CFR part 391, subparts B and 
E).

                         Behind-the-Wheel--Range

    BTW range training must teach driving exercises related to basic 
vehicle control skills and mastery of basic maneuvers, as covered in 
Sec. Sec.  383.111 and 383.113 of this chapter, necessary to operate the 
vehicle safely. The training providers will teach activities in this 
unit on a driving range as defined in Sec.  380.605. The training 
provider must teach ``Get Out and Look'' (GOAL) to the driver-trainee as 
it applies to units A2.2-2.6.

         Unit A2.1 Vehicle Inspection Pre-Trip/Enroute/Post-Trip

    Driver-trainees must demonstrate proficiency in conducting pre-trip 
and post-trip inspections as specified in Sec. Sec.  392.7 and 396.11, 
including appropriate inspection locations. Instruction must also be 
provided on enroute vehicle inspections.

                     Unit A2.2 Straight Line Backing

    Driver-trainees must demonstrate proficiency in proper techniques 
for performing various straight line backing maneuvers to appropriate 
criteria/acceptable tolerances.

               Unit A2.3 Alley Dock Backing (45/90 Degree)

    Driver-trainees must demonstrate proficiency in proper techniques 
for performing 45/90 degree alley dock maneuvers to appropriate 
criteria/acceptable tolerances.

                        Unit A2.4 Off-Set Backing

    Driver-trainees must demonstrate proficiency in proper techniques 
for performing off-set right and left backing maneuvers to appropriate 
criteria/acceptable tolerances.

                  Unit A2.5 Parallel Parking Blind Side

    Driver-trainees must demonstrate proficiency in proper techniques 
for performing parallel parking blind side positions/maneuvers to 
appropriate criteria/acceptable tolerances.

                  Unit A2.6 Parallel Parking Sight Side

    Driver-trainees must demonstrate proficiency in proper techniques 
for performing sight side parallel parking maneuvers to appropriate 
criteria/acceptable tolerances.

                    Unit A2.7 Coupling and Uncoupling

    Driver-trainees must demonstrate proficiency in proper techniques 
for coupling, inspecting, and uncoupling combination vehicle units, as 
applicable.

                      Behind-the-Wheel--Public Road

    The instructor must engage in active two-way communication with the 
driver-trainees during all active BTW public road training sessions. 
Skills described in paragraphs A3.8 through 3.12 of this section must be 
discussed during public road training, but not necessarily performed. 
Driver-trainees are not required to demonstrate proficiency in the 
skills described in paragraphs A3.8 through 3.12.

   Unit A3.1 Vehicle Controls Including: Left Turn, Right Turns, Lane 
Changes, Curves at Highway Speeds, and Entry and Exit on the Interstate 
                      or Controlled Access Highway

    Driver-trainees must demonstrate proficiency in proper techniques 
for initiating vehicle movement, executing left and right turns, 
changing lanes, navigating curves at speed, entry and exit on the 
interstate or controlled access highway, and stopping the vehicle in a 
controlled manner.

                     Unit A3.2 Shifting/Transmission

    Driver-trainees must demonstrate proficiency in proper techniques 
for performing safe and fuel-efficient shifting.

                   Unit A3.3 Communications/Signaling

    Driver-trainees must demonstrate proficiency in proper techniques 
for signaling intentions and effectively communicating with other 
drivers.

                         Unit A3.4 Visual Search

    Driver-trainees must demonstrate proficiency in proper techniques 
for visually searching the road for potential hazards and critical 
objects.

                  Unit A3.5 Speed and Space Management

    Driver-trainees must demonstrate proficiency in proper habits and 
techniques for adjusting and maintaining vehicle speed,

[[Page 184]]

taking into consideration various factors such as traffic and road 
conditions. Driver-trainees must demonstrate proficiency in maintaining 
proper speed to keep appropriate spacing between the driver-trainee's 
CMV and other vehicles. Instruction must include methods for calibrating 
safe following distances under an array of conditions including traffic, 
weather, and CMV weight and length.

                     Unit A3.6 Safe Driver Behavior

    Driver-trainees must demonstrate proficiency in safe driver behavior 
during their operation of the CMV.

              Unit A3.7 Hours of Service (HOS) Requirements

    Driver-trainees must demonstrate proficiency in the basic activities 
required by the HOS regulations, such as completing a Driver's Daily Log 
(electronic and paper), timesheet, and logbook recap, as appropriate.

                       Unit A3.8 Hazard Perception

    Driver-trainees must demonstrate their ability to recognize 
potential hazards in the driving environment in time to reduce the 
severity of the hazard and neutralize possible emergency situations. 
Driver-trainees must demonstrate the ability to identify road conditions 
and other road users that are a potential threat to the safety of the 
combination vehicle and suggest appropriate adjustments.

             Unit A3.9 Railroad (RR)-Highway Grade Crossing

    Driver-trainees must demonstrate the ability to recognize potential 
dangers and to demonstrate appropriate safety procedures when RR-highway 
grade crossings are reasonably available.

                       Unit A3.10 Night Operation

    Driver-trainees must be familiar with how to operate a CMV safely at 
night. Training providers must teach driver-trainees that night driving 
presents specific circumstances that require heightened attention on the 
part of the driver. Driver-trainees must be taught special requirements 
for night vision, communications, speed, space management, and proper 
use of lights.

                  Unit A3.11 Extreme Driving Conditions

    Driver-trainees must be familiar with the special risks created by, 
and the heightened precautions required by, driving CMVs under extreme 
driving conditions, such as heavy rain, high wind, high heat, fog, snow, 
ice, steep grades, and sharp curves. Driver-trainees must demonstrate 
their ability to recognize the changes in basic driving habits needed to 
deal with the specific challenges presented by these extreme driving 
conditions.

  Unit A3.12 Skid Control/Recovery, Jackknifing, and Other Emergencies

    Driver-trainees must know the causes of skidding and jackknifing and 
techniques for avoiding and recovering from them. Driver-trainees must 
know how to maintain directional control and bring the CMV to a stop in 
the shortest possible distance while operating over a slippery surface. 
Driver-trainees must be familiar with proper techniques for responding 
to CMV emergencies, such as evasive steering, emergency braking, and 
off-road recovery. They must also know how to prevent or respond to 
brake failures, tire blowouts, hydroplaning, and rollovers.

[81 FR 88794, Dec. 8, 2016]



      Sec. Appendix B to Part 380--Class B--CDL Training Curriculum

    Class B CDL applicants must complete the Class B CDL curriculum 
outlined in this Appendix. The curriculum for Class B applicants 
pertains to heavy straight vehicles (Group B) as defined in 49 CFR 
383.91(a)(2). There is no required minimum number of instruction hours 
for theory training, but the training instructor must cover all the 
topics in curriculum. There is no required minimum number of instruction 
hours required for BTW (range and public road) training, but the 
training instructor must cover all topics set forth in the BTW 
curriculum. BTW training must be conducted in a CMV for which a Class B 
CDL is required. The instructor must determine and document that each 
driver-trainee has demonstrated proficiency in all elements of the BTW 
curriculum unless otherwise noted. Consistent with the definitions of 
BTW range training and BTW public road training in Sec.  380.605, a 
simulation device cannot be used to conduct such training or to 
demonstrate proficiency. Training instructors must document the total 
number of clock hours each driver-trainee spends to complete the BTW 
curriculum. The Class B curriculum must, at a minimum, include the 
following:

                           Theory Instruction

                      Section B1.1 Basic Operation

    This section must cover the interaction between driver-trainees and 
the CMV. Driver-trainees will receive instruction in the Federal Motor 
Carrier Safety Regulations (FMCSRs) and will be introduced to the basic 
CMV instruments and controls. This section must also teach driver-
trainees how to perform vehicle inspections, control the CMVs under 
various road and traffic conditions, employ shifting and backing 
techniques, and couple and uncouple, as applicable. Driver-

[[Page 185]]

trainees must familiarize themselves with the basic operating 
characteristics of a CMV.

                         Unit B1.1.1 Orientation

    This unit must introduce driver-trainees to the commercial motor 
vehicle driver training curriculum and the components of a commercial 
motor vehicle. The training providers must teach driver-trainees the 
safety fundamentals, essential regulatory requirements (i.e., overview 
of FMCSRs/hazardous materials (HM) regulations), and driver-trainees' 
responsibilities not directly related to driving. This unit must also 
cover the ramifications and driver disqualification provisions and fines 
for non-compliance with parts 380, 382, 383, and 390 through 399 of the 
FMCSRs. This unit must also include an overview of the applicability of 
State and local laws relating to the safe operation of the CMV, stopping 
at weigh stations/scales, hazard awareness of vehicle size and weight 
limitations, low clearance areas (e.g., CMV height restrictions), and 
bridge formulas.

                  Unit B1.1.2 Control Systems/Dashboard

    This unit must introduce driver-trainees to vehicle instruments, 
controls, and safety components. The training providers must teach 
driver-trainees to read gauges and instruments correctly and the proper 
use of vehicle safety components, including safety belts and mirrors. 
The training providers must teach driver-trainees to identify, locate, 
and explain the function of each of the primary and secondary controls 
including those required for steering, accelerating, shifting, braking 
systems (e.g., ABS, hydraulic, air), as applicable, and parking.

                 Unit 1.3 Pre- and Post-Trip Inspections

    The training provider must teach the driver-trainees to conduct pre-
trip and post-trip inspections as specified in Sec. Sec.  392.7 and 
396.11, including appropriate inspection locations. Instruction must 
also be provided on enroute vehicle inspections.

                        Unit B1.1.4 Basic Control

    This unit must introduce basic vehicular control and handling as it 
applies to commercial motor vehicles. This unit must include instruction 
addressing basic CMV controls in areas such as executing sharp left and 
right turns, centering the vehicle, maneuvering in restricted areas, and 
entering and exiting the interstate or controlled access highway.

              Unit B1.1.5 Shifting/Operating Transmissions

    This unit must introduce shifting patterns and procedures to driver-
trainees to prepare them to safely and competently perform basic 
shifting maneuvers. This unit must teach driver-trainees to execute up 
and down shifting techniques on multi-speed dual range transmissions, if 
appropriate. The training providers must teach driver-trainees the 
importance of increased fuel economy achieved by utilizing proper 
shifting techniques.

                     Unit B1.1.6 Backing and Docking

    This unit must teach driver-trainees to back and dock the 
combination vehicle safely. This unit must cover ``Get Out and Look'' 
(GOAL), evaluation of backing/loading facilities, knowledge of backing 
set ups, as well as instruction in how to back with use of spotters.

                 Section B1.2 Safe Operating Procedures

    This section must teach the practices required for safe operation of 
the CMV on the highway under various road, weather, and traffic 
conditions. The training providers must teach driver-trainees the 
Federal rules governing the proper use of seat belt assemblies (Sec.  
392.16).

                        Unit B1.2.1 Visual Search

    This unit must teach driver-trainees to visually search the road for 
potential hazards and critical objects, including instruction on 
recognizing distracted pedestrians or distracted drivers. This unit must 
include instruction in how to ensure a driver-trainee's personal 
security/general awareness in common surroundings such as truck stops 
and/or rest areas and at shipper/receiver locations.

                        Unit B1.2.2 Communication

    This unit must teach driver-trainees how to communicate their 
intentions to other road users. Driver-trainees must be instructed in 
techniques for different types of communication on the road, including 
proper use of headlights, turn signals, four-way flashers, and horns. 
This unit must cover instruction in proper utilization of eye contact 
techniques with other drivers, bicyclists, and pedestrians.

                     Unit B1.2.3 Distracted Driving

    This unit must instruct driver-trainees in FMCSRs related to 
distracted driving and other key driver distraction driving issues, 
including improper cell phone use, texting, and use of in-cab technology 
(e.g., Sec. Sec.  392.80 and 392.82). This instruction will include 
training in the following aspects: Visual attention (keeping eyes on the 
road); manual control (keeping hands on the wheel); and cognitive 
awareness (keeping mind on the task and safe operation of the CMV).

                      Unit B1.2.4 Speed Management

    This unit must teach driver-trainees how to manage speed effectively 
in response to various road, weather, and traffic conditions.

[[Page 186]]

The instruction must include methods for calibrating safe following 
distances under an array of conditions including traffic, weather and 
CMV weight and length.

                      Unit B1.2.5 Space Management

    This unit must teach driver-trainees about the importance of 
managing the space surrounding the vehicle under various traffic and 
road conditions.

                       Unit B1.2.6 Night Operation

    This unit must instruct driver-trainees in the factors affecting the 
safe operation of CMVs at night and in darkness. Additionally, driver-
trainees must be instructed in changes in vision, communications, speed, 
space management, and proper use of lights, as needed, to deal with the 
special problems night driving presents.

                 Unit B1.2.7 Extreme Driving Conditions

    This unit must teach driver-trainees the specific problems presented 
by extreme driving conditions. The training will emphasize the factors 
affecting the operation of CMVs in cold, hot, and inclement weather and 
on steep grades and sharp curves. The training providers must teach 
driver-trainees the proper tire chaining procedures in this unit.

                Section B1.3 Advanced Operating Practices

    This section must introduce higher-level skills that can be acquired 
only after the more fundamental skills and knowledge taught in the prior 
two sections have been mastered. The training providers must teach 
driver-trainees the advanced skills necessary to recognize potential 
hazards and must teach driver-trainees the procedures needed to handle a 
CMV when faced with a hazard.

                      Unit B1.3.1 Hazard Perception

    The unit must provide instruction for recognizing potential hazards 
in the driving environment in order to reduce the severity of the hazard 
and neutralize possible emergency situations. The training providers 
must teach driver-trainees to identify road conditions and other road 
users that are a potential threat to the safety of the CMV and suggest 
appropriate adjustments. The instruction must emphasize hazard 
recognition, visual search, adequate surveillance, and response to 
possible emergency-producing situations encountered by CMV drivers in 
various traffic situations. The training providers must also teach 
driver-trainees to recognize potential dangers and the safety procedures 
that must be utilized while driving in construction/work zones.

  Unit B1.3.2 Skid Control/Recovery, Jackknifing, and Other Emergencies

    This unit must teach the causes of skidding and jackknifing and 
techniques for avoiding and recovering from them. The training providers 
must teach the importance of maintaining directional control and 
bringing the CMV to a stop in the shortest possible distance while 
operating over a slippery surface. This unit must provide instruction in 
appropriate responses when faced with CMV emergencies. This instruction 
must include evasive steering, emergency braking, and off-road recovery, 
as well as the proper response to brake failures, tire blowouts, 
hydroplaning, and rollovers. The instruction must include a review of 
unsafe acts and the role the acts play in producing or worsening 
hazardous situations.

              Unit B1.3.3 Railroad-Highway Grade Crossings

    This unit must teach driver-trainees to recognize potential dangers 
and appropriate safety procedures to utilize at railroad (RR)-highway 
grade crossings. This instruction must include an overview of various 
Federal/State RR grade crossing regulations, RR grade crossing 
environments, obstructed view conditions, clearance around the tracks, 
and rail signs and signals. The training providers must instruct driver-
trainees that railroads have personnel available (``Emergency 
Notification Systems'') to receive notification of any information 
relating to an unsafe condition at the RR-highway grade crossing or a 
disabled vehicle or other obstruction blocking a railroad track at the 
RR-highway grade crossing.

         Section B1.4 Vehicle Systems and Reporting Malfunctions

    This unit must provide entry-level driver-trainees with sufficient 
knowledge of the CMV and its systems and subsystems to ensure that they 
understand and respect their role in vehicle inspection, operation, and 
maintenance and the impact of those factors upon highway safety and 
operational efficiency.

        Unit B1.4.1 Identification and Diagnosis of Malfunctions

    This unit must teach driver-trainees to identify major vehicle 
systems. The goal is to explain their function and how to check all key 
vehicle systems, as appropriate (e.g., engine, engine exhaust auxiliary 
systems, brakes, drive train, coupling systems, and suspension) to 
ensure their safe operation. Driver-trainees must be provided with a 
detailed description of each system, its importance to safe and 
efficient operation, and what is needed to keep the system in good 
operating condition.

[[Page 187]]

                    Unit B1.4.2 Roadside Inspections

    This unit must instruct driver-trainees on what to expect during a 
standard roadside inspection conducted by authorized personnel. The 
training providers must teach driver-trainees on what vehicle and driver 
violations are classified as out-of-service (OOS), including the 
ramifications and penalties for operating a CMV when subject to an OOS 
order as defined in section 390.5.

                         Unit B1.4.3 Maintenance

    This unit must introduce driver-trainees to the basic servicing and 
checking procedures for various engine and vehicle components and to 
help develop their ability to perform preventive maintenance and simple 
emergency repairs.

                   Section B1.5 Non-Driving Activities

    This section must teach driver-trainees activities that do not 
involve actually operating the CMV, e.g., proper cargo securement.

               Unit B1.5.1 Handling and Documenting Cargo

    This unit must teach driver-trainees the basic theory of cargo 
weight distribution, cargo securement on the vehicle, cargo covering, 
and techniques for safe and efficient loading/unloading. The training 
providers must also teach driver-trainees the basic cargo security/cargo 
theft prevention procedures. The training providers must teach driver-
trainees the basic information regarding the proper handling and 
documentation of HM cargo.

               Unit B1.5.2 Environmental Compliance Issues

    This unit must teach driver-trainees to recognize environmental 
hazards and issues related to the CMV and load, and also make aware that 
city, county, State, and Federal requirements may apply to such 
circumstances.

                Unit B1.5.3 Hours of Service Requirements

    This unit must teach driver-trainees to understand that there are 
different hours-of-service (HOS) requirements applicable to different 
industries. The training providers must teach driver-trainees all 
applicable HOS regulatory requirements. The training providers must 
teach driver-trainees to complete a Driver's Daily Log (electronic and 
paper), timesheet, and logbook recap, as appropriate. The training 
providers must teach driver-trainees the consequences (safety, legal, 
and personal) of violating the HOS regulations, including the fines and 
penalties imposed for these types of violations.

               Unit B1.5.4 Fatigue and Wellness Awareness

    The issues and consequences of chronic and acute driver fatigue and 
the importance of staying alert will be covered in this unit. The 
training providers must teach driver-trainees about wellness and basic 
health maintenance information that affect a driver's ability to safely 
operate a CMV.

                    Unit B1.5.5 Post-Crash Procedures

    This unit must teach driver-trainees the appropriate post-crash 
procedures, including the requirement that the driver, if possible, 
assess his or her physical condition immediately after the crash and 
notify authorities, or assign the task to other individuals at the crash 
scene. The training providers must teach driver-trainees how to protect 
the area; obtain emergency medical assistance; move on-road vehicles off 
the road in minor crashes so as to avoid subsequent crashes or injuries; 
engage flashers; place reflective triangles and other warning devices 
for stopped vehicles; and properly use a fire extinguisher, if 
necessary. The training providers must instruct driver-trainees in post-
crash testing requirements related to controlled substances and alcohol.

                   Unit B1.5.6 External Communications

    This unit must instruct driver-trainees in the value of effective 
interpersonal communication techniques/skills to interact with 
enforcement officials. The training providers must teach driver-trainees 
the specifics of the roadside vehicle inspection process, and what to 
expect during this activity. Driver-trainees who are not native English 
speakers must be instructed in FMCSA English language proficiency 
requirements and the consequences for violations. The training providers 
must teach driver-trainees the implications of violating Federal and 
state regulations will have on their driving records and their employing 
motor carrier's records.

                   Unit B1.5.7 Whistleblower/Coercion

    This unit must teach the driver-trainees about the right of an 
employee to question the safety practices of an employer without 
incurring the risk of losing a job or being subject to reprisals simply 
for stating a safety concern. The training providers must instruct 
driver-trainees in the whistleblower protection regulations in 29 CFR 
part 1978. The training providers must teach driver-trainees the 
procedures for reporting to FMCSA incidents of coercion from motor 
carriers, shippers, receivers, or transportation intermediaries.

                        Unit B1.5.8 Trip Planning

    This unit must address the importance of and requirements for 
planning routes and

[[Page 188]]

trips. This instruction must address planning the safest route, planning 
for rest stops, heavy traffic areas, railroad-highway grade crossing 
safe clearance and ground clearance (i.e., ``high center''), the 
importance of Federal and State requirements on the need for permits, 
and vehicle size and weight limitations. The training providers must 
teach driver-trainees the correct identification of restricted routes, 
the pros and cons of Global Positioning System (GPS)/trip routing 
software, and the importance of selecting fuel-efficient routes.

                        Unit B1.5.9 Drugs/Alcohol

    This unit must teach driver-trainees the rules applicable to 
controlled substances (including prescription drugs) and alcohol use and 
testing related to the operation of a CMV.

                    Unit B1.5.10 Medical Requirements

    This unit must teach driver-trainees the Federal rules on medical 
certification, medical examination procedures, general qualifications, 
responsibilities, and disqualifications based on various offenses, 
orders, and loss of driving privileges (49 CFR part 391, subparts B and 
E).

                         Behind-the-Wheel Range

    This unit must teach driving exercises related to basic vehicle 
control skills and mastery of basic maneuvers, as covered in Sec. Sec.  
383.111 and 383.113 of this chapter necessary to operate the vehicle 
safely. The training providers must teach driver-trainees activities in 
this unit on a driving range as defined in Sec.  380.605. The training 
provider must teach ``Get Out and Look'' (GOAL) to the driver-trainee as 
it applies to units B2.2-2.6.

         Unit B2.1 Vehicle Inspection Pre-Trip/Enroute/Post-Trip

    Driver-trainees must demonstrate proficiency in conducting pre-trip 
and post-trip inspections as specified in Sec. Sec.  392.7 and 396.11, 
including appropriate inspection locations. Instruction must also be 
provided on enroute vehicle inspections.

                     Unit B2.2 Straight Line Backing

    Driver-trainees must demonstrate proficiency in proper techniques 
for performing various straight line backing maneuvers to appropriate 
criteria/acceptable tolerances.

               Unit B2.3 Alley Dock Backing (45/90 Degree)

    Driver-trainees must demonstrate proficiency in proper techniques 
for performing 45/90 degree alley dock maneuvers to appropriate 
criteria/acceptable tolerances.

                        Unit B2.4 Off-Set Backing

    Driver-trainees must demonstrate proficiency in proper techniques 
for performing off-set backing maneuvers to appropriate criteria/
acceptable tolerances.

                  Unit B2.5 Parallel Parking Blind Side

    Driver-trainees must demonstrate proficiency in proper techniques 
for performing parallel parking blind side positions/maneuvers to 
appropriate criteria/acceptable tolerances.

                  Unit B2.6 Parallel Parking Sight Side

    Driver-trainees must demonstrate proficiency in proper techniques 
for performing sight side parallel parking maneuvers to appropriate 
criteria/acceptable tolerances.

                      Behind-the-Wheel Public Road

    The instructor must engage in active two-way communication with the 
driver-trainees during all active BTW public road training sessions. 
Skills described in paragraphs B3.8 through 3.12 of this section must be 
discussed during public road training, but not necessarily performed. 
Driver-trainees are not required to demonstrate proficiency in the 
skills described in paragraphs B3.8 through 3.12.

  Unit B3.1 Vehicle Controls Including: Left Turns, Right Turns, Lane 
Changes, Curves at Highway Speeds, and Entry and Exit on the Interstate 
                      or Controlled Access Highway

    Driver-trainees must demonstrate proficiency in proper techniques 
for initiating vehicle movement, executing left and right turns, 
changing lanes, navigating curves at speed, exiting and entering the 
interstate, and stopping the vehicle in a controlled manner.

                     Unit B3.2 Shifting/Transmission

    Driver-trainees must demonstrate proficiency in proper techniques 
for performing safe and fuel-efficient shifting.

                   Unit B3.3 Communications/Signaling

    Driver-trainees must demonstrate proficiency in proper techniques 
for signaling intentions and effectively communicating with other 
drivers.

                         Unit B3.4 Visual Search

    Driver-trainees must demonstrate proficiency in proper techniques 
for visually searching the road for potential hazards and critical 
objects.

                  Unit B3.5 Speed and Space Management

    Driver-trainees must demonstrate proficiency in proper habits and 
techniques for adjusting and maintaining vehicle speed,

[[Page 189]]

taking into consideration various factors such as traffic and road 
conditions. Driver-trainees must demonstrate proficiency in maintaining 
proper speed to keep appropriate spacing between the driver-trainee's 
CMV and other vehicles. Instruction must include methods for calibrating 
safe following distances under an array of conditions including traffic, 
weather, and CMV weight and length.

                     Unit B3.6 Safe Driver Behavior

    Driver-trainees must demonstrate proficiency in safe driver behavior 
during their operation of the CMV.

              Unit B3.7 Hours of Service (HOS) Requirements

    Driver-trainees must demonstrate proficiency in the basic activities 
required by the HOS regulations, such as completing a Driver's Daily Log 
(electronic and paper), timesheet, and logbook recap, as appropriate.

                       Unit B3.8 Hazard Perception

    Driver-trainees must demonstrate their ability to recognize 
potential hazards in the driving environment in time to reduce the 
severity of the hazard and neutralize possible emergency situations. 
Driver-trainees must demonstrate the ability to identify road conditions 
and other road users that are a potential threat to vehicle safety and 
suggest appropriate adjustments.

             Unit B3.9 Railroad (RR)-Highway Grade Crossing

    Driver-trainees must demonstrate the ability to recognize potential 
dangers and to demonstrate appropriate safety procedures when RR-highway 
grade crossings are reasonably available.

                       Unit B3.10 Night Operation

    Driver-trainees must be familiar with how to operate a CMV safely at 
night. Training providers must teach driver-trainees that night driving 
presents specific circumstances that require heightened attention on the 
part of the driver. Driver-trainees must be taught special requirements 
for night vision, communications, speed, space management, and proper 
use of lights.

                  Unit B3.11 Extreme Driving Conditions

    Driver-trainees must be familiar with the special risks created by, 
and the heightened precautions required by, driving CMVs under extreme 
driving conditions, such as heavy rain, high wind, high heat, fog, snow, 
ice, steep grades, and curves. Training providers must teach driver-
trainees the basic driving habits needed to deal with the specific 
challenges presented by these extreme driving conditions.

  Unit B3.12 Skid Control/Recovery, Jackknifing, and Other Emergencies

    Driver-trainees must know the causes of skidding and jackknifing and 
techniques for avoiding and recovering from them. Driver-trainees must 
know how to maintain directional control and bring the CMV to a stop in 
the shortest possible distance while operating over a slippery surface. 
Driver-trainees must be familiar with proper techniques for responding 
to CMV emergencies, such as evasive steering, emergency braking, and 
off-road recovery. They must also know how to prevent or respond to 
brake failures, tire blowouts, hydroplaning, and rollovers.

[81 FR 88794, Dec. 8, 2016]



 Sec. Appendix C to Part 380--Passenger Endorsement Training Curriculum

    Passenger (P) endorsement applicants must complete the curriculum 
outlined in this section, which applies to driver-trainees who expect to 
operate CMVs in the any of the vehicle groups defined in Sec.  
383.91(a)(1)-(3) for which a P endorsement is required.
    There is no required minimum number of instruction hours for theory 
training, but the training provider must cover all the topics set forth 
in the curriculum. There is no required minimum number of instruction 
hours for BTW training, but training providers must determine whether 
driver-trainees have demonstrated proficiency in all elements of the BTW 
curriculum. Training instructors must document the total number of clock 
hours each driver-trainee spends to complete the BTW curriculum. The 
training must be conducted in a passenger vehicle of the same vehicle 
group as the applicant intends to drive. The passenger endorsement 
training must, at a minimum, contain the following:

                           Theory Instruction

                     Unit C1.1 Post-Crash Procedures

    This unit must teach driver-trainees appropriate post-crash 
procedures, including the requirement that the driver, if possible, 
assess his or her physical condition immediately after the crash and 
notify authorities, or assign the task to a passenger or other 
individuals at the crash scene. Also, training providers must teach 
driver-trainees how to obtain emergency medical assistance; move on-road 
vehicles off the road in minor crashes so as to avoid subsequent crashes 
or injuries; engage flashers, reflective triangles and other warning 
devices for stopped vehicles; and properly use a fire extinguisher if 
necessary.

[[Page 190]]

                  Unit C1.2 Other Emergency Procedures

    This unit must instruct driver-trainees in managing security 
breaches, on-board fires, emergency exit and passenger evacuation 
training, medical emergencies, and emergency stopping procedures 
including the deployment of various emergency hazard signals. 
Instruction must also include procedures for dealing with mechanical 
breakdowns and vehicle defects while enroute.

                      Unit C1.3 Vehicle Orientation

    This unit must teach driver-trainees the basic physical and 
operational characteristics of passenger-carrying CMV (e.g., bus and 
motor coach), including overall height, length, width, ground 
clearances, rear overhang, Gross Vehicle Weight and Gross Vehicle Weight 
Rating, axle weights, wheels and rims, tires, tire ratings, mirrors, 
steer wheels, lighting, windshield, windshield wipers, engine 
compartments, basic electrical system, brake systems, as applicable, and 
spare tire storage. Additionally, training providers must instruct 
driver-trainees in techniques for proper driver seat and mirror 
adjustments.

          Unit C1.4 Pre-Trip, Enroute, and Post-Trip Inspection

    This unit must teach the driver-trainee the importance of pre-trip, 
enroute, and post-trip inspections; and provide instruction in 
techniques for conducting such inspections as stated in Sec. Sec.  392.7 
and 396.11, and demonstrate their ability to inspect the following:
    (1) Emergency exits;
    (2) Passenger-carrying CMV interiors (including passenger seats as 
applicable);
    (3) Restrooms and associated environmental requirements;
    (4) Temperature controls (for maintaining passenger comfort);
    (5) Driver and passenger seat belts.
    Additionally, training providers must instruct driver-trainees in 
procedures, as applicable, in security-related inspections, including 
inspections for unusual wires or other abnormal visible materials, 
interior and exterior luggage compartments, packages or luggage left 
behind, and signs of cargo or vehicle tampering. Finally, training 
providers must instruct driver-trainees in cycling-accessible lifts and 
procedures for inspecting them for functionality and defects.

                            Unit C1.5 Fueling

    This unit must instruct driver-trainees on the significance of 
avoiding refueling a bus while passengers are onboard and the imperative 
of avoiding refueling in an enclosed space.

                            Unit C1.6 Idling

    This unit must teach driver-trainees the importance of compliance 
with State and local laws and regulations, including for example, idling 
limits, fuel savings; and the consequences of non-compliance, including 
adverse health effects and penalties.

                Unit C1.7 Baggage and/or Cargo Management

    In this unit, training providers must teach driver-trainees:
    (1) Proper methods for handling and securing passenger baggage and 
containers, as applicable.
    (2) Procedures for identifying and inspecting baggage and containers 
for prohibited items, such as hazardous materials.
    (3) Proper handling and securement of devices associated with the 
Americans with Disabilities Act (ADA) compliance, including oxygen, 
wheeled mobility devices, and other associated apparatuses.

              Unit C1.8 Passenger Safety Awareness Briefing

    This unit must teach driver-trainees how to brief passengers on 
safety topics including fastening seat belts, emergency exits, emergency 
phone contact information, fire extinguisher location, safely walking in 
the aisle when the bus is moving, and restroom emergency push button or 
switch.

                     Unit C1.9 Passenger Management

    In this unit, training providers must teach driver-trainees:
    (1) Proper procedures for safe loading and unloading of passengers 
prior to departure, including rules concerning standing passengers and 
the standee line.
    (2) Procedures for dealing with disruptive passengers.

       Unit C1.10 Americans With Disabilities Act (ADA) Compliance

    Along with addressing the proper operation of accessibility 
equipment (e.g., lifts), this must teach driver-trainees the applicable 
regulations and proper procedures for engaging persons with disabilities 
or special needs under the ADA. Training must cover passengers with 
mobility issues, engaging passengers with sight, hearing, or cognitive 
impairments, and recognizing the permitted use of service animals.

             Unit C1.11 Hours of Service (HOS) Requirements

    This unit must teach driver-trainees the HOS regulations that apply 
to drivers for interstate passenger carriers. Training providers must 
teach driver-trainees the basic activities required by the HOS 
regulations, such as completing a Driver's Daily Log

[[Page 191]]

(electronic and paper), timesheet, and logbook recap, as appropriate. 
Training providers must teach driver-trainees how to recognize the signs 
of fatigue and basic fatigue countermeasures as a means to avoid 
crashes.

                      Unit C1.12 Safety Belt Safety

    This unit must teach driver-trainees the Federal rules governing the 
proper use of safety restraint systems by CMV drivers, as set forth in 
Sec.  392.16.

                      Unit C1.13 Distracted Driving

    This unit must teach driver-trainees FMCSA regulations that prohibit 
drivers from texting or using hand-held mobile phones while operating 
their vehicles (e.g., Sec. Sec.  392.80 and 392.82); and must teach the 
serious consequences of violations, including crashes, heavy fines, and 
impacts on a motor carrier's and/or driver's safety records, such as 
driver disqualification.

    Unit C1.14 Railroad (RR)-Highway Grade Crossings and Drawbridges

    This unit must instruct driver-trainees in applicable regulations, 
techniques, and procedures for navigating RR-highway grade crossings and 
drawbridges appropriate to passenger buses.

                        Unit C1.15 Weigh Stations

    This unit must teach driver-trainees the weigh-station regulations 
that apply to buses.

                      Unit C1.16 Security and Crime

    This unit must teach driver-trainees the basic techniques for 
recognizing and minimizing physical risks from criminal activities.

                     Unit C1.17 Roadside Inspections

    This unit must teach driver-trainees what to expect during a 
standard roadside inspection conducted by authorized personnel. Training 
providers must teach driver-trainees what passenger-carrying vehicle and 
driver violations are classified as out-of-service (OOS), including the 
ramifications and penalties for operating a CMV when subject to an OOS 
order as defined in Sec.  390.5.

                     Unit C1.18 Penalties and Fines

    This unit must teach driver-trainees the potential consequences of 
violating driver-related regulations, including impacts on driver and 
motor carrier safety records, adverse impacts on the driver's Pre-
employment Screening Program record; financial penalties for both the 
driver and carrier; and possible loss of CMV driving privileges.

                 Behind the Wheel--Range and Public Road

    This BTW training consists of exercises related to basic vehicle 
control skills and mastery of basic maneuvers necessary to operate the 
vehicle safely. Activities in this unit will take place on a driving 
range or a public road as defined in Sec.  380.605. The instructor must 
engage in active communication with the driver-trainees during all BTW 
training sessions.

                      Unit C2.1 Vehicle Orientation

    Driver-trainees must demonstrate their familiarity with basic 
passenger-carrying CMV physical and operational characteristics 
including overall height, length, width, ground clearances, rear 
overhang, gross vehicle weight and gross vehicle weight rating, axle 
weights, wheels and rims, tires, tire ratings, mirrors, steer wheels, 
lighting, windshield, windshield wipers, engine compartments, basic 
electric system, and spare tire storage. Additionally, driver-trainees 
must demonstrate techniques for proper driver's seat and mirror 
adjustments.

          Unit C2.2 Pre-Trip, Enroute, and Post-Trip Inspection

    Driver-trainees must demonstrate proficiency in conducting such pre-
trip, enroute and post-trip inspections of buses and key components of 
Sec. Sec.  392.7 and 396.11, and demonstrate their ability to inspect 
the following:
    (1) Emergency exits;
    (2) Passenger-carrying CMV interiors (including passenger seats as 
applicable);
    (3) Restrooms and associated environmental requirements;
    (4) Temperature controls (for maintaining passenger comfort); and
    (5) Driver and passenger seat belts.
    Additionally, driver-trainees must demonstrate their knowledge of 
procedures, as applicable, in security-related inspections, including 
inspections for unusual wires or other abnormal visible materials, 
interior and exterior luggage compartments, packages or luggage left 
behind, and signs of cargo or vehicle tampering. Driver-trainees must be 
familiar with the operation of cycling-accessible lifts and the 
procedures for inspecting them for functionality and defects. For 
passenger-carrying vehicles equipped with said lifts and tie-down 
positions, trainee must demonstrate their ability to operate the 
cycling-accessible lifts.

                Unit C2.3 Baggage and/or Cargo Management

    In this unit, driver-trainees must demonstrate their ability to:
    (1) Properly handle passenger baggage and containers to avoid 
worker, passenger, and non-passenger related injuries and property 
damage;

[[Page 192]]

    (2) Visually inspect baggage and containers for prohibited items, 
such as hazardous materials and identify such items;
    (3) Properly handle and secure devices associated with ADA 
compliance including oxygen, wheeled mobility devices, and other 
associated apparatuses.

              Unit C2.4 Passenger Safety Awareness Briefing

    Driver-trainees must demonstrate their ability to brief passengers 
on safety on topics including: Fastening seat belts, emergency exits, 
emergency phone contact information, fire extinguisher location, safely 
walking in the aisle when the bus is moving, and restroom emergency push 
button or switch.

                     Unit C2.5 Passenger Management

    In this unit, driver-trainees must demonstrate their ability to 
safely load and unload passengers prior to departure and to deal with 
disruptive passengers.

               Unit C2.6 Railroad-Highway Grade Crossings

    Driver-trainees must demonstrate proper procedures for safely 
navigating railroad-highway grade crossings in a passenger-carrying CMV.

[81 FR 88794, Dec. 8, 2016]



 Sec. Appendix D to Part 380--School Bus Endorsement Training Curriculum

    School bus (S) endorsement applicants must complete the curriculum 
outlined in this section, which applies to driver-trainees who expect to 
operate a ``school bus'' as defined in Sec.  383.5. There is no required 
minimum number of instruction hours for theory training, but the 
training provider must cover all the topics set forth in the curriculum. 
There is no required minimum number of instruction hours for BTW 
training, but the training provider must determine whether driver-
trainees have demonstrated proficiency in all elements of the BTW 
curriculum. Training instructors must document the total number of clock 
hours each driver-trainee spends to complete the BTW curriculum. The 
training must be conducted in a school bus of the same vehicle group as 
the applicant intends to drive. The school bus endorsement training 
must, at a minimum, include the following:

                           Theory Instruction

                Unit D1.1 Danger Zones and Use of Mirrors

    This unit must teach driver-trainees the danger zones that exist 
around the school bus and the techniques to ensure the safety of those 
around the bus. These techniques include correct mirror adjustment and 
usage. The types of mirrors and their use must be discussed, as well as 
the requirements found in Federal Motor Vehicle Safety Standard (FMVSS) 
111 (49 CFR 571.111). Training providers must teach driver-trainees the 
dangers of ``dart-outs.'' Training providers must teach driver-trainees 
the importance of training students how to keep out of the danger zone 
when around school buses and the techniques for doing so.

                     Unit D1.2 Loading and Unloading

    This unit must be instruct driver-trainees on the laws and 
regulations for loading and unloading, as well as the required 
procedures for students waiting at a bus stop and crossing the roadway 
at a bus stop. Special dangers involved in loading and unloading must be 
specifically discussed, including procedures to ensure the danger zone 
is clear and that no student has been caught in the doorway prior to 
moving the vehicle. Instruction also must be included on the proper use 
of lights, stop arms, crossing gates, and safe operation of the door 
during loading and unloading; the risks involved with leaving students 
unattended on a school bus; and the proper techniques for checking the 
bus for sleeping children and lost items at the end of each route.

                      Unit D1.3 Vehicle Orientation

    This unit must teach driver-trainees the basic physical and 
operational characteristics of school buses, including overall height, 
length, width, ground clearances, rear overhang, Gross Vehicle Weight 
and Gross Vehicle Weight Rating, axle weights, wheels and rims, tires, 
tire ratings, mirrors, steer wheels, lighting, windshield, windshield 
wipers, engine compartments, basic electrical system, brake systems, as 
applicable, and spare tire storage. Additionally, the training providers 
must instruct driver-trainees in techniques for proper driver seat and 
mirror adjustments.

                     Unit D1.4 Post-Crash Procedures

    This unit must instruct driver-trainees on the proper procedures 
following a school bus crash. The instruction must include use of fire 
extinguisher(s), first aid kit(s), tending to injured passengers, post-
crash vehicle securement, notification procedures, deciding whether to 
evacuate the bus, data gathering, and interaction with law enforcement 
officials.

                 Unit D1.5 Emergency Exit and Evacuation

    This unit must teach driver-trainees their role in safely evacuating 
the bus in an emergency and planning for an emergency in advance. 
Training must include proper evacuation methods and procedures, such as 
the safe evacuation of students on field and activity trips who only 
occasionally ride school buses and thus may not be familiar with the 
procedures.

[[Page 193]]

               Unit D1.6 Railroad-Highway Grade Crossings

    This unit must teach driver-trainees the dangers trains present and 
the importance of the school bus driver and students strictly following 
railroad crossing procedures. Instruction must be given on the types of 
crossings, warning signs and devices, and State and local procedures and 
regulations for school buses when crossing railroad-highway grade 
crossings.

                      Unit D1.7 Student Management

    This unit must teach driver-trainees how to manage student behavior 
on the bus to ensure that safety is maintained and the rights of others 
are respected. Specific student management techniques must be discussed, 
including warning signs of bullying and the techniques for managing 
student behavior and administering discipline. Training providers must 
teach driver-trainees to avoid becoming distracted by student behavior 
while driving, especially when crossing railroad tracks and during 
loading and unloading.

                 Unit D1.8 Special Safety Considerations

    This unit must teach the driver-trainees the special safety 
considerations and equipment in school bus operations. Topics discussed 
must include use of strobe lights, driving in high winds, safe backing 
techniques, and preventing tail swing crashes.

                Unit D1.9 Pre- and Post-Trip Inspections

    This unit must teach the driver-trainees the importance of pre-trip, 
enroute, and post-trip inspections; and provide instruction in 
techniques for conducting such inspections of buses as stated in 
Sec. Sec.  392.7 and 396.11, and additionally demonstrate their ability 
to inspect the following:
    (1) Stop arms,
    (2) Crossing arms,
    (3) Emergency exits,
    (4) Fire extinguishers,
    (5) Passenger seats,
    (6) First aid kits,
    (7) Interior lights, and
    (8) Temperature control (for maintaining passenger comfort).
    Training providers must instruct driver-trainees in State and local 
requirements, as applicable, for inspection of school bus equipment.

                     Unit D1.10 School Bus Security

    This unit must teach driver-trainees the security issues facing 
school bus drivers. Training providers must also teach driver-trainees 
potential security threats, techniques for preventing and responding to 
security threats, how to recognize and report suspicious behavior, and 
what to do in the event of a hijacking or attack on a school bus.

                    Unit D1.11 Route and Stop Reviews

    This unit must teach driver-trainees the importance of planning 
their routes prior to beginning driving in order to avoid distraction 
while on the road. The training provider must also teach driver-trainees 
the techniques for reviewing routes and stops, as well as State and 
local procedures for reporting hazards along the route and at bus stops.

                 Behind the Wheel--Range and Public Road

    This unit must consist of exercises related to basic vehicle control 
skills and mastery of basic maneuvers. Activities in this unit will take 
place on a driving range or a public road as defined in Sec.  380.605. 
The instructor must engage in active communication with the driver-
trainees during all active training sessions.

                Unit D2.1 Danger Zones and Use of Mirrors

    Driver-trainees must demonstrate the techniques necessary to ensure 
the safety of persons in the danger zone around the bus. Driver-trainees 
must practice mirror adjustment and usage. The types of mirrors and 
their use are shown, and cones used to demonstrate the requirements of 
49 CFR 571.111.

                     Unit D2.2 Loading and Unloading

    Driver-trainees must demonstrate the loading and unloading 
techniques learned in the theory portion of the training. Driver-
trainees must demonstrate checking the vehicle for sleeping children and 
lost items at the end of the route.

                 Unit D2.3 Emergency Exit and Evacuation

    Driver-trainees must demonstrate their role in safely evacuating the 
bus in an emergency.

                 Unit D2.4 Special Safety Considerations

    Driver-trainees must demonstrate safe backing techniques and 
demonstrate their ability to avoid tail swing crashes by using reference 
points when making turns.

                Unit D2.5 Pre- and Post-Trip Inspections

    Driver-trainees must demonstrate proficiency in conducting pre-and 
post-trip inspections, as stated in Sec. Sec.  392.7 and 396.11, and of 
school bus-specific equipment, such as mirrors, stop arms, crossing 
arms, emergency exits, fire extinguishers, passenger seats, first aid 
kits, interior lights, and temperature control.

[[Page 194]]

               Unit D2.6 Railroad-Highway Grade Crossings

    Driver-trainees must demonstrate proper procedures for safely 
navigating railroad-highway grade crossings in a school bus.

[81 FR 88794, Dec. 8, 2016]



 Sec. Appendix E to Part 380--Hazardous Materials Endorsement Training 
                               Curriculum

    Hazardous materials (H) endorsement applicants must complete the 
Hazardous materials curriculum, which apply to driver-trainees who 
intend to operate CMVs used in the transportation of hazardous materials 
(HM) as defined in Sec.  383.5. Driver-trainees seeking an H 
endorsement, as defined in Sec.  383.93(c)(4), must complete this 
curriculum in order to take the State-administered knowledge test for 
the H endorsement. There is no required minimum number of instruction 
hours for theory training, but the training provider must cover all the 
topics in the curriculum. The HM curriculum must, at a minimum, include 
the following:

                           Theory Instruction

              Unit E1.1 Basic Introductory HM Requirements

    This unit must teach driver-trainees the basic HM competencies, 
including applicable FMCSR requirements when HM is being transported. 
The training provider must also teach driver-trainees HM communication 
requirements including: Shipping paper requirements, marking, labeling, 
placarding, emergency response information, and shipper's 
responsibilities.

                  Unit E1.2 Operational HM Requirements

    This unit must teach driver-trainees the basic competencies for 
transportation of HM.

               Unit E1.3 Reporting HM Crashes and Releases

    The unit must teach driver-trainees the proper procedures and 
contacts for the immediate notification related to certain HM incidents, 
including instruction in the proper completion and submission of HM 
Incident Reports.

 Unit E.4 Tunnels and Railroad (RR)-Highway Grade Crossing Requirements

    This unit must teach driver-trainees the proper operation of an HM 
vehicle at RR-highway grade crossings and in vehicular tunnels.

                   Unit E1.5 Loading and Unloading HM

    This unit must teach driver-trainees the proper loading and 
unloading procedures for hazardous material cargo. Training providers 
must also teach driver-trainees the requirements for proper segregation 
and securement of HM, and the prohibitions on transporting certain solid 
and liquid poisons with foodstuffs.

                   Unit E1.6 HM on Passenger Vehicles

    This unit must teach driver-trainees the various requirements for 
vehicles transporting passengers and property, and the types and 
quantities of HM that can and cannot be transported in these vehicles/
situations.

                         Unit E1.7 Bulk Packages

    This unit must teach driver-trainees the specialized requirements 
for transportation of cargo in bulk packages, including cargo tanks, 
intermediate bulk containers, bulk cylinders and portable tanks. The 
unit must include training in the operation of emergency control 
features, special vehicle handling characteristics, rollover prevention, 
and the properties and hazards of the HM transported. Training providers 
must teach driver-trainees methods specifically designed to reduce cargo 
tank rollovers including, but not limited to, vehicle design and 
performance, load effects, highway factors, and driver factors.

                 Unit E1.8 Operating Emergency Equipment

    This unit must teach driver-trainees the applicable requirements of 
the FMCSRs and the procedures necessary for the safe operation of the 
motor vehicle. This includes training in special precautions for fires, 
loading and unloading, operation of cargo tank motor vehicle equipment, 
and shut-off/shut-down equipment.

                 Unit E1.9 Emergency Response Procedures

    This unit must teach driver-trainees the proper procedures and best 
practices for handling an emergency response and post-response 
operations, including what to do in the event of an unintended release 
of an HM. All training, preparation, and response efforts must focus on 
the hazards of the materials that have been released and the protection 
of people, property, and the environment.

                       Unit E1.10 Engine (Fueling)

    This unit must teach driver-trainees the procedures for fueling a 
vehicle that contains HM.

                          Unit E1.11 Tire Check

    This unit must teach driver-trainees the proper procedures for 
checking the vehicle tires at the start of a trip and each time the 
vehicle is parked.

[[Page 195]]

                  Unit E1.12 Routes and Route Planning

    This unit must teach driver-trainees the proper routing procedures 
that they are required to follow for the transportation of radioactive 
and non-radioactive HM.

          Unit E1.13 Hazardous Materials Safety Permits (HMSP)

    This unit must teach driver-trainees the proper procedures and 
operational requirements including communications, constant attendance, 
and parking that apply to the transportation of HM for which an HMSP is 
required.

[81 FR 88794, Dec. 8, 2016]



  Sec. Appendix F to Part 380--LCV Driver Training Programs, Required 
                          Knowledge and Skills

    The following table lists topics of instruction required for drivers 
of longer combination vehicles pursuant to 49 CFR part 380, subpart B. 
The training courses for operators of LCV Doubles and LCV Triples must 
be distinct and tailored to address their unique operating and handling 
characteristics. Each course must include the minimum topics of 
instruction, including behind-the-wheel training designed to provide an 
opportunity to develop the skills outlined under the Proficiency 
Development unit of the training program. Only a skills instructor may 
administer behind-the-wheel training involving the operation of an LCV 
or one of its components. A classroom instructor may administer only 
instruction that does not involve the operation of an LCV or one of its 
components.

          Table to the Appendix--Course Topics for LCV Drivers
------------------------------------------------------------------------
 
------------------------------------------------------------------------
                         Section 1: Orientation
------------------------------------------------------------------------
1.1.............................  LCVs in Trucking
1.2.............................  Regulatory Factors
1.3.............................  Driver Qualifications
1.4.............................  Vehicle Configuration Factors
------------------------------------------------------------------------
                       Section 2: Basic Operation
------------------------------------------------------------------------
2.1.............................  Coupling and Uncoupling
2.2.............................  Basic Control and Handling
2.3.............................  Basic Maneuvers
2.4.............................  Turning, Steering and Tracking
2.5.............................  Proficiency Development
------------------------------------------------------------------------
                   Section 3: Safe Operating Practices
------------------------------------------------------------------------
3.1.............................  Interacting with Traffic
3.2.............................  Speed and Space Management
3.3.............................  Night Operations
3.4.............................  Extreme Driving Conditions
3.5.............................  Security Issues
3.6.............................  Proficiency Development
------------------------------------------------------------------------
                     Section 4: Advanced Operations
------------------------------------------------------------------------
4.1.............................  Hazard Perception
4.2.............................  Hazardous Situations
------------------------------------------------------------------------
4.3.............................  Maintenance and Troubleshooting
------------------------------------------------------------------------
                    Section 5: Non-Driving Activities
------------------------------------------------------------------------
5.1.............................  Routes and Trip Planning
5.2.............................  Cargo and Weight Considerations
------------------------------------------------------------------------

                         Section 1--Orientation

    The units in this section must provide an orientation to the 
training curriculum and must cover the role LCVs play within the motor 
carrier industry, the factors that affect their operations, and the role 
that drivers play in the safe operation of LCVs.
    Unit 1.1--LCVs in Trucking. This unit must provide an introduction 
to the emergence of LCVs in trucking and must serve as an orientation to 
the course content. Emphasis must be placed upon the role the driver 
plays in transportation.
    Unit 1.2--Regulatory factors. This unit must provide instruction 
addressing the Federal, State, and local governmental bodies that 
propose, enact, and implement the laws, rules, and regulations that 
affect the trucking industry. Emphasis must be placed on those 
regulatory factors that affect LCVs, including 23 CFR 658.23 and 
appendix C to part 658.
    Unit 1.3--Driver qualifications. This unit must provide classroom 
instruction addressing the Federal and State laws, rules, and 
regulations that define LCV driver qualifications. It also must include 
a discussion on medical examinations, drug and alcohol tests, 
certification, and basic health and wellness issues. Emphasis must be 
placed upon topics essential to physical and mental health maintenance, 
including (1) diet, (2) exercise, (3) avoidance of alcohol and drug 
abuse, and caution in the use of prescription and nonprescription drugs, 
(4) the adverse effects of driver fatigue, and (5) effective fatigue 
countermeasures. Driver-trainees who have successfully completed the 
Entry-level training segments at Sec.  380.503(a) and (c) are considered 
to have satisfied the requirements of Unit 1.3.
    Unit 1.4--Vehicle configuration factors. This unit must provide 
classroom instruction addressing the key vehicle components used in the 
configuration of longer combination vehicles. It also must familiarize 
the driver-trainee with various vehicle combinations, as well as provide 
instruction about unique characteristics and factors associated with LCV 
configurations.

[[Page 196]]

                       Section 2--Basic Operation

    The units in this section must cover the interaction between the 
driver and the vehicle. They must teach driver-trainees how to couple 
and uncouple LCVs, ensure the vehicles are in proper operating 
condition, and control the motion of LCVs under various road and traffic 
conditions.
    During the driving exercises at off-highway locations required by 
this section, the driver-trainee must first familiarize himself/herself 
with basic operating characteristics of an LCV. Utilizing an LCV, 
students must be able to perform the skills learned in each unit to a 
level of proficiency required to permit safe transition to on-street 
driving.
    Unit 2.1--Coupling and uncoupling. This unit must provide 
instruction addressing the procedures for coupling and uncoupling LCVs. 
While vehicle coupling and uncoupling procedures are common to all 
truck-tractor/semi-trailer operations, some factors are peculiar to 
LCVs. Emphasis must be placed upon preplanning and safe operating 
procedures.
    Unit 2.2--Basic control and handling. This unit must provide an 
introduction to basic vehicular control and handling as it applies to 
LCVs. This must include instruction addressing brake performance, 
handling characteristics and factors affecting LCV stability while 
braking, turning, and cornering. Emphasis must be placed upon safe 
operating procedures.
    Unit 2.3--Basic maneuvers. This unit must provide instruction 
addressing the basic vehicular maneuvers that will be encountered by LCV 
drivers. This must include instruction relative to backing, lane 
positioning and path selection, merging situations, and parking LCVs. 
Emphasis must be placed upon safe operating procedures as they apply to 
brake performance and directional stability while accelerating, braking, 
merging, cornering, turning, and parking.
    Unit 2.4--Turning, steering, and tracking. This unit must provide 
instruction addressing turning situations, steering maneuvers, and the 
tracking of LCV trailers. This must include instruction related to 
trailer sway and off-tracking. Emphasis must be placed on maintaining 
directional stability.
    Unit 2.5--Proficiency development: basic operations. The purpose of 
this unit is to enable driver-students to gain the proficiency in basic 
operation needed to safely undertake on-street instruction in the Safe 
Operations Practices section of the curriculum.
    The activities of this unit must consist of driving exercises that 
provide practice for the development of basic control skills and mastery 
of basic maneuvers. Driver-students practice skills and maneuvers 
learned in the Basic Control and Handling; Basic Maneuvers; and Turning, 
Steering and Tracking units. A series of basic exercises is practiced at 
off-highway locations until students develop sufficient proficiency for 
transition to on-street driving.
    Once the driver-student's skills have been measured and found 
adequate, the driver-student must be allowed to move to on-the-street 
driving.
    Nearly all activity in this unit will take place on the driving 
range or on streets or roads that have low-density traffic conditions.

                   Section 3--Safe Operating Practices

    The units in this section must cover the interaction between student 
drivers, the vehicle, and the traffic environment. They must teach 
driver-students how to apply their basic operating skills in a way that 
ensures their safety and that of other road users under various road, 
weather, and traffic conditions.
    Unit 3.1--Interacting with traffic. This unit must provide 
instruction addressing the principles of visual search, communication, 
and sharing the road with other traffic. Emphasis must be placed upon 
visual search, mirror usage, signaling and/or positioning the vehicle to 
communicate, and understanding the special situations encountered by LCV 
drivers in various traffic situations.
    Unit 3.2--Speed and space management. This unit must provide 
instruction addressing the principles of speed and space management. 
Emphasis must be placed upon maintaining safe vehicular speed and 
appropriate space surrounding the vehicle under various traffic and road 
conditions. Particular attention must be placed upon understanding the 
special situations encountered by LCVs in various traffic situations.
    Unit 3.3--Night operations. This unit must provide instruction 
addressing the principles of Night Operations. Emphasis must be placed 
upon the factors affecting operation of LCVs at night. Night driving 
presents specific factors that require special attention on the part of 
the driver. Changes in vehicle safety inspection, vision, 
communications, speed management, and space management are needed to 
deal with the special problems night driving presents.
    Unit 3.4--Extreme driving conditions. This unit must provide 
instruction addressing the driving of LCVs under extreme driving 
conditions. Emphasis must be placed upon the factors affecting the 
operation of LCVs in cold, hot, and inclement weather and in the 
mountains and desert. Changes in basic driving habits are needed to deal 
with the specific problems presented by these extreme driving 
conditions.
    Unit 3.5--Security issues. This unit must include a discussion of 
security requirements imposed by the Department of Homeland Security, 
Transportation Security Administration; the U.S. Department of 
Transportation,

[[Page 197]]

Pipeline and Hazardous Materials Safety Administration; and any other 
State or Federal agency with responsibility for highway or motor carrier 
security.
    Unit 3.6--Proficiency development. This unit must provide driver-
students an opportunity to refine, within the on-street traffic 
environment, their vehicle handling skills learned in the first three 
sections. Driver-student performance progress must be closely monitored 
to determine when the level of proficiency required for carrying out the 
basic traffic maneuvers of stopping, turning, merging, straight driving, 
curves, lane changing, passing, driving on hills, driving through 
traffic restrictions, and parking has been attained. The driver-student 
must also be assessed for regulatory compliance with all traffic laws.
    Nearly all activity in this unit will take place on public roadways 
in a full range of traffic environments applicable to this vehicle 
configuration. This must include urban and rural uncontrolled roadways, 
expressways or freeways, under light, moderate, and heavy traffic 
conditions. There must be a brief classroom session to familiarize 
driver-students with the type of on-street maneuvers they will perform 
and how their performance will be rated.
    The instructor must assess the level of skill development of the 
driver-student and must increase in difficulty, based upon the level of 
skill attained, the types of maneuvers, roadways and traffic conditions 
to which the driver-student is exposed.

                     Section 4--Advanced Operations

    The units in this section must introduce higher level skills that 
can be acquired only after the more fundamental skills and knowledge 
taught in sections two and three have been mastered. They must teach the 
perceptual skills necessary to recognize potential hazards, and must 
demonstrate the procedures needed to handle an LCV when faced with a 
hazard.
    The Maintenance and Trouble-shooting Unit must provide instruction 
that addresses how to keep the vehicle in safe and efficient operating 
condition. The purpose of this unit is to teach the correct way to 
perform simple maintenance tasks, and how to troubleshoot and report 
those vehicle discrepancies or deficiencies that must be repaired by a 
qualified mechanic.
    Unit 4.1--Hazard perception. This unit must provide instruction 
addressing the principles of recognizing hazards in sufficient time to 
reduce the severity of the hazard and neutralize a possible emergency 
situation. While hazards are present in all motor vehicle traffic 
operations, some are peculiar to LCV operations. Emphasis must be placed 
upon hazard recognition, visual search, and response to possible 
emergency-producing situations encountered by LCV drivers in various 
traffic situations.
    Unit 4.2--Hazardous situations. This unit must address dealing with 
specific procedures appropriate for LCV emergencies. These must include 
evasive steering, emergency braking, off-road recovery, brake failures, 
tire blowouts, rearward amplification, hydroplaning, skidding, 
jackknifing and the rollover phenomenon. The discussion must include a 
review of unsafe acts and the role they play in producing hazardous 
situations.
    Unit 4.3--Maintenance and trouble-shooting. This unit must introduce 
driver-students to the basic servicing and checking procedures for the 
various vehicle components and provide knowledge of conducting 
preventive maintenance functions, making simple emergency repairs, and 
diagnosing and reporting vehicle malfunctions.

                    Section 5--Non-Driving Activities

    The units in this section must cover activities that are not 
directly related to the vehicle itself but must be performed by an LCV 
driver. The units in this section must ensure these activities are 
performed in a manner that ensures the safety of the driver, vehicle, 
cargo, and other road users.
    Unit 5.1--Routes and trip planning. This unit must address the 
importance of and requirements for planning routes and trips. This must 
include classroom discussion of Federal and State requirements for a 
number of topics including permits, vehicle size and weight limitations, 
designated highways, local access, the reasonable access rule, staging 
areas, and access zones.
    Unit 5.2--Cargo and weight considerations. This unit must address 
the importance of proper cargo documentation, loading, securing and 
unloading cargo, weight distribution, load sequencing and trailer 
placement. Emphasis must be placed on the importance of axle weight 
distribution, as well as on trailer placement and its effect on vehicle 
handling.

[69 FR 29404, May 21, 2004, as amended at 78 FR 58479, Sept. 24, 2013. 
Redesignated at 81 FR 88794, Dec. 8, 2016]



PART 381_WAIVERS, EXEMPTIONS, AND PILOT PROGRAMS--Table of Contents



                            Subpart A_General

Sec.
381.100 What is the purpose of this part?
381.105 Who is required to comply with the rules in this part?
381.110 What definitions are applicable to this part?

[[Page 198]]

               Subpart B_Procedures for Requesting Waivers

381.200 What is a waiver?
381.205 How do I determine when I may request a waiver?
381.210 How do I request a waiver?
381.215 What will the FMCSA do after the agency receives my request for 
          a waiver?
381.220 How long will it take the agency to respond to my request for a 
          waiver?
381.225 Who should I contact if I have questions about the information I 
          am required to submit to the FMCSA or about the status of my 
          request for a waiver?

            Subpart C_Procedures for Applying for Exemptions

381.300 What is an exemption?
381.305 How do I determine when I may apply for an exemption?
381.310 How do I apply for an exemption?
381.315 What will the FMCSA do after the agency receives my application 
          for an exemption?
381.317 May I resubmit my application for exemption if it is denied?
381.320 How long will it take the agency to respond to my application 
          for an exemption?
381.325 Who should I contact if I have questions about the information I 
          am required to submit to the FMCSA or about the status of my 
          application for an exemption?
381.330 What am I required to do if the FMCSA grants my application for 
          an exemption?

                 Subpart D_Initiation of Pilot Programs

381.400 What is a pilot program?
381.405 Who determines whether a pilot program should be initiated?
381.410 What may I do if I have an idea or suggestion for a pilot 
          program?
381.415 Who should I contact if I have questions about the information 
          to be included in my suggestion?
381.420 What will the FMCSA do after the agency receives my suggestion 
          for a pilot program?

         Subpart E_Administrative Procedures for Pilot Programs

381.500 What are the general requirements the agency must satisfy in 
          conducting a pilot program?
381.505 What are the minimum elements required for a pilot program?
381.510 May the FMCSA end a pilot program before its scheduled 
          completion date?
381.515 May the FMCSA remove approved participants from a pilot program?
381.520 What will the FMCSA do with the results from a pilot program?

                   Subpart F_Preemption of State Rules

381.600 Do waivers, exemptions, and pilot programs preempt State laws 
          and regulations?

    Authority: 49 U.S.C. 31136(e) and 31315; and 49 CFR 1.87.

    Source: 63 FR 67608, Dec. 8, 1998, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 381 appear at 66 FR 
49872, Oct. 1, 2001.



                            Subpart A_General



Sec.  381.100  What is the purpose of this part?

    This part prescribes the rules and procedures for requesting waivers 
and applying for exemptions from those provisions of the Federal Motor 
Carrier Safety Regulations (FMCSRs) which were issued on the authority 
of 49 U.S.C. 31136 or chapter 313, and the initiation and administration 
of pilot programs.



Sec.  381.105  Who is required to comply with the rules in this part?

    (a) You must comply with the rules in this part if you are going to 
request a waiver or apply for an exemption.
    (b) You should follow the instructions in subpart D of this part if 
you would like to recommend the agency initiate a pilot program.



Sec.  381.110  What definitions are applicable to this part?

    Commercial motor vehicle means any motor vehicle that meets the 
definition of ``commercial motor vehicle'' found at 49 CFR 382.107 
concerning controlled substances and alcohol use and testing, 49 CFR 
383.5 concerning commercial driver's license standards, or 49 CFR 390.5 
concerning parts 390 through 399 of the FMCSRs.
    Federal Motor Carrier Safety Administrator (the Administrator) means 
the chief executive of the Federal Motor Carrier Safety Administration, 
an agency within the Department of Transportation.
    FMCSRs means Federal Motor Carrier Safety Regulations (49 CFR parts

[[Page 199]]

382 and 383, Sec. Sec.  390.19, 390.21, and parts 391 through 393, 395, 
396, and 399).
    You means an individual or motor carrier or other entity that is, or 
will be, responsible for the operation of a CMV(s). The term includes a 
motor carrier's agents, officers and representatives as well as 
employees responsible for hiring, supervising, training, assigning, or 
dispatching of drivers and employees concerned with the installation, 
inspection, and maintenance of motor vehicle equipment and/or 
accessories. You also includes any interested party who would like to 
suggest or recommend that the FMCSA initiate a pilot program.

[63 FR 67608, Dec. 8, 1998, as amended at 80 FR 59072, Oct. 1, 2015]



               Subpart B_Procedures for Requesting Waivers



Sec.  381.200  What is a waiver?

    (a) A waiver is temporary regulatory relief from one or more FMCSR 
given to a person subject to the regulations, or a person who intends to 
engage in an activity that would be subject to the regulations.
    (b) A waiver provides the person with relief from the regulations 
for up to three months.
    (c) A waiver is intended for unique, non-emergency events and is 
subject to conditions imposed by the Administrator.
    (d) Waivers may only be granted from one or more of the requirements 
contained in the following parts and sections of the FMCSRs:
    (1) Part 382--Controlled Substances and Alcohol Use and Testing;
    (2) Part 383--Commercial Driver's License Standards; Requirements 
and Penalties;
    (3) Sec.  390.19 Motor Carrier Identification Report;
    (4) Sec.  390.21 Marking of commercial motor vehicles;
    (5) Part 391--Qualifications of Drivers;
    (6) Part 392--Driving of Commercial Motor Vehicles;
    (7) Part 393--Parts and Accessories Necessary for Safe Operation;
    (8) Part 395--Hours of Service of Drivers;
    (9) Part 396--Inspection, Repair, and Maintenance (except Sec.  
396.25); and
    (10) Part 399--Step, Handhold and Deck Requirements.



Sec.  381.205  How do I determine when I may request a waiver?

    (a) You may request a waiver if one or more FMCSR would prevent you 
from using or operating CMVs, or make it unreasonably difficult to do 
so, during a unique, non-emergency event that will take no more than 
three months to complete.
    (b) Before you decide to request a waiver, you should carefully 
review the regulation to determine whether there are any practical 
alternatives already available that would allow your use or operation of 
CMVs during the event. You should also determine whether you need a 
waiver from all of the requirements in one or more parts of the 
regulations, or whether a more limited waiver of certain sections within 
one or more of the parts of the regulations would provide an acceptable 
level of regulatory relief. For example, if you need relief from one of 
the recordkeeping requirements concerning driver qualifications, you 
should not request relief from all of the requirements of part 391.



Sec.  381.210  How do I request a waiver?

    (a) You must send a written request (for example, a typed or 
handwritten (printed) letter), which includes all of the information 
required by this section, to the Administrator, Federal Motor Carrier 
Safety Administration, 1200 New Jersey Ave., SE., Washington, DC 20590-
0001.
    (b) You must identify the person who would be covered by the waiver. 
The application for a waiver must include:
    (1) Your name, job title, mailing address, and daytime telephone 
number;
    (2) The name of the individual, motor carrier, or other entity that 
would be responsible for the use or operation of CMVs during the unique, 
non-emergency event;
    (3) Principal place of business for the motor carrier or other 
entity (street address, city, State, and zip code); and
    (4) The USDOT identification number for the motor carrier, if 
applicable.

[[Page 200]]

    (c) You must provide a written statement that:
    (1) Describes the unique, non-emergency event for which the waiver 
would be used, including the time period during which the waiver is 
needed;
    (2) Identifies the regulation that you believe needs to be waived;
    (3) Provides an estimate of the total number of drivers and CMVs 
that would be operated under the terms and conditions of the waiver; and
    (4) Explains how you would ensure that you could achieve a level of 
safety that is equivalent to, or greater than, the level of safety that 
would be obtained by complying with the regulation.

[72 FR 67608, Dec. 8, 1998, as amended at 72 FR 55699, Oct. 1, 2007]



Sec.  381.215  What will the FMCSA do after the agency receives my request
for a waiver?

    (a) The Federal Motor Carrier Safety Administration will review your 
request and make a recommendation to the Administrator. The final 
decision whether to grant or deny the application for a waiver will be 
made by the Administrator.
    (b) After a decision is signed by the Administrator, you will be 
sent a copy of the document, which will include the terms and conditions 
for the waiver or the reason for denying the application for a waiver.



Sec.  381.220  How long will it take the agency to respond to my request
for a waiver?

    You should receive a response from the agency within 60 calendar 
days from the date the Administrator receives your request. However, 
depending on the complexity of the issues discussed in your application, 
and the availability of staff to review the material, a final decision 
may take up to 120 days.



Sec.  381.225  Who should I contact if I have questions about the
information I am required to submit to the FMCSA or about the status
of my request for a waiver?

    You should contact the Federal Motor Carrier Safety Administration, 
Office of Bus and Truck Standards and Operations (MC-PS), 1200 New 
Jersey Ave., SE., Washington, DC 20590-0001.

[63 FR 67608, Dec. 8, 1998, as amended at 72 FR 55699, Oct. 1, 2007]



            Subpart C_Procedures for Applying for Exemptions



Sec.  381.300  What is an exemption?

    (a) An exemption is temporary regulatory relief from one or more 
FMCSR given to a person or class of persons subject to the regulations, 
or who intend to engage in an activity that would make them subject to 
the regulations.
    (b) An exemption provides the person or class of persons with relief 
from the regulations for up to 5 years, and may be renewed, upon 
request, for subsequent 5-year periods.
    (c) Exemptions may only be granted from one or more of the 
requirements contained in the following parts and sections of the 
FMCSRs:
    (1) Part 382--Controlled Substances and Alcohol Use and Testing;
    (2) Part 383--Commercial Driver's License Standards; Requirements 
and Penalties;
    (3) Part 391--Qualifications of Drivers;
    (4) Part 392--Driving of Commercial Motor Vehicles;
    (5) Part 393--Parts and Accessories Necessary for Safe Operation;
    (6) Part 395--Hours of Service of Drivers;
    (7) Part 396--Inspection, Repair, and Maintenance (except for Sec.  
396.25); and
    (8) Part 399--Step, Handhold and Deck Requirements.

[63 FR 67608, Dec. 8, 1998, as amended at 81 FR 47720, July 22, 2016]



Sec.  381.305  How do I determine when I may apply for an exemption?

    (a) You may apply for an exemption if one or more FMCSR prevents you 
from implementing more efficient or effective operations that would 
maintain a level of safety equivalent to, or greater than, the level 
achieved without the exemption.
    (b) Before you decide to apply for an exemption you should carefully 
review the regulation to determine whether

[[Page 201]]

there are any practical alternatives already available that would allow 
you to conduct your motor carrier operations. You should also determine 
whether you need an exemption from all of the requirements in one or 
more parts of the regulations, or whether a more limited exemption from 
certain sections within one or more parts of the regulations would 
provide an acceptable level of regulatory relief. For example, if you 
need regulatory relief from one of the recordkeeping requirements 
concerning driver qualifications, you should not request regulatory 
relief from all of the requirements of part 391.



Sec.  381.310  How do I apply for an exemption?

    (a) You must send a written request (for example, a typed or 
handwritten (printed) letter), which includes all of the information 
required by this section, to the Administrator, Federal Motor Carrier 
Safety Administration, 1200 New Jersey Ave., SE., Washington, DC 20590-
0001.
    (b) You must identify the person or class of persons who would be 
covered by the exemption. The application for an exemption must include:
    (1) Your name, job title, mailing address, and daytime telephone 
number;
    (2) The name of the individual or motor carrier that would be 
responsible for the use or operation of CMVs;
    (3) Principal place of business for the motor carrier (street 
address, city, State, and zip code); and
    (4) The USDOT identification number for the motor carrier.
    (c) You must provide a written statement that:
    (1) Describes the reason the exemption is needed, including the time 
period during which it is needed;
    (2) Identifies the regulation from which you would like to be 
exempted;
    (3) Provides an estimate of the total number of drivers and CMVs 
that would be operated under the terms and conditions of the exemption;
    (4) Assesses the safety impacts the exemption may have;
    (5) Explains how you would ensure that you could achieve a level of 
safety that is equivalent to, or greater than, the level of safety that 
would be obtained by complying with the regulation; and
    (6) Describes the impacts (e.g., inability to test innovative safety 
management control systems, etc.) you could experience if the exemption 
is not granted by the FMCSA.
    (d) Your application must include a copy of all research reports, 
technical papers, and other publications and documents you reference.

[63 FR 67608, Dec. 8, 1998, as amended at 72 FR 55700, Oct. 1, 2007; 69 
FR 29404, May 21, 2004, 78 FR 58479, Sept. 24, 2013]



Sec.  381.315  What will the FMCSA do after the agency receives my
application for an exemption?

    (a) The Federal Motor Carrier Safety Administration will review your 
application and prepare, for the Administrator's signature, a Federal 
Register notice requesting public comment on your application for an 
exemption. The notice will give the public an opportunity to review your 
request and your safety assessment or analysis (required by Sec.  
381.310) and any other relevant information known to the agency.
    (b) After a review of the comments received in response to the 
Federal Register notice described in paragraph (a) of this section, the 
Federal Motor Carrier Safety Administration will make a 
recommendation(s) to the Administrator to either to grant or deny the 
exemption. Notice of the Administrator's decision will be published in 
the Federal Register.
    (c)(1) If the exemption is granted, the notice will identify the 
provisions of the FMCSRs from which you will be exempt, the effective 
period, and all terms and conditions of the exemption.
    (2) If the exemption is denied, the notice will explain the reason 
for the denial.
    (d) A copy of your application for an exemption and all comments 
received in response to the Federal Register notice will be included in 
a public docket and be available for review by interested parties.
    (1) Interested parties may view the information contained in the 
docket by visiting the Department of Transportation, Docket Management 
Facility, 1200 New Jersey Ave., SE., Washington, DC 20590-0001. All 
information in the

[[Page 202]]

exemption docket will be available for examination at this address from 
10 a.m. to 5 p.m., e.t., Monday through Friday, except Federal holidays.
    (2) Internet users can access all information received by the 
Department of Transportation, Docket Management Facility by using the 
Federal Docket Management System using the uniform resources locator 
(URL): http://www.regulations.gov. It is available 24 hours each day, 
365 days each year. Please follow the instructions online for more 
information and help.

[63 FR 67608, Dec. 8, 1998, as amended at 72 FR 55700, Oct. 1, 2007]



Sec.  381.317  May I resubmit my application for exemption if it is denied?

    If the Administrator denies your application for exemption and you 
can reasonably address the reasons for denial, you may resubmit your 
application following the procedures in Sec.  381.310.

[81 FR 47720, July 22, 2016]



Sec.  381.320  How long will it take the agency to respond to my
application for an exemption?

    The agency will attempt to issue a final decision within 180 days of 
the date it receives your application. However, if you leave out 
important details or other information necessary for the FMCSA to 
prepare a meaningful request for public comments, the agency will 
attempt to issue a final decision within 180 days of the date it 
receives the additional information.



Sec.  381.325  Who should I contact if I have questions about the
information I am required to submit to the FMCSA or about the status
of my application for an exemption?

    You should contact the Federal Motor Carrier Safety Administration, 
Office of Bus and Truck Standards and Operations (MC-PS), 1200 New 
Jersey Ave., SE., Washington, DC 20590-0001.

[63 FR 67608, Dec. 8, 1998, as amended at 72 FR 55700, Oct. 1, 2007]



Sec.  381.330  What am I required to do if the FMCSA grants my
application for an exemption?

    (a) You must comply with all the terms and conditions of the 
exemption.
    (b) The FMCSA will immediately revoke your exemption if:
    (1) You fail to comply with the terms and conditions of the 
exemption;
    (2) The exemption has resulted in a lower level of safety than was 
maintained before the exemption was granted; or
    (3) Continuation of the exemption is determined by the FMCSA to be 
inconsistent with the goals and objectives of the FMCSRs.



                 Subpart D_Initiation of Pilot Programs



Sec.  381.400  What is a pilot program?

    (a) A pilot program is a study in which temporary regulatory relief 
from one or more FMCSR is given to a person or class of persons subject 
to the regulations, or a person or class of persons who intend to engage 
in an activity that would be subject to the regulations.
    (b) During a pilot program, the participants would be given an 
exemption from one or more sections or parts of the regulations for a 
period of up to three years.
    (c) A pilot program is intended for use in collecting specific data 
for evaluating alternatives to the regulations or innovative approaches 
to safety while ensuring that the safety performance goals of the 
regulations are satisfied.
    (d) The number of participants in the pilot program must be large 
enough to ensure statistically valid findings.
    (e) Pilot programs must include an oversight plan to ensure that 
participants comply with the terms and conditions of participation, and 
procedures to protect the health and safety of study participants and 
the general public.
    (f) Exemptions for pilot programs may be granted only from one or 
more of the requirements contained in the following parts and sections 
of the FMCSRs:
    (1) Part 382--Controlled Substances and Alcohol Use and Testing;
    (2) Part 383--Commercial Driver's License Standards; Requirements 
and Penalties;
    (3) Part 391--Qualifications of Drivers;

[[Page 203]]

    (4) Part 392--Driving of Commercial Motor Vehicles;
    (5) Part 393--Parts and Accessories Necessary for Safe Operation;
    (6) Part 395--Hours of Service of Drivers;
    (7) Part 396--Inspection, Repair, and Maintenance (except for Sec.  
396.25); and
    (8) Part 399--Step, Handhold and Deck Requirements.



Sec.  381.405  Who determines whether a pilot program should be initiated?

    (a) Generally, pilot programs are initiated by the FMCSA when the 
agency determines that there may be an effective alternative to one or 
more of the requirements in the FMCSRs, but does not have sufficient 
research data to support the development of a notice of proposed 
rulemaking to change the regulation.
    (b) You may request the FMCSA to initiate a pilot program. However, 
the decision of whether to propose a pilot program will be made at the 
discretion of the FMCSA. The FMCSA is not required to publish a notice 
in the Federal Register requesting public comment on your ideas or 
suggestions for pilot programs.



Sec.  381.410  What may I do if I have an idea or suggestion for a
pilot program?

    (a) You may send a written statement (for example, a typed or 
handwritten (printed) letter) to the Administrator, Federal Motor 
Carrier Safety Administration, 1200 New Jersey Ave., SE., Washington, DC 
20590-0001.
    (b) You should identify the persons or class of persons who would be 
covered by the pilot program exemptions. Your letter should include:
    (1) Your name, job title, mailing address, and daytime telephone 
number;
    (2) The name of the individuals or motor carrier that would be 
responsible for the use or operation of CMVs covered by the pilot 
program, if there are motor carriers that have expressed an interest in 
participating in the program;
    (3) Principal place of business for the motor carrier (street 
address, city, State, and zip code); and
    (4) The USDOT identification number for the motor carrier.
    (c) You should provide a written statement that:
    (1) Presents your estimate of the potential benefits to the motor 
carrier industry, the FMCSA, and the general public if the pilot program 
is conducted, and describes how you developed your estimate;
    (2) Estimates of the amount of time that would be needed to conduct 
the pilot program (e.g., the time needed to complete the collection and 
analysis of data);
    (3) Identifies the regulation from which the participants would need 
to be exempted;
    (4) Recommends a reasonable number of participants necessary to 
yield statistically valid findings;
    (5) Provides ideas or suggestions for a monitoring plan to ensure 
that participants comply with the terms and conditions of participation;
    (6) Provides ideas or suggestions for a plan to protect the health 
and safety of study participants and the general public.
    (7) Assesses the safety impacts the pilot program exemption may 
have; and
    (8) Provides recommendations on how the safety measures in the pilot 
project would be designed to achieve a level of safety that is 
equivalent to, or greater than, the level of safety that would be 
obtained by complying with the regulation.
    (d) Your recommendation should include a copy of all research 
reports, technical papers, publications and other documents you 
reference.

[63 FR 67608, Dec. 8, 1998, as amended at 72 FR 55700, Oct. 1, 2007; 78 
FR 58479, Sept. 24, 2013]



Sec.  381.415  Who should I contact if I have questions about the
information to be included in my suggestion?

    You should contact the Federal Motor Carrier Safety Administration, 
Office of Bus and Truck Standards and Operations (MC-PS), 1200 New 
Jersey Ave., SE., Washington, DC 20590-0001.

[63 FR 67608, Dec. 8, 1998, as amended at 72 FR 55700, Oct. 1, 2007]

[[Page 204]]



Sec.  381.420  What will the FMCSA do after the agency receives my
suggestion for a pilot program?

    (a) The Federal Motor Carrier Safety Administration will review your 
suggestion for a pilot program and make a recommendation to the 
Administrator. The final decision whether to propose the development of 
a pilot program based upon your recommendation will be made by the 
Administrator.
    (b) You will be sent a copy of the Administrator's decision. If the 
pilot program is approved, the agency will follow the administrative 
procedures contained in subpart E of this part.



         Subpart E_Administrative Procedures for Pilot Programs



Sec.  381.500  What are the general requirements the agency must
satisfy in conducting a pilot program?

    (a) The FMCSA may conduct pilot programs to evaluate alternatives to 
regulations, or innovative approaches, concerning motor carrier, CMV, 
and driver safety.
    (b) Pilot programs may include exemptions from the regulations 
listed in Sec.  381.400(f) of this part.
    (c) Pilot programs must, at a minimum, include all of the program 
elements listed in Sec.  381.505.
    (d) The FMCSA will publish a detailed description of each pilot 
program, including the exemptions to be considered, and provide notice 
and an opportunity for public comment before the effective date of the 
pilot program.

[63 FR 67608, Dec. 8, 1998, as amended at 78 FR 60231, Oct. 1, 2013]



Sec.  381.505  What are the minimum elements required for a pilot program?

    (a) Safety measures. Before granting exemptions for a pilot program, 
the FMCSA will ensure that the safety measures in a pilot program are 
designed to achieve a level of safety that is equivalent to, or greater 
than, the level of safety that would be achieved by complying with the 
regulations.
    (b) Pilot program plan. Before initiating a pilot program, the FMCSA 
will ensure that there is a pilot program plan which includes the 
following elements:
    (1) A scheduled duration of three years or less;
    (2) A specific data collection and safety analysis plan that 
identifies a method of comparing the safety performance for motor 
carriers, CMVs, and drivers operating under the terms and conditions of 
the pilot program, with the safety performance of motor carriers, CMVs, 
and drivers that comply with the regulation;
    (3) A reasonable number of participants necessary to yield 
statistically valid findings;
    (4) A monitoring plan to ensure that participants comply with the 
terms and conditions of participation in the pilot program;
    (5) Adequate safeguards to protect the health and safety of study 
participants and the general public; and
    (6) A plan to inform the States and the public about the pilot 
program and to identify approved participants to enforcement personnel 
and the general public.



Sec.  381.510  May the FMCSA end a pilot program before its scheduled
completion date?

    The FMCSA will immediately terminate a pilot program if there is 
reason to believe the program is not achieving a level of safety that is 
at least equivalent to the level of safety that would be achieved by 
complying with the regulations.



Sec.  381.515  May the FMCSA remove approved participants from a pilot
program?

    The Administrator will immediately revoke participation in a pilot 
program of a motor carrier, CMV, or driver for failure to comply with 
the terms and conditions of the pilot program, or if continued 
participation is inconsistent with the goals and objectives of the 
safety regulations.



Sec.  381.520  What will the FMCSA do with the results from a pilot
program?

    At the conclusion of each pilot program, the FMCSA will report to 
Congress the findings and conclusions of the program and any 
recommendations

[[Page 205]]

it considers appropriate, including suggested amendments to laws and 
regulations that would enhance motor carrier, CMV, and driver safety and 
improve compliance with the FMCSRs.



                   Subpart F_Preemption of State Rules



Sec.  381.600  Do waivers, exemptions, and pilot programs preempt
State laws and regulations?

    Yes. During the time period that a waiver, exemption, or pilot 
program authorized by this part is in effect, no State shall enforce any 
law or regulation that conflicts with or is inconsistent with the 
waiver, exemption, or pilot program with respect to a person operating 
under the waiver or exemption or participating in the pilot program.



PART 382_CONTROLLED SUBSTANCES AND ALCOHOL USE AND TESTING
--Table of Contents



                            Subpart A_General

Sec.
382.101 Purpose
382.103 Applicability.
382.105 Testing procedures.
382.107 Definitions.
382.109 Preemption of State and local laws.
382.111 Other requirements imposed by employers.
382.113 Requirements for notice.
382.115 Starting date for testing programs.
382.117 Public interest exclusion.
382.119 Stand-down waiver provision.
382.121 Employee admission of alcohol and controlled substances use.
382.123 Driver identification.

                         Subpart B_Prohibitions

382.201 Alcohol concentration.
382.205 On-duty use.
382.207 Pre-duty use.
382.209 Use following an accident.
382.211 Refusal to submit to a required alcohol or controlled substances 
          test.
382.213 Controlled substances use.
382.215 Controlled substances testing.
382.217 Employer responsibilities.

                        Subpart C_Tests Required

382.301 Pre-employment testing.
382.303 Post-accident testing.
382.305 Random testing.
382.307 Reasonable suspicion testing.
382.309 Return-to-duty testing.
382.311 Follow-up testing.

       Subpart D_Handling of Test Results, Record Retention, and 
                             Confidentiality

382.401 Retention of records.
382.403 Reporting of results in a management information system.
382.405 Access to facilities and records.
382.407 Medical review officer notifications to the employer.
382.409 Medical review officer or consortium/third party administrator 
          record retention for controlled substances.
382.411 Employer notifications.
382.413 Inquiries for alcohol and controlled substances information from 
          previous employers.
382.415 Notification to employers of a controlled substances or alcohol 
          testing program violation.

  Subpart E_Consequences for Drivers Engaging in Substance Use-Related 
                                 Conduct

382.501 Removal from safety-sensitive function.
382.503 Required evaluation and testing.
382.505 Other alcohol-related conduct.
382.507 Penalties.

  Subpart F_Alcohol Misuse and Controlled Substances Use Information, 
                         Training, and Referral

382.601 Employer obligation to promulgate a policy on the misuse of 
          alcohol and use of controlled substances.
382.603 Training for supervisors.
382.605 Referral, evaluation, and treatment.

    Subpart G_Requirements and Procedures for Implementation of the 
       Commercial Driver's License Drug and Alcohol Clearinghouse

382.701 Drug and Alcohol Clearinghouse.
382.703 Driver consent to permit access to information in the 
          Clearinghouse.
382.705 Reporting to the Clearinghouse.
382.707 Notice to drivers of entry, revision, removal, or release of 
          information.
382.709 Drivers' access to information in the Clearinghouse.
382.711 Clearinghouse registration.
382.713 Duration, cancellation, and revocation of access.
382.715 Authorization to enter information into the Clearinghouse.
382.717 Procedures for correcting information in the database.
382.719 Availability and removal of information.
382.721 Fees.

[[Page 206]]

382.723 Unauthorized access or use prohibited.
382.725 Access by State licensing authorities.
382.727 Penalties.

    Authority: 49 U.S.C. 31133, 31136, 31301 et seq., 31502; sec. 32934 
of Pub. L. 112-141, 126 Stat. 405, 830; and 49 CFR 1.87.

    Source: 66 FR 43103, Aug. 17, 2001, unless otherwise noted.



                            Subpart A_General



Sec.  382.101  Purpose.

    The purpose of this part is to establish programs designed to help 
prevent accidents and injuries resulting from the misuse of alcohol or 
use of controlled substances by drivers of commercial motor vehicles.



Sec.  382.103  Applicability.

    (a) This part applies to service agents and to every person and to 
all employers of such persons who operate a commercial motor vehicle in 
commerce in any State and are subject to:
    (1) The commercial driver's license requirements of part 383 of this 
subchapter;
    (2) The Licencia Federal de Conductor (Mexico) requirements; or
    (3) The commercial drivers license requirements of the Canadian 
National Safety Code.
    (b) An employer who employs himself/herself as a driver must comply 
with both the requirements in this part that apply to employers and the 
requirements in this part that apply to drivers. An employer who employs 
only himself/herself as a driver shall implement a random alcohol and 
controlled substances testing program of two or more covered employees 
in the random testing selection pool.
    (c) The exceptions contained in Sec.  390.3(f) of this subchapter do 
not apply to this part. The employers and drivers identified in Sec.  
390.3(f) of this subchapter must comply with the requirements of this 
part, unless otherwise specifically provided in paragraph (d) of this 
section.
    (d) Exceptions. This part shall not apply to employers and their 
drivers:
    (1) Required to comply with the alcohol and/or controlled substances 
testing requirements of part 655 of this title (Federal Transit 
Administration alcohol and controlled substances testing regulations); 
or
    (2) Who a State must waive from the requirements of part 383 of this 
subchapter. These individuals include active duty military personnel; 
members of the reserves; and members of the national guard on active 
duty, including personnel on full-time national guard duty, personnel on 
part-time national guard training and national guard military 
technicians (civilians who are required to wear military uniforms), and 
active duty U.S. Coast Guard personnel; or
    (3) Who a State has, at its discretion, exempted from the 
requirements of part 383 of this subchapter. These individuals may be:
    (i) Operators of a farm vehicle which is:
    (A) Controlled and operated by a farmer;
    (B) Used to transport either agricultural products, farm machinery, 
farm supplies, or both to or from a farm;
    (C) Not used in the operations of a for-hire motor carrier, except 
for an exempt motor carrier as defined in Sec.  390.5 of this 
subchapter; and
    (D) Used within 241 kilometers (150 miles) of the farmer's farm.
    (ii) Firefighters or other persons who operate commercial motor 
vehicles which are necessary for the preservation of life or property or 
the execution of emergency governmental functions, are equipped with 
audible and visual signals, and are not subject to normal traffic 
regulation.
    (4) Who operate ``covered farm vehicles,'' as defined in 49 CFR 
390.5.

[66 FR 43103, Aug. 17, 2001, as amended at 78 FR 16194, Mar. 14, 2013; 
81 FR 68346, Oct. 4, 2016; 81 FR 71016, Oct. 14, 2016; 81 FR 87724, Dec. 
5, 2016]



Sec.  382.105  Testing procedures.

    Each employer shall ensure that all alcohol or controlled substances 
testing conducted under this part complies with the procedures set forth 
in part 40 of this title. The provisions of part 40 of this title that 
address alcohol or controlled substances testing are made applicable to 
employers by this part.

[[Page 207]]



Sec.  382.107  Definitions.

    Words or phrases used in this part are defined in Sec. Sec.  386.2 
and 390.5 of this subchapter, and Sec.  40.3 of this title, except as 
provided in this section--
    Actual knowledge for the purpose of subpart B of this part, means 
actual knowledge by an employer that a driver has used alcohol or 
controlled substances based on the employer's direct observation of the 
employee, information provided by the driver's previous employer(s), a 
traffic citation for driving a CMV while under the influence of alcohol 
or controlled substances or an employee's admission of alcohol or 
controlled substance use, except as provided in Sec.  382.121. Direct 
observation as used in this definition means observation of alcohol or 
controlled substances use and does not include observation of employee 
behavior or physical characteristics sufficient to warrant reasonable 
suspicion testing under Sec.  382.307.
    Alcohol means the intoxicating agent in beverage alcohol, ethyl 
alcohol, or other low molecular weight alcohols including methyl and 
isopropyl alcohol.
    Alcohol concentration (or content) means the alcohol in a volume of 
breath expressed in terms of grams of alcohol per 210 liters of breath 
as indicated by an evidential breath test under this part.
    Alcohol use means the drinking or swallowing of any beverage, liquid 
mixture or preparation (including any medication), containing alcohol.
    Commerce means:
    (1) Any trade, traffic or transportation within the jurisdiction of 
the United States between a place in a State and a place outside of such 
State, including a place outside of the United States; and
    (2) Trade, traffic, and transportation in the United States which 
affects any trade, traffic, and transportation described in paragraph 
(1) of this definition.
    Commercial Driver's License Drug and Alcohol Clearinghouse 
(Clearinghouse) means the FMCSA database that subpart G of this part 
requires employers and service agents to report information to and to 
query regarding drivers who are subject to the DOT controlled substance 
and alcohol testing regulations.
    Commercial motor vehicle means a motor vehicle or combination of 
motor vehicles used in commerce to transport passengers or property if 
the vehicle
    (1) Has a gross combination weight rating or gross combination 
weight of 11,794 kilograms or more (26,001 pounds or more), whichever is 
greater, inclusive of a towed unit(s) with a gross vehicle weight rating 
or gross vehicle weight of more than 4,536 kilograms (10,000 pounds), 
whichever is greater; or
    (2) Has a gross vehicle weight rating or gross vehicle weight of 
11,794 or more kilograms (26,001 or more pounds), whichever is greater; 
or
    (3) Is designed to transport 16 or more passengers, including the 
driver; or
    (4) Is of any size and is used in the transportation of materials 
found to be hazardous for the purposes of the Hazardous Materials 
Transportation Act (49 U.S.C. 5103(b)) and which require the motor 
vehicle to be placarded under the Hazardous Materials Regulations (49 
CFR part 172, subpart F).
    Confirmation (or confirmatory) drug test means a second analytical 
procedure performed on a urine specimen to identify and quantify the 
presence of a specific drug or drug metabolite.
    Confirmation (or confirmatory) validity test means a second test 
performed on a urine specimen to further support a validity test result.
    Confirmed drug test means a confirmation test result received by an 
MRO from a laboratory.
    Consortium/Third party administrator (C/TPA) means a service agent 
that provides or coordinates one or more drug and/or alcohol testing 
services to DOT-regulated employers. C/TPAs typically provide or 
coordinate the provision of a number of such services and perform 
administrative tasks concerning the operation of the employers' drug and 
alcohol testing programs. This term includes, but is not limited to, 
groups of employers who join together to administer, as a single entity, 
the DOT drug and alcohol testing programs of its members (e.g., having a 
combined random testing pool). C/TPAs are not ``employers'' for purposes 
of this part.

[[Page 208]]

    Controlled substances mean those substances identified in Sec.  
40.85 of this title.
    Designated employer representative (DER) is an individual identified 
by the employer as able to receive communications and test results from 
service agents and who is authorized to take immediate actions to remove 
employees from safety-sensitive duties and to make required decisions in 
the testing and evaluation processes. The individual must be an employee 
of the company. Service agents cannot serve as DERs.
    Disabling damage means damage which precludes departure of a motor 
vehicle from the scene of the accident in its usual manner in daylight 
after simple repairs.
    (1) Inclusions. Damage to motor vehicles that could have been 
driven, but would have been further damaged if so driven.
    (2) Exclusions. (i) Damage which can be remedied temporarily at the 
scene of the accident without special tools or parts.
    (ii) Tire disablement without other damage even if no spare tire is 
available.
    (iii) Headlight or taillight damage.
    (iv) Damage to turn signals, horn, or windshield wipers which make 
them inoperative.
    DOT Agency means an agency (or ``operating administration'') of the 
United States Department of Transportation administering regulations 
requiring alcohol and/or drug testing (14 CFR parts 61, 63, 65, 121, and 
135; 49 CFR parts 199, 219, 382, and 655), in accordance with part 40 of 
this title.
    Driver means any person who operates a commercial motor vehicle. 
This includes, but is not limited to: Full time, regularly employed 
drivers; casual, intermittent or occasional drivers; leased drivers and 
independent owner-operator contractors.
    Employer means a person or entity employing one or more employees 
(including an individual who is self-employed) that is subject to DOT 
agency regulations requiring compliance with this part. The term, as 
used in this part, means the entity responsible for overall 
implementation of DOT drug and alcohol program requirements, including 
individuals employed by the entity who take personnel actions resulting 
from violations of this part and any applicable DOT agency regulations. 
Service agents are not employers for the purposes of this part.
    Licensed medical practitioner means a person who is licensed, 
certified, and/or registered, in accordance with applicable Federal, 
State, local, or foreign laws and regulations, to prescribe controlled 
substances and other drugs.
    Negative return-to-duty test result means a return-to-duty test with 
a negative drug result and/or an alcohol test with an alcohol 
concentration of less than 0.02, as described in Sec.  40.305 of this 
title.
    Performing (a safety-sensitive function) means a driver is 
considered to be performing a safety-sensitive function during any 
period in which he or she is actually performing, ready to perform, or 
immediately available to perform any safety-sensitive functions.
    Positive rate for random drug testing means the number of verified 
positive results for random drug tests conducted under this part plus 
the number of refusals of random drug tests required by this part, 
divided by the total number of random drug tests results (i.e., 
positives, negatives, and refusals) under this part.
    Refuse to submit (to an alcohol or controlled substances test) means 
that a driver:
    (1) Fail to appear for any test (except a pre-employment test) 
within a reasonable time, as determined by the employer, consistent with 
applicable DOT agency regulations, after being directed to do so by the 
employer. This includes the failure of an employee (including an owner-
operator) to appear for a test when called by a C/TPA (see Sec.  
40.61(a) of this title);
    (2) Fail to remain at the testing site until the testing process is 
complete. Provided, that an employee who leaves the testing site before 
the testing process commences (see Sec.  40.63(c) of this title) a pre-
employment test is not deemed to have refused to test;
    (3) Fail to provide a urine specimen for any drug test required by 
this part or DOT agency regulations. Provided, that an employee who does 
not provide a urine specimen because he or she has left the testing site 
before the testing

[[Page 209]]

process commences (see Sec.  40.63(c) of this title) for a pre-
employment test is not deemed to have refused to test;
    (4) In the case of a directly observed or monitored collection in a 
drug test, fails to permit the observation or monitoring of the driver's 
provision of a specimen (see Sec. Sec.  40.67(l) and 40.69(g) of this 
title);
    (5) Fail to provide a sufficient amount of urine when directed, and 
it has been determined, through a required medical evaluation, that 
there was no adequate medical explanation for the failure (see Sec.  
40.193(d)(2) of this title);
    (6) Fail or declines to take a second test the employer or collector 
has directed the driver to take;
    (7) Fail to undergo a medical examination or evaluation, as directed 
by the MRO as part of the verification process, or as directed by the 
DER under Sec.  40.193(d) of this title. In the case of a pre-employment 
drug test, the employee is deemed to have refused to test on this basis 
only if the pre-employment test is conducted following a contingent 
offer of employment;
    (8) Fail to cooperate with any part of the testing process (e.g., 
refuse to empty pockets when so directed by the collector, behave in a 
confrontational way that disrupts the collection process); or
    (9) Is reported by the MRO as having a verified adulterated or 
substituted test result.
    Safety-sensitive function means all time from the time a driver 
begins to work or is required to be in readiness to work until the time 
he/she is relieved from work and all responsibility for performing work. 
Safety-sensitive functions shall include:
    (1) All time at an employer or shipper plant, terminal, facility, or 
other property, or on any public property, waiting to be dispatched, 
unless the driver has been relieved from duty by the employer;
    (2) All time inspecting equipment as required by Sec. Sec.  392.7 
and 392.8 of this subchapter or otherwise inspecting, servicing, or 
conditioning any commercial motor vehicle at any time;
    (3) All time spent at the driving controls of a commercial motor 
vehicle in operation;
    (4) All time, other than driving time, in or upon any commercial 
motor vehicle except time spent resting in a sleeper berth (a berth 
conforming to the requirements of Sec.  393.76 of this subchapter);
    (5) All time loading or unloading a vehicle, supervising, or 
assisting in the loading or unloading, attending a vehicle being loaded 
or unloaded, remaining in readiness to operate the vehicle, or in giving 
or receiving receipts for shipments loaded or unloaded; and
    (6) All time repairing, obtaining assistance, or remaining in 
attendance upon a disabled vehicle.
    Screening test (or initial test) means:
    (1) In drug testing, a test to eliminate ``negative'' urine 
specimens from further analysis or to identify a specimen that requires 
additional testing for the presence of drugs.
    (2) In alcohol testing, an analytical procedure to determine whether 
an employee may have a prohibited concentration of alcohol in a breath 
or saliva specimen.
    Stand-down means the practice of temporarily removing an employee 
from the performance of safety-sensitive functions based only on a 
report from a laboratory to the MRO of a confirmed positive test for a 
drug or drug metabolite, an adulterated test, or a substituted test, 
before the MRO has completed verification of the test results.
    Violation rate for random alcohol testing means the number of 0.04 
and above random alcohol confirmation test results conducted under this 
part plus the number of refusals of random alcohol tests required by 
this part, divided by the total number of random alcohol screening tests 
(including refusals) conducted under this part.

[66 FR 43103, Aug. 17, 2001, as amended at 68 FR 75458, Dec. 31, 2003; 
77 FR 59825, Oct. 1, 2012; 81 FR 87724, Dec. 5, 2016]



Sec.  382.109  Preemption of State and local laws.

    (a) Except as provided in paragraph (b) of this section, this part 
preempts any State or local law, rule, regulation, or order to the 
extent that:
    (1) Compliance with both the State or local requirement in this part 
is not possible; or

[[Page 210]]

    (2) Compliance with the State or local requirement is an obstacle to 
the accomplishment and execution of any requirement in this part.
    (b) This part shall not be construed to preempt provisions of State 
criminal law that impose sanctions for reckless conduct leading to 
actual loss of life, injury, or damage to property, whether the 
provisions apply specifically to transportation employees, employers, or 
the general public.



Sec.  382.111  Other requirements imposed by employers.

    Except as expressly provided in this part, nothing in this part 
shall be construed to affect the authority of employers, or the rights 
of drivers, with respect to the use of alcohol, or the use of controlled 
substances, including authority and rights with respect to testing and 
rehabilitation.



Sec.  382.113  Requirement for notice.

    Before performing each alcohol or controlled substances test under 
this part, each employer shall notify a driver that the alcohol or 
controlled substances test is required by this part. No employer shall 
falsely represent that a test is administered under this part.



Sec.  382.115  Starting date for testing programs.

    (a) All domestic-domiciled employers must implement the requirements 
of this part on the date the employer begins commercial motor vehicle 
operations.
    (b) All foreign-domiciled employers must implement the requirements 
of this part on the date the employer begins commercial motor vehicle 
operations in the United States.



Sec.  382.117  Public interest exclusion.

    No employer shall use the services of a service agent who is subject 
to public interest exclusion in accordance with 49 CFR part 40, Subpart 
R.



Sec.  382.119  Stand-down waiver provision.

    (a) Employers are prohibited from standing employees down, except 
consistent with a waiver from the Federal Motor Carrier Safety 
Administration as required under this section.
    (b) An employer subject to this part who seeks a waiver from the 
prohibition against standing down an employee before the MRO has 
completed the verification process shall follow the procedures in 49 CFR 
40.21. The employer must send a written request, which includes all of 
the information required by that section to the Administrator, Federal 
Motor Carrier Safety Administration, 1200 New Jersey Ave., SE., 
Washington, DC 20590-0001.
    (c) The final decision whether to grant or deny the application for 
a waiver will be made by the Administrator or the Administrator's 
designee.
    (d) After a decision is signed by the Administrator or the 
Administrator's designee, the employer will be sent a copy of the 
decision, which will include the terms and conditions for the waiver or 
the reason for denying the application for a waiver.
    (e) Questions regarding waiver applications should be directed to 
the Federal Motor Carrier Safety Administration, Office of Enforcement 
and Compliance (MC-EC), 1200 New Jersey Ave., SE., Washington, DC 20590-
0001.

[66 FR 43103, Aug. 17, 2001, as amended at 72 FR 55700, Oct. 1, 2007]



Sec.  382.121  Employee admission of alcohol and controlled substances use.

    (a) Employees who admit to alcohol misuse or controlled substances 
use are not subject to the referral, evaluation and treatment 
requirements of this part and part 40 of this title, provided that:
    (1) The admission is in accordance with a written employer-
established voluntary self-identification program or policy that meets 
the requirements of paragraph (b) of this section;
    (2) The driver does not self-identify in order to avoid testing 
under the requirements of this part;
    (3) The driver makes the admission of alcohol misuse or controlled 
substances use prior to performing a safety sensitive function (i.e., 
prior to reporting for duty); and
    (4) The driver does not perform a safety sensitive function until 
the employer is satisfied that the employee has been evaluated and has 
successfully completed education or treatment requirements in accordance 
with

[[Page 211]]

the self-identification program guidelines.
    (b) A qualified voluntary self-identification program or policy must 
contain the following elements:
    (1) It must prohibit the employer from taking adverse action against 
an employee making a voluntary admission of alcohol misuse or controlled 
substances use within the parameters of the program or policy and 
paragraph (a) of this section;
    (2) It must allow the employee sufficient opportunity to seek 
evaluation, education or treatment to establish control over the 
employee's drug or alcohol problem;
    (3) It must permit the employee to return to safety sensitive duties 
only upon successful completion of an educational or treatment program, 
as determined by a drug and alcohol abuse evaluation expert, i.e., 
employee assistance professional, substance abuse professional, or 
qualified drug and alcohol counselor;
    (4) It must ensure that:
    (i) Prior to the employee participating in a safety sensitive 
function, the employee shall undergo a return to duty test with a result 
indicating an alcohol concentration of less than 0.02; and/or
    (ii) Prior to the employee participating in a safety sensitive 
function, the employee shall undergo a return to duty controlled 
substance test with a verified negative test result for controlled 
substances use; and
    (5) It may incorporate employee monitoring and include non-DOT 
follow-up testing.



Sec.  382.123  Driver identification.

    (a) Identification information on the Alcohol Testing Form (ATF). 
For each alcohol test performed under this part, the employer shall 
provide the driver's commercial driver's license number and State of 
issuance in Step 1, Section B of the ATF.
    (b) Identification information on the Federal Drug Testing Custody 
and Control Form (CCF). For each controlled substance test performed 
under this part, the employer shall provide the following information, 
which must be recorded as follows:
    (1) The driver's commercial driver's license number and State of 
issuance in Step 1, section C of the CCF.
    (2) The employer's name and other identifying information required 
in Step 1, section A of the ATF.

[81 FR 87724, Dec. 5, 2016]



                         Subpart B_Prohibitions



Sec.  382.201  Alcohol concentration.

    No driver shall report for duty or remain on duty requiring the 
performance of safety-sensitive functions while having an alcohol 
concentration of 0.04 or greater. No employer having knowledge that a 
driver has an alcohol concentration of 0.04 or greater shall permit the 
driver to perform or continue to perform safety-sensitive functions.

[66 FR 43103, Aug. 17, 2001, as amended at 77 FR 4483, Jan. 30, 2012]



Sec.  382.205  On-duty use.

    No driver shall use alcohol while performing safety-sensitive 
functions. No employer having actual knowledge that a driver is using 
alcohol while performing safety-sensitive functions shall permit the 
driver to perform or continue to perform safety-sensitive functions.



Sec.  382.207  Pre-duty use.

    No driver shall perform safety-sensitive functions within four hours 
after using alcohol. No employer having actual knowledge that a driver 
has used alcohol within four hours shall permit a driver to perform or 
continue to perform safety-sensitive functions.



Sec.  382.209  Use following an accident.

    No driver required to take a post-accident alcohol test under Sec.  
382.303 shall use alcohol for eight hours following the accident, or 
until he/she undergoes a post-accident alcohol test, whichever occurs 
first.



Sec.  382.211  Refusal to submit to a required alcohol or controlled
substances test.

    No driver shall refuse to submit to a pre-employment controlled 
substance test required under Sec.  382.301, a post-accident alcohol or 
controlled substance test required under Sec.  382.303, a random

[[Page 212]]

alcohol or controlled substances test required under Sec.  382.305, a 
reasonable suspicion alcohol or controlled substance test required under 
Sec.  382.307, a return-to-duty alcohol or controlled substances test 
required under Sec.  382.309, or a follow-up alcohol or controlled 
substance test required under Sec.  382.311. No employer shall permit a 
driver who refuses to submit to such tests to perform or continue to 
perform safety-sensitive functions.

[77 FR 4483, Jan. 30, 2012]



Sec.  382.213  Controlled substance use.

    (a) No driver shall report for duty or remain on duty requiring the 
performance of safety sensitive functions when the driver uses any drug 
or substance identified in 21 CFR 1308.11 Schedule I.
    (b) No driver shall report for duty or remain on duty requiring the 
performance of safety-sensitive functions when the driver uses any non-
Schedule I drug or substance that is identified in the other Schedules 
in 21 CFR part 1308 except when the use is pursuant to the instructions 
of a licensed medical practitioner, as defined in Sec.  382.107, who is 
familiar with the driver's medical history and has advised the driver 
that the substance will not adversely affect the driver's ability to 
safely operate a commercial motor vehicle.
    (c) No employer having actual knowledge that a driver has used a 
controlled substance shall permit the driver to perform or continue to 
perform a safety-sensitive function.
    (d) An employer may require a driver to inform the employer of any 
therapeutic drug use.

[77 FR 4483, Jan. 30, 2012]



Sec.  382.215  Controlled substances testing.

    No driver shall report for duty, remain on duty or perform a safety-
sensitive function, if the driver tests positive or has adulterated or 
substituted a test specimen for controlled substances. No employer 
having knowledge that a driver has tested positive or has adulterated or 
substituted a test specimen for controlled substances shall permit the 
driver to perform or continue to perform safety-sensitive functions.

[66 FR 43103, Aug. 17, 2001, as amended at 77 FR 4483, Jan. 30, 2012]



Sec.  382.217  Employer responsibilities.

    No employer may allow, require, permit or authorize a driver to 
operate a commercial motor vehicle during any period in which an 
employer determines that a driver is not in compliance with the return-
to-duty requirements in 49 CFR part 40, subpart O, after the occurrence 
of any of the following events:
    (a) The driver receives a positive, adulterated, or substituted drug 
test result conducted under part 40 of this title.
    (b) The driver receives an alcohol confirmation test result of 0.04 
or higher alcohol concentration conducted under part 40 of this title.
    (c) The driver refused to submit to a test for drugs or alcohol 
required under this part.
    (d) The driver used alcohol prior to a post-accident alcohol test in 
violation of Sec.  382.209.
    (e) An employer has actual knowledge, as defined at Sec.  382.107, 
that a driver has:
    (1) Used alcohol while performing safety-sensitive functions in 
violation of Sec.  382.205;
    (2) Used alcohol within four hours of performing safety-sensitive 
functions in violation of Sec.  382.207; or
    (3) Used a controlled substance.

[81 FR 87724, Dec. 5, 2016]



                        Subpart C_Tests Required



Sec.  382.301  Pre-employment testing.

    (a) Prior to the first time a driver performs safety-sensitive 
functions for an employer, the driver shall undergo testing for 
controlled substances as a condition prior to being used, unless the 
employer uses the exception in paragraph (b) of this section. No 
employer shall allow a driver, who the employer intends to hire or use, 
to perform safety-sensitive functions unless the employer has received a 
controlled substances test result from the MRO or C/TPA indicating a 
verified negative test result for that driver.

[[Page 213]]

    (b) An employer is not required to administer a controlled 
substances test required by paragraph (a) of this section if:
    (1) The driver has participated in a controlled substances testing 
program that meets the requirements of this part within the previous 30 
days; and
    (2) While participating in that program, either:
    (i) Was tested for controlled substances within the past 6 months 
(from the date of application with the employer), or
    (ii) Participated in the random controlled substances testing 
program for the previous 12 months (from the date of application with 
the employer); and
    (3) The employer ensures that no prior employer of the driver of 
whom the employer has knowledge has records of a violation of this part 
or the controlled substances use rule of another DOT agency within the 
previous six months.
    (c)(1) An employer who exercises the exception in paragraph (b) of 
this section shall contact the controlled substances testing program(s) 
in which the driver participates or participated and shall obtain and 
retain from the testing program(s) the following information:
    (i) Name(s) and address(es) of the program(s).
    (ii) Verification that the driver participates or participated in 
the program(s).
    (iii) Verification that the program(s) conforms to part 40 of this 
title.
    (iv) Verification that the driver is qualified under the rules of 
this part, including that the driver has not refused to be tested for 
controlled substances.
    (v) The date the driver was last tested for controlled substances.
    (vi) The results of any tests taken within the previous six months 
and any other violations of subpart B of this part.
    (2) An employer who uses, but does not employ a driver more than 
once a year to operate commercial motor vehicles must obtain the 
information in paragraph (c)(1) of this section at least once every six 
months. The records prepared under this paragraph shall be maintained in 
accordance with Sec.  382.401. If the employer cannot verify that the 
driver is participating in a controlled substances testing program in 
accordance with this part and part 40 of this title, the employer shall 
conduct a pre-employment controlled substances test.
    (d) An employer may, but is not required to, conduct pre-employment 
alcohol testing under this part. If an employer chooses to conduct pre-
employment alcohol testing, it must comply with the following 
requirements:
    (1) It must conduct a pre-employment alcohol test before the first 
performance of safety-sensitive functions by every covered employee 
(whether a new employee or someone who has transferred to a position 
involving the performance of safety-sensitive functions).
    (2) It must treat all safety-sensitive employees performing safety-
sensitive functions the same for the purpose of pre-employment alcohol 
testing (i.e., it must not test some covered employees and not others).
    (3) It must conduct the pre-employment tests after making a 
contingent offer of employment or transfer, subject to the employee 
passing the pre-employment alcohol test.
    (4) It must conduct all pre-employment alcohol tests using the 
alcohol testing procedures of 49 CFR part 40 of this title.
    (5) It must not allow a covered employee to begin performing safety-
sensitive functions unless the result of the employee's test indicates 
an alcohol concentration of less than 0.04.



Sec.  382.303  Post-accident testing.

    (a) As soon as practicable following an occurrence involving a 
commercial motor vehicle operating on a public road in commerce, each 
employer shall test for alcohol for each of its surviving drivers:
    (1) Who was performing safety-sensitive functions with respect to 
the vehicle, if the accident involved the loss of human life; or
    (2) Who receives a citation within 8 hours of the occurrence under 
State or local law for a moving traffic violation arising from the 
accident, if the accident involved:

[[Page 214]]

    (i) Bodily injury to any person who, as a result of the injury, 
immediately receives medical treatment away from the scene of the 
accident; or
    (ii) One or more motor vehicles incurring disabling damage as a 
result of the accident, requiring the motor vehicle to be transported 
away from the scene by a tow truck or other motor vehicle.
    (b) As soon as practicable following an occurrence involving a 
commercial motor vehicle operating on a public road in commerce, each 
employer shall test for controlled substances for each of its surviving 
drivers:
    (1) Who was performing safety-sensitive functions with respect to 
the vehicle, if the accident involved the loss of human life; or
    (2) Who receives a citation within thirty-two hours of the 
occurrence under State or local law for a moving traffic violation 
arising from the accident, if the accident involved:
    (i) Bodily injury to any person who, as a result of the injury, 
immediately receives medical treatment away from the scene of the 
accident; or
    (ii) One or more motor vehicles incurring disabling damage as a 
result of the accident, requiring the motor vehicle to be transported 
away from the scene by a tow truck or other motor vehicle.
    (c) The following table notes when a post-accident test is required 
to be conducted by paragraphs (a)(1), (a)(2), (b)(1), and (b)(2) of this 
section:

                                       Table for Sec.   382.303(a) and (b)
----------------------------------------------------------------------------------------------------------------
                                                                      Citation issued to        Test must be
                     Type of accident involved                          the CMV driver     performed by employer
----------------------------------------------------------------------------------------------------------------
i. Human fatality.................................................                   YES                    YES
                                                                                      NO                    YES
ii. Bodily injury with immediate medical treatment away from the                     YES                    YES
 scene............................................................                    NO                     NO
iii. Disabling damage to any motor vehicle requiring tow away.....                   YES                    YES
                                                                                      NO                     NO
----------------------------------------------------------------------------------------------------------------

    (d)(1) Alcohol tests. If a test required by this section is not 
administered within two hours following the accident, the employer shall 
prepare and maintain on file a record stating the reasons the test was 
not promptly administered. If a test required by this section is not 
administered within eight hours following the accident, the employer 
shall cease attempts to administer an alcohol test and shall prepare and 
maintain the same record. Records shall be submitted to the FMCSA upon 
request.
    (2) Controlled substance tests. If a test required by this section 
is not administered within 32 hours following the accident, the employer 
shall cease attempts to administer a controlled substances test, and 
prepare and maintain on file a record stating the reasons the test was 
not promptly administered. Records shall be submitted to the FMCSA upon 
request.
    (e) A driver who is subject to post-accident testing shall remain 
readily available for such testing or may be deemed by the employer to 
have refused to submit to testing. Nothing in this section shall be 
construed to require the delay of necessary medical attention for 
injured people following an accident or to prohibit a driver from 
leaving the scene of an accident for the period necessary to obtain 
assistance in responding to the accident, or to obtain necessary 
emergency medical care.
    (f) An employer shall provide drivers with necessary post-accident 
information, procedures and instructions, prior to the driver operating 
a commercial motor vehicle, so that drivers will be able to comply with 
the requirements of this section.
    (g)(1) The results of a breath or blood test for the use of alcohol, 
conducted by Federal, State, or local officials having independent 
authority for the test, shall be considered to meet the requirements of 
this section, provided such tests conform to the applicable Federal, 
State or local alcohol testing

[[Page 215]]

requirements, and that the results of the tests are obtained by the 
employer.
    (2) The results of a urine test for the use of controlled 
substances, conducted by Federal, State, or local officials having 
independent authority for the test, shall be considered to meet the 
requirements of this section, provided such tests conform to the 
applicable Federal, State or local controlled substances testing 
requirements, and that the results of the tests are obtained by the 
employer.
    (h) Exception. This section does not apply to:
    (1) An occurrence involving only boarding or alighting from a 
stationary motor vehicle; or
    (2) An occurrence involving only the loading or unloading of cargo; 
or
    (3) An occurrence in the course of the operation of a passenger car 
or a multipurpose passenger vehicle (as defined in Sec.  571.3 of this 
title) by an employer unless the motor vehicle is transporting 
passengers for hire or hazardous materials of a type and quantity that 
require the motor vehicle to be marked or placarded in accordance with 
Sec.  177.823 of this title.



Sec.  382.305  Random testing.

    (a) Every employer shall comply with the requirements of this 
section. Every driver shall submit to random alcohol and controlled 
substance testing as required in this section.
    (b)(1) Except as provided in paragraphs (c) through (e) of this 
section, the minimum annual percentage rate for random alcohol testing 
shall be 10 percent of the average number of driver positions.
    (2) Except as provided in paragraphs (f) through (h) of this 
section, the minimum annual percentage rate for random controlled 
substances testing shall be 25 percent of the average number of driver 
positions.
    (c) The FMCSA Administrator's decision to increase or decrease the 
minimum annual percentage rate for alcohol testing is based on the 
reported violation rate for the entire industry. All information used 
for this determination is drawn from the alcohol management information 
system reports required by Sec.  382.403. In order to ensure reliability 
of the data, the FMCSA Administrator considers the quality and 
completeness of the reported data, may obtain additional information or 
reports from employers, and may make appropriate modifications in 
calculating the industry violation rate. In the event of a change in the 
annual percentage rate, the FMCSA Administrator will publish in the 
Federal Register the new minimum annual percentage rate for random 
alcohol testing of drivers. The new minimum annual percentage rate for 
random alcohol testing will be applicable starting January 1 of the 
calendar year following publication in the Federal Register.
    (d)(1) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or more, the FMCSA Administrator may lower this 
rate to 10 percent of all driver positions if the FMCSA Administrator 
determines that the data received under the reporting requirements of 
Sec.  382.403 for two consecutive calendar years indicate that the 
violation rate is less than 0.5 percent.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 50 percent, the FMCSA Administrator may lower this rate to 25 
percent of all driver positions if the FMCSA Administrator determines 
that the data received under the reporting requirements of Sec.  382.403 
for two consecutive calendar years indicate that the violation rate is 
less than 1.0 percent but equal to or greater than 0.5 percent.
    (e)(1) When the minimum annual percentage rate for random alcohol 
testing is 10 percent, and the data received under the reporting 
requirements of Sec.  382.403 for that calendar year indicate that the 
violation rate is equal to or greater than 0.5 percent, but less than 
1.0 percent, the FMCSA Administrator will increase the minimum annual 
percentage rate for random alcohol testing to 25 percent for all driver 
positions.
    (2) When the minimum annual percentage rate for random alcohol 
testing is 25 percent or less, and the data received under the reporting 
requirements of Sec.  382.403 for that calendar year indicate that the 
violation rate is equal to or greater than 1.0 percent,

[[Page 216]]

the FMCSA Administrator will increase the minimum annual percentage rate 
for random alcohol testing to 50 percent for all driver positions.
    (f) The FMCSA Administrator's decision to increase or decrease the 
minimum annual percentage rate for controlled substances testing is 
based on the reported positive rate for the entire industry. All 
information used for this determination is drawn from the controlled 
substances management information system reports required by Sec.  
382.403. In order to ensure reliability of the data, the FMCSA 
Administrator considers the quality and completeness of the reported 
data, may obtain additional information or reports from employers, and 
may make appropriate modifications in calculating the industry positive 
rate. In the event of a change in the annual percentage rate, the FMCSA 
Administrator will publish in the Federal Register the new minimum 
annual percentage rate for controlled substances testing of drivers. The 
new minimum annual percentage rate for random controlled substances 
testing will be applicable starting January 1 of the calendar year 
following publication in the Federal Register.
    (g) When the minimum annual percentage rate for random controlled 
substances testing is 50 percent, the FMCSA Administrator may lower this 
rate to 25 percent of all driver positions if the FMCSA Administrator 
determines that the data received under the reporting requirements of 
Sec.  382.403 for two consecutive calendar years indicate that the 
positive rate is less than 1.0 percent.
    (h) When the minimum annual percentage rate for random controlled 
substances testing is 25 percent, and the data received under the 
reporting requirements of Sec.  382.403 for any calendar year indicate 
that the reported positive rate is equal to or greater than 1.0 percent, 
the FMCSA Administrator will increase the minimum annual percentage rate 
for random controlled substances testing to 50 percent of all driver 
positions.
    (i)(1) The selection of drivers for random alcohol and controlled 
substances testing shall be made by a scientifically valid method, such 
as a random number table or a computer-based random number generator 
that is matched with drivers' Social Security numbers, payroll 
identification numbers, or other comparable identifying numbers.
    (2) Each driver selected for random alcohol and controlled 
substances testing under the selection process used, shall have an equal 
chance of being tested each time selections are made.
    (3) Each driver selected for testing shall be tested during the 
selection period.
    (j)(1)To calculate the total number of covered drivers eligible for 
random testing throughout the year, as an employer, you must add the 
total number of covered drivers eligible for testing during each random 
testing period for the year and divide that total by the number of 
random testing periods. Covered employees, and only covered employees, 
are to be in an employer's random testing pool, and all covered drivers 
must be in the random pool. If you are an employer conducting random 
testing more often than once per month (e.g., daily, weekly, bi-weekly) 
you do not need to compute this total number of covered drivers rate 
more than on a once per month basis.
    (2) As an employer, you may use a service agent (e.g., a C/TPA) to 
perform random selections for you, and your covered drivers may be part 
of a larger random testing pool of covered employees. However, you must 
ensure that the service agent you use is testing at the appropriate 
percentage established for your industry and that only covered employees 
are in the random testing pool.
    (k)(1) Each employer shall ensure that random alcohol and controlled 
substances tests conducted under this part are unannounced.
    (2) Each employer shall ensure that the dates for administering 
random alcohol and controlled substances tests conducted under this part 
are spread reasonably throughout the calendar year.
    (l) Each employer shall require that each driver who is notified of 
selection for random alcohol and/or controlled substances testing 
proceeds to the test site immediately; provided, however, that if the 
driver is performing a safety-sensitive function, other than driving a 
commercial motor vehicle, at the

[[Page 217]]

time of notification, the employer shall instead ensure that the driver 
ceases to perform the safety-sensitive function and proceeds to the 
testing site as soon as possible.
    (m) A driver shall only be tested for alcohol while the driver is 
performing safety-sensitive functions, just before the driver is to 
perform safety-sensitive functions, or just after the driver has ceased 
performing such functions.
    (n) If a given driver is subject to random alcohol or controlled 
substances testing under the random alcohol or controlled substances 
testing rules of more than one DOT agency for the same employer, the 
driver shall be subject to random alcohol and/or controlled substances 
testing at the annual percentage rate established for the calendar year 
by the DOT agency regulating more than 50 percent of the driver's 
function.
    (o) If an employer is required to conduct random alcohol or 
controlled substances testing under the alcohol or controlled substances 
testing rules of more than one DOT agency, the employer may--
    (1) Establish separate pools for random selection, with each pool 
containing the DOT-covered employees who are subject to testing at the 
same required minimum annual percentage rate; or
    (2) Randomly select such employees for testing at the highest 
minimum annual percentage rate established for the calendar year by any 
DOT agency to which the employer is subject.

[66 FR 43103, Aug. 17, 2001, as amended at 67 FR 61821, Oct. 2, 2002; 68 
FR 75459, Dec. 31, 2003; 81 FR 68346, Oct. 4, 2016]



Sec.  382.307  Reasonable suspicion testing.

    (a) An employer shall require a driver to submit to an alcohol test 
when the employer has reasonable suspicion to believe that the driver 
has violated the prohibitions of subpart B of this part concerning 
alcohol. The employer's determination that reasonable suspicion exists 
to require the driver to undergo an alcohol test must be based on 
specific, contemporaneous, articulable observations concerning the 
appearance, behavior, speech or body odors of the driver.
    (b) An employer shall require a driver to submit to a controlled 
substances test when the employer has reasonable suspicion to believe 
that the driver has violated the prohibitions of subpart B of this part 
concerning controlled substances. The employer's determination that 
reasonable suspicion exists to require the driver to undergo a 
controlled substances test must be based on specific, contemporaneous, 
articulable observations concerning the appearance, behavior, speech or 
body odors of the driver. The observations may include indications of 
the chronic and withdrawal effects of controlled substances.
    (c) The required observations for alcohol and/or controlled 
substances reasonable suspicion testing shall be made by a supervisor or 
company official who is trained in accordance with Sec.  382.603. The 
person who makes the determination that reasonable suspicion exists to 
conduct an alcohol test shall not conduct the alcohol test of the 
driver.
    (d) Alcohol testing is authorized by this section only if the 
observations required by paragraph (a) of this section are made during, 
just preceding, or just after the period of the work day that the driver 
is required to be in compliance with this part. A driver may be directed 
by the employer to only undergo reasonable suspicion testing while the 
driver is performing safety-sensitive functions, just before the driver 
is to perform safety-sensitive functions, or just after the driver has 
ceased performing such functions.
    (e)(1) If an alcohol test required by this section is not 
administered within two hours following the determination under 
paragraph (a) of this section, the employer shall prepare and maintain 
on file a record stating the reasons the alcohol test was not promptly 
administered. If an alcohol test required by this section is not 
administered within eight hours following the determination under 
paragraph (a) of this section, the employer shall cease attempts to 
administer an alcohol test and shall state in the record the reasons for 
not administering the test.
    (2) Notwithstanding the absence of a reasonable suspicion alcohol 
test under this section, no driver shall report for

[[Page 218]]

duty or remain on duty requiring the performance of safety-sensitive 
functions while the driver is under the influence of or impaired by 
alcohol, as shown by the behavioral, speech, and performance indicators 
of alcohol misuse, nor shall an employer permit the driver to perform or 
continue to perform safety-sensitive functions, until:
    (i) An alcohol test is administered and the driver's alcohol 
concentration measures less than 0.02; or
    (ii) Twenty four hours have elapsed following the determination 
under paragraph (a) of this section that there is reasonable suspicion 
to believe that the driver has violated the prohibitions in this part 
concerning the use of alcohol.
    (3) Except as provided in paragraph (e)(2) of this section, no 
employer shall take any action under this part against a driver based 
solely on the driver's behavior and appearance, with respect to alcohol 
use, in the absence of an alcohol test. This does not prohibit an 
employer with independent authority of this part from taking any action 
otherwise consistent with law.
    (f) A written record shall be made of the observations leading to an 
alcohol or controlled substances reasonable suspicion test, and signed 
by the supervisor or company official who made the observations, within 
24 hours of the observed behavior or before the results of the alcohol 
or controlled substances tests are released, whichever is earlier.



Sec.  382.309  Return-to-duty testing.

    The requirements for return-to-duty testing must be performed in 
accordance with 49 CFR part 40, subpart O.



Sec.  382.311  Follow-up testing.

    The requirements for follow-up testing must be performed in 
accordance with 49 CFR part 40, subpart O.



       Subpart D_Handling of Test Results, Records Retention, and 
                             Confidentiality



Sec.  382.401  Retention of records.

    (a) General requirement. Each employer shall maintain records of its 
alcohol misuse and controlled substances use prevention programs as 
provided in this section. The records shall be maintained in a secure 
location with controlled access.
    (b) Period of retention. Each employer shall maintain the records in 
accordance with the following schedule:
    (1) Five years. The following records shall be maintained for a 
minimum of five years:
    (i) Records of driver alcohol test results indicating an alcohol 
concentration of 0.02 or greater,
    (ii) Records of driver verified positive controlled substances test 
results,
    (iii) Documentation of refusals to take required alcohol and/or 
controlled substances tests,
    (iv) Driver evaluation and referrals,
    (v) Calibration documentation,
    (vi) Records related to the administration of the alcohol and 
controlled substances testing program, including records of all driver 
violations, and
    (vii) A copy of each annual calendar year summary required by Sec.  
382.403.
    (2) Two years. Records related to the alcohol and controlled 
substances collection process (except calibration of evidential breath 
testing devices) shall be maintained for a minimum of 2 years.
    (3) One year. Records of negative and canceled controlled substances 
test results (as defined in part 40 of this title) and alcohol test 
results with a concentration of less than 0.02 shall be maintained for a 
minimum of one year.
    (4) Indefinite period. Records related to the education and training 
of breath alcohol technicians, screening test technicians, supervisors, 
and drivers shall be maintained by the employer while the individual 
performs the functions which require the training and for two years 
after ceasing to perform those functions.
    (c) Types of records. The following specific types of records shall 
be maintained. ``Documents generated'' are documents that may have to be 
prepared under a requirement of this part. If the record is required to 
be prepared, it must be maintained.
    (1) Records related to the collection process:
    (i) Collection logbooks, if used;
    (ii) Documents relating to the random selection process;

[[Page 219]]

    (iii) Calibration documentation for evidential breath testing 
devices;
    (iv) Documentation of breath alcohol technician training;
    (v) Documents generated in connection with decisions to administer 
reasonable suspicion alcohol or controlled substances tests;
    (vi) Documents generated in connection with decisions on post-
accident tests;
    (vii) Documents verifying existence of a medical explanation of the 
inability of a driver to provide adequate breath or to provide a urine 
specimen for testing; and
    (viii) A copy of each annual calendar year summary as required by 
Sec.  382.403.
    (2) Records related to a driver's test results:
    (i) The employer's copy of the alcohol test form, including the 
results of the test;
    (ii) The employer's copy of the controlled substances test chain of 
custody and control form;
    (iii) Documents sent by the MRO to the employer, including those 
required by part 40, subpart G, of this title;
    (iv) Documents related to the refusal of any driver to submit to an 
alcohol or controlled substances test required by this part;
    (v) Documents presented by a driver to dispute the result of an 
alcohol or controlled substances test administered under this part; and
    (vi) Documents generated in connection with verifications of prior 
employers' alcohol or controlled substances test results that the 
employer:
    (A) Must obtain in connection with the exception contained in Sec.  
382.301, and
    (B) Must obtain as required by Sec.  382.413.
    (3) Records related to other violations of this part.
    (4) Records related to evaluations:
    (i) Records pertaining to a determination by a substance abuse 
professional concerning a driver's need for assistance; and
    (ii) Records concerning a driver's compliance with recommendations 
of the substance abuse professional.
    (5) Records related to education and training:
    (i) Materials on alcohol misuse and controlled substance use 
awareness, including a copy of the employer's policy on alcohol misuse 
and controlled substance use;
    (ii) Documentation of compliance with the requirements of Sec.  
382.601, including the driver's signed receipt of education materials;
    (iii) Documentation of training provided to supervisors for the 
purpose of qualifying the supervisors to make a determination concerning 
the need for alcohol and/or controlled substances testing based on 
reasonable suspicion;
    (iv) Documentation of training for breath alcohol technicians as 
required by Sec.  40.213(g) of this title; and
    (v) Certification that any training conducted under this part 
complies with the requirements for such training.
    (6) Administrative records related to alcohol and controlled 
substances testing:
    (i) Agreements with collection site facilities, laboratories, breath 
alcohol technicians, screening test technicians, medical review 
officers, consortia, and third party service providers;
    (ii) Names and positions of officials and their role in the 
employer's alcohol and controlled substances testing program(s);
    (iii) Semi-annual laboratory statistical summaries of urinalysis 
required by Sec.  40.111(a) of this title; and
    (iv) The employer's alcohol and controlled substances testing policy 
and procedures.
    (d) Location of records. All records required by this part shall be 
maintained as required by Sec.  390.29 of this subchapter and shall be 
made available for inspection at the employer's principal place of 
business within two business days after a request has been made by an 
authorized representative of the Federal Motor Carrier Safety 
Administration.
    (e) OMB control number. (1) The information collection requirements 
of this part have been reviewed by the Office of Management and Budget 
pursuant to the Paperwork Reduction Act of 1995 (44 U.S.C. 3501 et seq.) 
and have been assigned OMB control number 2126-0012.
    (2) The information collection requirements of this part are found 
in the following sections: Sections 382.105, 382.113, 382.301, 382.303, 
382.305, 382.307,

[[Page 220]]

382.401, 382.403, 382.405, 382.409, 382.411, 382.601, 382.603.

[66 FR 43103, Aug. 17, 2001, as amended at 67 FR 61821, Oct. 2, 2002; 68 
FR 75459, Dec. 31, 2003; 78 FR 58479, Sept. 24, 2013; 81 FR 87725, Dec. 
5, 2016]



Sec.  382.403  Reporting of results in a management information system.

    (a) An employer shall prepare and maintain a summary of the results 
of its alcohol and controlled substances testing programs performed 
under this part during the previous calendar year, when requested by the 
Secretary of Transportation, any DOT agency, or any State or local 
officials with regulatory authority over the employer or any of its 
drivers.
    (b) If an employer is notified, during the month of January, of a 
request by the Federal Motor Carrier Safety Administration to report the 
employer's annual calendar year summary information, the employer shall 
prepare and submit the report to the FMCSA by March 15 of that year. The 
employer shall ensure that the annual summary report is accurate and 
received by March 15 at the location that the FMCSA specifies in its 
request. The employer must use the Management Information System (MIS) 
form and instructions as required by 49 CFR part 40 (at Sec.  40.26 and 
appendix H to part 40). The employer may also use the electronic version 
of the MIS form provided by the DOT. The Administrator may designate 
means (e.g., electronic program transmitted via the Internet), other 
than hard-copy, for MIS form submission. For information on the 
electronic version of the form, see: http://www.fmcsa.dot.gov/
safetyprogs/drugs/engtesting.htm.
    (c) When the report is submitted to the FMCSA by mail or electronic 
transmission, the information requested shall be typed, except for the 
signature of the certifying official. Each employer shall ensure the 
accuracy and timeliness of each report submitted by the employer or a 
consortium.
    (d) If you have a covered employee who performs multi-DOT agency 
functions (e.g., an employee drives a commercial motor vehicle and 
performs pipeline maintenance duties for the same employer), count the 
employee only on the MIS report for the DOT agency under which he or she 
is randomly tested. Normally, this will be the DOT agency under which 
the employee performs more than 50% of his or her duties. Employers may 
have to explain the testing data for these employees in the event of a 
DOT agency inspection or audit.
    (e) A service agent (e.g., Consortium/Third party administrator as 
defined in 49 CFR 382.107) may prepare the MIS report on behalf of an 
employer. However, a company official (e.g., Designated employer 
representative) must certify the accuracy and completeness of the MIS 
report, no matter who prepares it.

[66 FR 43103, Aug. 17, 2001, as amended at 68 FR 75459, Dec. 31, 2003; 
78 FR 58479, Sept. 24, 2013]



Sec.  382.405  Access to facilities and records.

    (a) Except as required by law or expressly authorized or required in 
this section, no employer shall release driver information that is 
contained in records required to be maintained under Sec.  382.401.
    (b) A driver is entitled, upon written request, to obtain copies of 
any records pertaining to the driver's use of alcohol or controlled 
substances, including any records pertaining to his or her alcohol or 
controlled substances tests. The employer shall promptly provide the 
records requested by the driver. Access to a driver's records shall not 
be contingent upon payment for records other than those specifically 
requested.
    (c) Each employer shall permit access to all facilities utilized in 
complying with the requirements of this part to the Secretary of 
Transportation, any DOT agency, or any State or local officials with 
regulatory authority over the employer or any of its drivers.
    (d) Each employer, and each service agent who maintains records for 
an employer, must make available copies of all results for DOT alcohol 
and/or controlled substances testing conducted by the employer under 
this part and any other information pertaining to the employer's alcohol 
misuse and/or controlled substances use prevention

[[Page 221]]

program when requested by the Secretary of Transportation, any DOT 
agency, or any State or local officials with regulatory authority over 
the employer or any of its drivers.
    (e) When requested by the National Transportation Safety Board as a 
part of a crash investigation:
    (1) Employers must disclose information related to the employer's 
administration of a post-accident alcohol and/or a controlled substances 
test administered following the crash under investigation; and
    (2) FMCSA will provide access to information in the Clearinghouse 
concerning drivers who are involved with the crash under investigation.
    (f) Records shall be made available to a subsequent employer upon 
receipt of a written request from a driver. Disclosure by the subsequent 
employer is permitted only as expressly authorized by the terms of the 
driver's request.
    (g) An employer may disclose information required to be maintained 
under this part pertaining to a driver to the decision maker in a 
lawsuit, grievance, or administrative proceeding initiated by or on 
behalf of the individual, and arising from a positive DOT drug or 
alcohol test or a refusal to test (including, but not limited to, 
adulterated or substituted test results) of this part (including, but 
not limited to, a worker's compensation, unemployment compensation, or 
other proceeding relating to a benefit sought by the driver). 
Additionally, an employer may disclose information in criminal or civil 
actions in accordance with Sec.  40.323(a)(2) of this title.
    (h) An employer shall release information regarding a driver's 
records as directed by the specific written consent of the driver 
authorizing release of the information to an identified person. Release 
of such information by the person receiving the information is permitted 
only in accordance with the terms of the employee's specific written 
consent as outlined in Sec.  40.321(b) of this title.

[66 FR 43103, Aug. 17, 2001, as amended at 81 FR 87725, Dec. 5, 2016]



Sec.  382.407  Medical review officer notifications to the employer.

    Medical review officers shall report the results of controlled 
substances tests to employers in accordance with the requirements of 
part 40, Subpart G, of this title.



Sec.  382.409  Medical review officer or consortium/third party 
administrator record retention for controlled substances.

    (a) A medical review officer or third party administrator shall 
maintain all dated records and notifications, identified by individual, 
for a minimum of five years for verified positive controlled substances 
test results.
    (b) A medical review officer or third party administrator shall 
maintain all dated records and notifications, identified by individual, 
for a minimum of one year for negative and canceled controlled 
substances test results.
    (c) No person may obtain the individual controlled substances test 
results retained by a medical review officer (MRO as defined in Sec.  
40.3 of this title) or a consortium/third party administrator (C/TPA as 
defined in Sec.  382.107), and no MRO or C/TPA may release the 
individual controlled substances test results of any driver to any 
person, without first obtaining a specific, written authorization from 
the tested driver. Nothing in this paragraph (c) shall prohibit a MRO or 
a C/TPA from releasing to the employer, the Clearinghouse, or to the 
Secretary of Transportation, any DOT agency, or any State or local 
officials with regulatory authority over the controlled substances and 
alcohol testing program under this part, the information delineated in 
part 40, subpart G, of this title.

[66 FR 43103, Aug. 17, 2001, as amended at 81 FR 87725, Dec. 5, 2016]



Sec.  382.411  Employer notifications.

    (a) An employer shall notify a driver of the results of a pre-
employment controlled substances test conducted under this part, if the 
driver requests such results within 60 calendar days of being notified 
of the disposition of the employment application. An employer shall 
notify a driver of the results of random, reasonable suspicion and post-

[[Page 222]]

accident tests for controlled substances conducted under this part if 
the test results are verified positive. The employer shall also inform 
the driver which controlled substance or substances were verified as 
positive.
    (b) The designated employer representative shall make reasonable 
efforts to contact and request each driver who submitted a specimen 
under the employer's program, regardless of the driver's employment 
status, to contact and discuss the results of the controlled substances 
test with a medical review officer who has been unable to contact the 
driver.
    (c) The designated employer representative shall immediately notify 
the medical review officer that the driver has been notified to contact 
the medical review officer within 72 hours.



Sec.  382.413  Inquiries for alcohol and controlled substances
information from previous employers.

    (a) Employers must request alcohol and controlled substances 
information from previous employers in accordance with the requirements 
of Sec.  40.25 of this title, except that the employer must request 
information from all DOT-regulated employers that employed the driver 
within the previous 3 years and the scope of the information requested 
must date back 3 years.
    (b) As of January 6, 2023, employers must use the Drug and Alcohol 
Clearinghouse in accordance with Sec.  382.701(a) to comply with the 
requirements of Sec.  40.25 of this title with respect to FMCSA-
regulated employers. Exception: When an employee who is subject to 
follow-up testing has not successfully completed all follow-up tests, 
employers must request the employee's follow-up testing plan directly 
from the previous employer in accordance with Sec.  40.25(b)(5) of this 
title.
    (c) If an applicant was subject to an alcohol and controlled 
substance testing program under the requirements of a DOT Agency other 
than FMCSA, the employer must request the alcohol and controlled 
substances information required under this section and Sec.  40.25 of 
this title directly from those employers regulated by a DOT Agency other 
than FMCSA.

[81 FR 87725, Dec. 5, 2016]



Sec.  382.415  Notification to employers of a controlled substances
or alcohol testing program violation.

    Each person holding a commercial driver's license and subject to the 
DOT controlled substances and alcohol testing requirements in this part 
who has violated the alcohol and controlled substances prohibitions 
under part 40 of this title or this part without complying with the 
requirements of part 40, subpart O, must notify in writing all current 
employers of such violation(s). The driver is not required to provide 
notification to the employer that administered the test or documented 
the circumstances that gave rise to the violation. The notification must 
be made before the end of the business day following the day the 
employee received notice of the violation, or prior to performing any 
safety-sensitive function, whichever comes first.

[81 FR 87725, Dec. 5, 2016]



  Subpart E_Consequences for Drivers Engaging in Substance Use-Related 
                                 Conduct



Sec.  382.501  Removal from safety-sensitive function.

    (a) Except as provided in subpart F of this part, no driver shall 
perform safety-sensitive functions, including driving a commercial motor 
vehicle, if the driver has engaged in conduct prohibited by subpart B of 
this part or an alcohol or controlled substances rule of another DOT 
agency.
    (b) No employer shall permit any driver to perform safety-sensitive 
functions; including driving a commercial motor vehicle, if the employer 
has determined that the driver has violated this section.
    (c) For purposes of this subpart, commercial motor vehicle means a 
commercial motor vehicle in commerce as defined in Sec.  382.107, and a 
commercial motor vehicle in interstate commerce as defined in part 390 
of this subchapter.



Sec.  382.503  Required evaluation and testing.

    No driver who has engaged in conduct prohibited by subpart B of this 
part shall perform safety-sensitive

[[Page 223]]

functions, including driving a commercial motor vehicle, unless the 
driver has met the requirements of part 40, subpart O, of this title. No 
employer shall permit a driver who has engaged in conduct prohibited by 
subpart B of this part to perform safety-sensitive functions, including 
driving a commercial motor vehicle, unless the driver has met the 
requirements of part 40, subpart O, of this title.



Sec.  382.505  Other alcohol-related conduct.

    (a) No driver tested under the provisions of subpart C of this part 
who is found to have an alcohol concentration of 0.02 or greater but 
less than 0.04 shall perform or continue to perform safety-sensitive 
functions for an employer, including driving a commercial motor vehicle, 
nor shall an employer permit the driver to perform or continue to 
perform safety-sensitive functions, until the start of the driver's next 
regularly scheduled duty period, but not less than 24 hours following 
administration of the test.
    (b) Except as provided in paragraph (a) of this section, no employer 
shall take any action under this part against a driver based solely on 
test results showing an alcohol concentration less than 0.04. This does 
not prohibit an employer with authority independent of this part from 
taking any action otherwise consistent with law.



Sec.  382.507  Penalties.

    Any employer or driver who violates the requirements of this part 
shall be subject to the civil and/or criminal penalty provisions of 49 
U.S.C. 521(b). In addition, any employer or driver who violates the 
requirements of 49 CFR part 40 shall be subject to the civil and/or 
criminal penalty provisions of 49 U.S.C. 521(b).



  Subpart F_Alcohol Misuse and Controlled Substances Use Information, 
                         Training, and Referral



Sec.  382.601  Employer obligation to promulgate a policy on the misuse
of alcohol and use of controlled substances.

    (a) General requirements. Each employer shall provide educational 
materials that explain the requirements of this part and the employer's 
policies and procedures with respect to meeting these requirements.
    (1) The employer shall ensure that a copy of these materials is 
distributed to each driver prior to the start of alcohol and controlled 
substances testing under this part and to each driver subsequently hired 
or transferred into a position requiring driving a commercial motor 
vehicle.
    (2) Each employer shall provide written notice to representatives of 
employee organizations of the availability of this information.
    (b) Required content. The materials to be made available to drivers 
shall include detailed discussion of at least the following:
    (1) The identity of the person designated by the employer to answer 
driver questions about the materials;
    (2) The categories of drivers who are subject to the provisions of 
this part;
    (3) Sufficient information about the safety-sensitive functions 
performed by those drivers to make clear what period of the work day the 
driver is required to be in compliance with this part;
    (4) Specific information concerning driver conduct that is 
prohibited by this part;
    (5) The circumstances under which a driver will be tested for 
alcohol and/or controlled substances under this part, including post-
accident testing under Sec.  382.303(d);
    (6) The procedures that will be used to test for the presence of 
alcohol and controlled substances, protect the driver and the integrity 
of the testing processes, safeguard the validity of the test results, 
and ensure that those results

[[Page 224]]

are attributed to the correct driver, including post-accident 
information, procedures and instructions required by Sec.  382.303(d);
    (7) The requirement that a driver submit to alcohol and controlled 
substances tests administered in accordance with this part;
    (8) An explanation of what constitutes a refusal to submit to an 
alcohol or controlled substances test and the attendant consequences;
    (9) The consequences for drivers found to have violated subpart B of 
this part, including the requirement that the driver be removed 
immediately from safety-sensitive functions, and the procedures under 
part 40, subpart O, of this title;
    (10) The consequences for drivers found to have an alcohol 
concentration of 0.02 or greater but less than 0.04;
    (11) Information concerning the effects of alcohol and controlled 
substances use on an individual's health, work, and personal life; signs 
and symptoms of an alcohol or a controlled substances problem (the 
driver's or a co-worker's); and available methods of intervening when an 
alcohol or a controlled substances problem is suspected, including 
confrontation, referral to any employee assistance program and/or 
referral to management; and
    (12) The requirement that the following personal information 
collected and maintained under this part shall be reported to the 
Clearinghouse:
    (i) A verified positive, adulterated, or substituted drug test 
result;
    (ii) An alcohol confirmation test with a concentration of 0.04 or 
higher;
    (iii) A refusal to submit to any test required by subpart C of this 
part;
    (iv) An employer's report of actual knowledge, as defined at Sec.  
382.107:
    (A) On duty alcohol use pursuant to Sec.  382.205;
    (B) Pre-duty alcohol use pursuant to Sec.  382.207;
    (C) Alcohol use following an accident pursuant to Sec.  382.209; and
    (D) Controlled substance use pursuant to Sec.  382.213;
    (v) A substance abuse professional (SAP as defined in Sec.  40.3 of 
this title) report of the successful completion of the return-to-duty 
process;
    (vi) A negative return-to-duty test; and
    (vii) An employer's report of completion of follow-up testing.
    (c) Optional provision. The materials supplied to drivers may also 
include information on additional employer policies with respect to the 
use of alcohol or controlled substances, including any consequences for 
a driver found to have a specified alcohol or controlled substances 
level, that are based on the employer's authority independent of this 
part. Any such additional policies or consequences must be clearly and 
obviously described as being based on independent authority.
    (d) Certificate of receipt. Each employer shall ensure that each 
driver is required to sign a statement certifying that he or she has 
received a copy of these materials described in this section. Each 
employer shall maintain the original of the signed certificate and may 
provide a copy of the certificate to the driver.

[66 FR 43103, Aug. 17, 2001, as amended at 78 FR 58479, Sept. 24, 2013; 
81 FR 87725, Dec. 5, 2016]



Sec.  382.603  Training for supervisors.

    Each employer shall ensure that all persons designated to supervise 
drivers receive at least 60 minutes of training on alcohol misuse and 
receive at least an additional 60 minutes of training on controlled 
substances use. The training will be used by the supervisors to 
determine whether reasonable suspicion exists to require a driver to 
undergo testing under Sec.  382.307. The training shall include the 
physical, behavioral, speech, and performance indicators of probable 
alcohol misuse and use of controlled substances. Recurrent training for 
supervisory personnel is not required.



Sec.  382.605  Referral, evaluation, and treatment.

    The requirements for referral, evaluation, and treatment must be 
performed in accordance with 49 CFR part 40, Subpart O.

[[Page 225]]



    Subpart G_Requirements and Procedures for Implementation of the 
       Commercial Driver's License Drug and Alcohol Clearinghouse

    Source: 81 FR 87725, Dec. 5, 2016, unless otherwise noted.



Sec.  382.701  Drug and Alcohol Clearinghouse.

    (a) Pre-employment query required. (1) Employers must not employ a 
driver subject to controlled substances and alcohol testing under this 
part to perform a safety-sensitive function without first conducting a 
pre-employment query of the Clearinghouse to obtain information about 
whether the driver has a verified positive, adulterated, or substituted 
controlled substances test result; has an alcohol confirmation test with 
a concentration of 0.04 or higher; has refused to submit to a test in 
violation of Sec.  382.211; or that an employer has reported actual 
knowledge, as defined at Sec.  382.107, that the driver used alcohol on 
duty in violation of Sec.  382.205, used alcohol before duty in 
violation of Sec.  382.207, used alcohol following an accident in 
violation of Sec.  382.209, or used a controlled substance, in violation 
of Sec.  382.213.
    (2) The employer must conduct a full query under this section, which 
releases information in the Clearinghouse to an employer and requires 
that the individual driver give specific consent.
    (b) Annual query required. (1) Employers must conduct a query of the 
Clearinghouse at least once per year for information for all employees 
subject to controlled substance and alcohol testing under this part to 
determine whether information exists in the Clearinghouse about those 
employees.
    (2) In lieu of a full query, as described in paragraph (a)(2) of 
this section, an employer may obtain the individual driver's consent to 
conduct a limited query to satisfy the annual query requirement in 
paragraph (b)(1) of this section. The limited query will tell the 
employer whether there is information about the individual driver in the 
Clearinghouse, but will not release that information to the employer. 
The individual driver may give consent to conduct limited queries that 
is effective for more than one year.
    (3) If the limited query shows that information exists in the 
Clearinghouse about the individual driver, the employer must conduct a 
full query, in accordance with paragraph (a)(2) of this section, within 
24 hours of conducting the limited query. If the employer fails to 
conduct a full query within 24 hours, the employer must not allow the 
driver to continue to perform any safety-sensitive function until the 
employer conducts the full query and the results confirm that the 
driver's Clearinghouse record contains no prohibitions as defined in 
paragraph (d) of this section.
    (c) Employer notification. If any information described in paragraph 
(a) of this section is entered into the Clearinghouse about a driver 
during the 30-day period immediately following an employer conducting a 
query of that driver's records, FMCSA will notify the employer.
    (d) Prohibition. No employer may allow a driver to perform any 
safety-sensitive function if the results of a Clearinghouse query 
demonstrate that the driver has a verified positive, adulterated, or 
substituted controlled substances test result; has an alcohol 
confirmation test with a concentration of 0.04 or higher; has refused to 
submit to a test in violation of Sec.  382.211; or that an employer has 
reported actual knowledge, as defined at Sec.  382.107, that the driver 
used alcohol on duty in violation of Sec.  382.205, used alcohol before 
duty in violation of Sec.  382.207, used alcohol following an accident 
in violation of Sec.  382.209, or used a controlled substance in 
violation of Sec.  382.213, except where a query of the Clearinghouse 
demonstrates:
    (1) That the driver has successfully completed the SAP evaluation, 
referral, and education/treatment process set forth in part 40, subpart 
O, of this title; achieves a negative return-to-duty test result; and 
completes the follow-up testing plan prescribed by the SAP.
    (2) That, if the driver has not completed all follow-up tests as 
prescribed by the SAP in accordance with Sec.  40.307 of this title and 
specified in the SAP report required by Sec.  40.311 of this title,

[[Page 226]]

the driver has completed the SAP evaluation, referral, and education/
treatment process set forth in part 40, subpart O, of this title and 
achieves a negative return-to-duty test result, and the employer assumes 
the responsibility for managing the follow-up testing process associated 
with the testing violation.
    (e) Recordkeeping required. Employers must retain for 3 years a 
record of each query and all information received in response to each 
query made under this section. As of January 6, 2023, an employer who 
maintains a valid registration fulfills this requirement.



Sec.  382.703  Driver consent to permit access to information in the
Clearinghouse.

    (a) No employer may query the Clearinghouse to determine whether a 
record exists for any particular driver without first obtaining that 
driver's written or electronic consent. The employer conducting the 
search must retain the consent for 3 years from the date of the last 
query.
    (b) Before the employer may access information contained in the 
driver's Clearinghouse record, the driver must submit electronic consent 
through the Clearinghouse granting the employer access to the following 
specific records:
    (1) A verified positive, adulterated, or substituted controlled 
substances test result;
    (2) An alcohol confirmation test with a concentration of 0.04 or 
higher;
    (3) A refusal to submit to a test in violation of Sec.  382.211;
    (4) An employer's report of actual knowledge, as defined at Sec.  
382.107, of:
    (i) On duty alcohol use pursuant to Sec.  382.205;
    (ii) Pre-duty alcohol use pursuant to Sec.  382.207;
    (iii) Alcohol use following an accident pursuant to Sec.  382.209; 
and
    (iv) Controlled substance use pursuant to Sec.  382.213;
    (5) A SAP report of the successful completion of the return-to-duty 
process;
    (6) A negative return-to-duty test; and
    (7) An employer's report of completion of follow-up testing.
    (c) No employer may permit a driver to perform a safety-sensitive 
function if the driver refuses to grant the consent required by 
paragraphs (a) and (b) of this section.
    (d) A driver granting consent under this section must provide 
consent electronically to the Agency through the Clearinghouse prior to 
release of information to an employer in accordance with Sec.  
382.701(a)(2) or (b)(3).
    (e) A driver granting consent under this section grants consent for 
the Agency to release information to an employer in accordance with 
Sec.  382.701(c).



Sec.  382.705  Reporting to the Clearinghouse.

    (a) MROs. (1) Within 2 business days of making a determination or 
verification, MROs must report the following information about a driver 
to the Clearinghouse:
    (i) Verified positive, adulterated, or substituted controlled 
substances test results;
    (ii) Refusal-to-test determination by the MRO in accordance with 49 
CFR 40.191(a)(5), (7), and (11), (b), and (d)(2).
    (2) MROs must provide the following information for each controlled 
substances test result specified in paragraph (a)(1) of this section:
    (i) Reason for the test;
    (ii) Federal Drug Testing Custody and Control Form specimen ID 
number;
    (iii) Driver's name, date of birth, and CDL number and State of 
issuance;
    (iv) Employer's name, address, and USDOT number, if applicable;
    (v) Date of the test;
    (vi) Date of the verified result; and
    (vii) Test result. The test result must be one of the following:
    (A) Positive (including the controlled substance(s) identified);
    (B) Refusal to test: Adulterated;
    (C) Refusal to test: Substituted; or
    (D) Refusal to provide a sufficient specimen after the MRO makes a 
determination, in accordance with Sec.  40.193 of this title, that the 
employee does not have a medical condition that has, or with a high 
degree of probability could have, precluded the employee from providing 
a sufficient amount of urine. Under this subpart a refusal would also 
include a refusal to undergo a medical

[[Page 227]]

examination or evaluation to substantiate a qualifying medical 
condition.
    (3) Within 1 business day of making any change to the results report 
in accordance with paragraph (a)(1) of this section, a MRO must report 
that changed result to the Clearinghouse.
    (b) Employers. (1) Employers must report the following information 
about a driver to the Clearinghouse by the close of the third business 
day following the date on which they obtained that information:
    (i) An alcohol confirmation test result with an alcohol 
concentration of 0.04 or greater;
    (ii) A negative return-to-duty test result;
    (iii) A refusal to take an alcohol test pursuant to 49 CFR 40.261;
    (iv) A refusal to test determination made in accordance with 49 CFR 
40.191(a)(1) through (4), (a)(6), (a)(8) through (11), or (d)(1), but in 
the case of a refusal to test under (a)(11), the employer may report 
only those admissions made to the specimen collector; and
    (v) A report that the driver has successfully completed all follow-
up tests as prescribed in the SAP report in accordance with Sec. Sec.  
40.307, 40.309, and 40.311 of this title.
    (2) The information required to be reported under paragraph (b)(1) 
of this section must include, as applicable:
    (i) Reason for the test;
    (ii) Driver's name, date of birth, and CDL number and State of 
issuance;
    (iii) Employer name, address, and USDOT number;
    (iv) Date of the test;
    (v) Date the result was reported; and
    (vi) Test result. The test result must be one of the following:
    (A) Negative (only required for return-to-duty tests administered in 
accordance with Sec.  382.309);
    (B) Positive; or
    (C) Refusal to take a test.
    (3) For each report of a violation of 49 CFR 40.261(a)(1) or 
40.191(a)(1), the employer must report the following information:
    (i) Documentation, including, but not limited to, electronic mail or 
other contemporaneous record of the time and date the driver was 
notified to appear at a testing site; and the time, date and testing 
site location at which the employee was directed to appear, or an 
affidavit providing evidence of such notification;
    (ii) Documentation, including, but not limited to, electronic mail 
or other correspondence, or an affidavit, indicating the date the 
employee was terminated or resigned (if applicable);
    (iii) Documentation, including, but not limited to, electronic mail 
or other correspondence, or an affidavit, showing that the C/TPA 
reporting the violation was designated as a service agent for an 
employer who employs himself/herself as a driver pursuant to paragraph 
(b)(6) of this section when the reported refusal occurred (if 
applicable); and
    (iv) Documentation, including a certificate of service or other 
evidence, showing that the employer provided the employee with all 
documentation reported under paragraph (b)(3) of this section.
    (4) Employers must report the following violations by the close of 
the third business day following the date on which the employer obtains 
actual knowledge, as defined at Sec.  382.107, of:
    (i) On-duty alcohol use pursuant to Sec.  382.205;
    (ii) Pre-duty alcohol use pursuant to Sec.  382.207;
    (iii) Alcohol use following an accident pursuant to Sec.  382.209; 
and
    (iv) Controlled substance use pursuant to Sec.  382.213.
    (5) For each violation in paragraph (b)(4) of this section, the 
employer must report the following information:
    (i) Driver's name, date of birth, CDL number and State of issuance;
    (ii) Employer name, address, and USDOT number, if applicable;
    (iii) Date the employer obtained actual knowledge of the violation;
    (iv) Witnesses to the violation, if any, including contact 
information;
    (v) Description of the violation;
    (vi) Evidence supporting each fact alleged in the description of the 
violation required under paragraph (b)(4) of this section, which may 
include, but is not limited to, affidavits, photographs, video or audio 
recordings, employee statements (other than admissions pursuant to Sec.  
382.121), correspondence, or other documentation; and

[[Page 228]]

    (vii) A certificate of service or other evidence showing that the 
employer provided the employee with all information reported under 
paragraph (b)(4) of this section.
    (6) An employer who employs himself/herself as a driver must 
designate a C/TPA to comply with the employer requirements in paragraph 
(b) of this section related to his or her own alcohol and controlled 
substances use.
    (c) C/TPAs. Any employer may designate a C/TPA to perform the 
employer requirements in paragraph (b) of this section. Regardless of 
whether it uses a C/TPA to perform its requirements, the employer 
retains ultimate responsibility for compliance with this section. 
Exception: An employer does not retain responsibility where the C/TPA is 
designated to comply with employer requirements as described in 
paragraph (b)(6) of this section.
    (d) SAPs. (1) SAPs must report to the Clearinghouse for each driver 
who has completed the return-to-duty process in accordance with 49 CFR 
part 40, subpart O, the following information:
    (i) SAPs name, address, and telephone number;
    (ii) Driver's name, date of birth, and CDL number and State of 
issuance;
    (iii) Date of the initial substance-abuse-professional assessment; 
and
    (iv) Date the SAP determined that the driver demonstrated successful 
compliance as defined in 49 CFR part 40, subpart O, and was eligible for 
return-to-duty testing under this part.
    (2) SAP must report the information required by paragraphs (d)(1)(i) 
through (iii) of this section by the close of the business day following 
the date of the initial substance abuse assessment, and must report the 
information required by paragraph (d)(1)(iv) of this section by the 
close of the business day following the determination that the driver 
has completed the return-to-duty process.
    (e) Reporting truthfully and accurately. Every person or entity with 
access must report truthfully and accurately to the Clearinghouse and is 
expressly prohibited from reporting information he or she knows or 
should know is false or inaccurate.

                  Reporting Entities and Circumstances
------------------------------------------------------------------------
                                    When information will be reported to
         Reporting entity                       clearinghouse
------------------------------------------------------------------------
Prospective/Current Employer of     --An alcohol confirmation test with
 CDL Driver.                         a concentration of 0.04 or higher.
                                    --Refusal to test (alcohol) as
                                     specified in 49 CFR 40.261.
                                    --Refusal to test (drug) not
                                     requiring a determination by the
                                     MRO as specified in 49 CFR 40.191.
                                    --Actual knowledge, as defined in 49
                                     CFR 382.107, that a driver has used
                                     alcohol on duty, used alcohol
                                     within four hours of coming on
                                     duty, used alcohol prior to post-
                                     accident testing, or has used a
                                     controlled substance.
                                    --Negative return-to-duty test
                                     results (drug and alcohol testing,
                                     as applicable)
                                    --Completion of follow-up testing.
Service Agent acting on behalf of   --An alcohol confirmation test with
 Current Employer of CDL Driver.     a concentration of 0.04 or higher.
                                    --Refusal to test (alcohol) as
                                     specified in 49 CFR 40.261.
                                    --Refusal to test (drug) not
                                     requiring a determination by the
                                     MRO as specified in 49 CFR 40.191.
                                    --Actual knowledge, as defined in 49
                                     CFR 382.107, that a driver has used
                                     alcohol on duty, used alcohol
                                     within four hours of coming on
                                     duty, used alcohol prior to post-
                                     accident testing, or has used a
                                     controlled substance.
                                    --Negative return-to-duty test
                                     results (drug and alcohol testing,
                                     as applicable)
                                    --Completion of follow-up testing.
MRO...............................  --Verified positive, adulterated, or
                                     substituted drug test result.
                                    --Refusal to test (drug) requiring a
                                     determination by the MRO as
                                     specified in 49 CFR 40.191.
SAP...............................  --Identification of driver and date
                                     the initial assessment was
                                     initiated.
                                    --Successful completion of treatment
                                     and/or education and the
                                     determination of eligibility for
                                     return-to-duty testing.
------------------------------------------------------------------------


[[Page 229]]



Sec.  382.707  Notice to drivers of entry, revision, removal, or
release of information.

    (a) FMCSA must notify a driver when information concerning that 
driver has been added to, revised, or removed from the Clearinghouse.
    (b) FMCSA must notify a driver when information concerning that 
driver has been released from the Clearinghouse to an employer and 
specify the reason for the release.
    (c) Drivers will be notified by letter sent by U.S. Mail to the 
address on record with the State Driver Licensing Agency that issued the 
driver's commercial driver's license. Exception: A driver may provide 
the Clearinghouse with an alternative means or address for notification, 
including electronic mail.



Sec.  382.709  Drivers' access to information in the Clearinghouse.

    A driver may review information in the Clearinghouse about himself 
or herself, except as otherwise restricted by law or regulation. A 
driver must register with the Clearinghouse before accessing his or her 
information.



Sec.  382.711  Clearinghouse registration.

    (a) Clearinghouse registration required. Each employer and service 
agent must register with the Clearinghouse before accessing or reporting 
information in the Clearinghouse.
    (b) Employers. (1) Employer Clearinghouse registration must include:
    (i) Name, address, and telephone number;
    (ii) USDOT number, except if the registrant does not have a USDOT 
Number, it may be requested to provide other information to verify 
identity; and
    (iii) Name of the person(s) the employer authorizes to report 
information to or obtain information from the Clearinghouse and any 
additional information FMCSA needs to validate his or her identity.
    (2) Employers must verify the names of the person(s) authorized 
under paragraph (b)(1)(iii) of this section annually.
    (3) Identification of the C/TPA or other service agent used to 
comply with the requirements of this part, if applicable, and 
authorization for the C/TPA to query or report information to the 
Clearinghouse. Employers must update any changes to this information 
within 10 days.
    (c) MROs and SAPs. Each MRO or SAP must provide the following to 
apply for Clearinghouse registration:
    (1) Name, address, telephone number, and any additional information 
FMCSA needs to validate the applicant's identity;
    (2) A certification that the applicant's access to the Clearinghouse 
is conditioned on his or her compliance with the applicable 
qualification and/or training requirements in 49 CFR part 40; and
    (3) Evidence of required professional credentials to verify that the 
applicant currently meets the applicable qualification and/or training 
requirements in 49 CFR part 40.
    (d) C/TPAs and other service agents. Each consortium/third party 
administrator or other service agent must provide the following to apply 
for Clearinghouse registration:
    (1) Name, address, telephone number, and any additional information 
FMCSA needs to validate the applicant's identity; and
    (2) Name, title, and telephone number of the person(s) authorized to 
report information to and obtain information from the Clearinghouse.
    (3) Each C/TPA or other service agent must verify the names of the 
person(s) authorized under paragraph (d)(2) of this section annually.



Sec.  382.713  Duration, cancellation, and revocation of access.

    (a) Term. Clearinghouse registration is valid for 5 years, unless 
cancelled or revoked.
    (b) Cancellation. FMCSA will cancel Clearinghouse registrations for 
anyone who has not queried or reported to the Clearinghouse for 2 years.
    (c) Revocation. FMCSA has the right to revoke the Clearinghouse 
registration of anyone who fails to comply with any of the prescribed 
rights and restrictions on access to the Clearinghouse, including but 
not limited to, submission of inaccurate or false information and misuse 
or misappropriation

[[Page 230]]

of access rights or protected information from the Clearinghouse and 
failure to maintain the requisite qualifications, certifications and/or 
training requirements as set forth in part 40 of this title.



Sec.  382.715  Authorization to enter information into the Clearinghouse.

    (a) C/TPAs. No C/TPA or other service agent may enter information 
into the Clearinghouse on an employer's behalf unless the employer 
designates the C/TPA or other service agent.
    (b) SAPs. A driver must designate a SAP before that SAP can enter 
any information about the driver's return-to-duty process into the 
Clearinghouse.



Sec.  382.717  Procedures for correcting information in the database.

    (a) Petitions limited to inaccurately reported information. (1) 
Under this section, petitioners may challenge only the accuracy of 
information reporting, not the accuracy of test results or refusals.
    (2) Exceptions. (i) Petitioners may request that FMCSA remove from 
the Clearinghouse an employer's report of actual knowledge that the 
driver received a traffic citation for driving a commercial motor 
vehicle while under the influence of alcohol or controlled substances if 
the citation did not result in a conviction. For the purposes of this 
section, conviction has the same meaning as used in 49 CFR part 383.
    (ii) Petitioners may request that FMCSA remove from the 
Clearinghouse an employer's report of actual knowledge (other than as 
provided for in paragraph (a)(2)(i) of this section) if that report does 
not comply with the reporting requirements in Sec.  382.705(b)(5).
    (iii) Petitioners may request that FMCSA remove from the 
Clearinghouse an employer's report of a violation under 49 CFR 
40.261(a)(1) or 40.191(a)(1) if that report does not comply with the 
reporting requirements in Sec.  382.705(b)(3).
    (b) Petition. Any driver or authorized representative of the driver 
may submit a petition to the FMCSA contesting the accuracy of 
information in the Clearinghouse. The petition must include:
    (1) The petitioner's name, address, telephone number, and CDL number 
and State of issuance;
    (2) Detailed description of the basis for the allegation that the 
information is not accurate; and
    (3) Evidence supporting the allegation that the information is not 
accurate. Failure to submit evidence is cause for dismissing the 
petition.
    (c) Submission of petition. The petitioner may submit his/her 
petition electronically through the Clearinghouse or in writing to: 
Federal Motor Carrier Safety Administration, Office of Enforcement and 
Compliance, Attention: Drug and Alcohol Program Manager, 1200 New Jersey 
Avenue SE., Washington, DC 20590.
    (d) Notice of decision. Within 45 days of receiving a complete 
petition, FMCSA will inform the driver in writing of its decision to 
remove, retain, or correct the information in the database and provide 
the basis for the decision.
    (e) Request for expedited treatment. (1) A driver may request 
expedited treatment to correct inaccurate information in his or her 
Clearinghouse record under paragraph (a)(1) of this section if the 
inaccuracy is currently preventing him or her from performing safety-
sensitive functions, or to remove employer reports under paragraph 
(a)(2) of this section if such reports are currently preventing him or 
her from performing safety-sensitive functions. This request may be 
included in the original petition or as a separate document.
    (2) If FMCSA grants expedited treatment, it will subsequently inform 
the driver of its decision in writing within 14 days of receipt of a 
complete petition.
    (f) Administrative review. (1) A driver may request FMCSA to conduct 
an administrative review if he or she believes that a decision made in 
accordance with paragraph (d) or (e) of this section was in error.
    (2) The request must prominently state at the top of the document: 
``Administrative Review of Drug and Alcohol Clearinghouse Decision'' and 
the driver may submit his/her request electronically through the 
Clearinghouse

[[Page 231]]

or in writing to the Associate Administrator for Enforcement (MC-E), 
Federal Motor Carrier Safety Administration, 1200 New Jersey Ave. SE., 
Washington, DC 20590.
    (3) The driver's request must explain the error he or she believes 
FMCSA committed and provide information and/or documents to support his 
or her argument.
    (4) FMCSA will complete its administrative review no later than 30 
days after receiving the driver's request for review. The Associate 
Administrator's decision will constitute the final Agency action.
    (g) Subsequent notification to employers. When information is 
corrected or removed in accordance with this section, or in accordance 
with 49 CFR part 10, FMCSA will notify any employer that accessed the 
incorrect information that a correction or removal was made.



Sec.  382.719  Availability and removal of information.

    (a) Driver information not available. Information about a driver's 
drug or alcohol violation will not be available to an employer 
conducting a query of the Clearinghouse after all of the following 
conditions relating to the violation are satisfied:
    (1) The SAP reports to the Clearinghouse the information required in 
Sec.  382.705(d);
    (2) The employer reports to the Clearinghouse that the driver's 
return-to-duty test results are negative;
    (3) The driver's current employer reports that the driver has 
successfully completed all follow-up tests as prescribed in the SAP 
report in accordance with Sec. Sec.  40.307, 40.309, and 40.311 of this 
title; and
    (4) Five years have passed since the date of the violation 
determination.
    (b) Driver information remains available. Information about a 
particular driver's drug or alcohol violation will remain available to 
employers conducting a query until all requirements in paragraph (a) of 
this section have been met.
    (c) Exceptions. (1) Within 2 business days of granting a request for 
removal pursuant to Sec.  382.717(a)(2)(i), FMCSA will remove 
information from the Clearinghouse.
    (2) Information about a particular driver's drug or alcohol 
violation may be removed in accordance with Sec.  382.717(a)(2)(ii) and 
(iii) or in accordance with 49 CFR part 10.
    (d) Driver information remains available. Nothing in this part shall 
prevent FMCSA from using information removed under this section for 
research, auditing, or enforcement purposes.



Sec.  382.721  Fees.

    FMCSA may collect a reasonable fee from entities required to query 
the Clearinghouse. Exception: No driver may be required to pay a fee to 
access his or her own information in the Clearinghouse.



Sec.  382.723  Unauthorized access or use prohibited.

    (a) Except as expressly authorized in this subpart, no person or 
entity may access the Clearinghouse. No person or entity may share, 
distribute, publish, or otherwise release any information in the 
Clearinghouse except as specifically authorized by law. No person may 
report inaccurate or misleading information to the Clearinghouse.
    (b) An employer's use of information received from the Clearinghouse 
is limited to determining whether a prohibition applies to a driver 
performing a safety-sensitive function with respect to a commercial 
motor vehicle. No employer may divulge or permit any other person or 
entity to divulge any information from the Clearinghouse to any person 
or entity not directly involved in determining whether a prohibition 
applies to a driver performing a safety-sensitive function with respect 
to a commercial motor vehicle.
    (c) Violations of this section are subject to civil and criminal 
penalties in accordance with applicable law, including those set forth 
at Sec.  382.507.
    (d) Nothing in this part shall prohibit FMCSA from accessing 
information about individual drivers in the Clearinghouse for research, 
auditing, or enforcement purposes.

[[Page 232]]



Sec.  382.725  Access by State licensing authorities.

    (a) In order to determine whether a driver is qualified to operate a 
commercial motor vehicle, the chief commercial driver's licensing 
official of a State must obtain the driver's record from the 
Clearinghouse if the driver has applied for a commercial driver's 
license from that State.
    (b) By applying for a commercial driver's license, a driver is 
deemed to have consented to the release of information from the 
Clearinghouse in accordance with this section.
    (c) The chief commercial driver's licensing official's use of 
information received from the Clearinghouse is limited to determining an 
individual's qualifications to operate a commercial motor vehicle. No 
chief driver's licensing official may divulge or permit any other person 
or entity to divulge any information from the Clearinghouse to any 
person or entity not directly involved in determining an individual's 
qualifications to operate a commercial motor vehicle.
    (d) A chief commercial driver's licensing official who does not take 
appropriate safeguards to protect the privacy and confidentiality of 
information obtained under this section is subject to revocation of his 
or her right of access under this section.



Sec.  382.727  Penalties.

    An employer, employee, MRO, or service agent who violates any 
provision of this subpart shall be subject to the civil and/or criminal 
penalty provisions of 49 U.S.C. 521(b)(2)(C).



PART 383_COMMERCIAL DRIVER'S LICENSE STANDARDS; REQUIREMENTS AND
PENALTIES--Table of Contents



                            Subpart A_General

Sec.
383.1 Purpose and scope.
383.3 Applicability.
383.5 Definitions.
383.7 Validity of CDL issued by decertified State.

                  Subpart B_Single License Requirement

383.21 Number of drivers' licenses.
383.23 Commercial driver's license.
383.25 Commercial learner's permit (CLP).

    Subpart C_Notification Requirements and Employer Responsibilities

383.31 Notification of convictions for driver violations.
383.33 Notification of driver's license suspensions.
383.35 Notification of previous employment.
383.37 Employer responsibilities.

            Subpart D_Driver Disqualifications and Penalties

383.51 Disqualification of drivers.
383.52 Disqualification of drivers determined to constitute an imminent 
          hazard.
383.53 Penalties.

               Subpart E_Testing and Licensing Procedures

383.71 Driver application and certification procedures.
383.72 Implied consent to alcohol testing.
383.73 State procedures.
383.75 Third party testing.
383.77 Substitute for driving skills tests for drivers with military CMV 
          experience.
383.79 Skills testing of out-of-State students; Knowledge and skills 
          testing of military personnel.

                Subpart F_Vehicle Groups and Endorsements

383.91 Commercial motor vehicle groups.
383.93 Endorsements.
383.95 Restrictions.

                 Subpart G_Required Knowledge and Skills

383.110 General requirement.
383.111 Required knowledge.
383.113 Required skills.
383.115 Requirements for double/triple trailers endorsement.
383.117 Requirements for passenger endorsement.
383.119 Requirements for tank vehicle endorsement.
383.121 Requirements for hazardous materials endorsement.
383.123 Requirements for a school bus endorsement.

                             Subpart H_Tests

383.131 Test manuals.
383.133 Testing methods.

[[Page 233]]

383.135 Passing knowledge and skills tests.

    Subpart I_Requirement for Transportation Security Administration 
          approval of hazardous materials endorsement issuances

383.141 General.

 Subpart J_Commercial Learner's Permit and Commercial Driver's License 
                                Documents

383.151 General.
383.153 Information on the CLP and CDL documents and applications.
383.155 Tamperproofing requirements.

    Authority: 49 U.S.C. 521, 31136, 31301 et seq., and 31502; secs. 214 
and 215 of Pub. L. 106-159, 113 Stat. 1748, 1766, 1767; sec. 1012(b) of 
Pub. L. 107-56, 115 Stat. 272, 297, sec. 4140 of Pub. L. 109-59, 119 
Stat. 1144, 1746; sec. 32934 of Pub. L. 112-141, 126 stat. 405, 830; and 
49 CFR 1.87.

    Source: 52 FR 20587, June 1, 1987, unless otherwise noted.

    Editorial Note: Nomenclature changes to part 383 appear at 66 FR 
49872, Oct. 1, 2001.



                            Subpart A_General



Sec.  383.1  Purpose and scope.

    (a) The purpose of this part is to help reduce or prevent truck and 
bus accidents, fatalities, and injuries by requiring drivers to have a 
single commercial motor vehicle driver's license and by disqualifying 
drivers who operate commercial motor vehicles in an unsafe manner.
    (b) This part:
    (1) Prohibits a commercial motor vehicle driver from having more 
than one commercial motor vehicle driver's license;
    (2) Requires a driver to notify the driver's current employer and 
the driver's State of domicile of certain convictions;
    (3) Requires that a driver provide previous employment information 
when applying for employment as an operator of a commercial motor 
vehicle;
    (4) Prohibits an employer from allowing a person with a suspended 
license to operate a commercial motor vehicle;
    (5) Establishes periods of disqualification and penalties for those 
persons convicted of certain criminal and other offenses and serious 
traffic violations, or subject to any suspensions, revocations, or 
cancellations of certain driving privileges;
    (6) Establishes testing and licensing requirements for commercial 
motor vehicle operators;
    (7) Requires States to give knowledge and skills tests to all 
qualified applicants for commercial drivers' licenses which meet the 
Federal standard;
    (8) Sets forth commercial motor vehicle groups and endorsements;
    (9) Sets forth the knowledge and skills test requirements for the 
motor vehicle groups and endorsements;
    (10) Sets forth the Federal standards for procedures, methods, and 
minimum passing scores for States and others to use in testing and 
licensing commercial motor vehicle operators; and
    (11) Establishes requirements for the State issued commercial 
license documentation.

[52 FR 20587, June 1, 1987, as amended at 53 FR 27648, July 21, 1988; 54 
FR 40787, Oct. 3, 1989]



Sec.  383.3  Applicability.

    (a) The rules in this part apply to every person who operates a 
commercial motor vehicle (CMV) in interstate, foreign, or intrastate 
commerce, to all employers of such persons, and to all States.
    (b) The exceptions contained in Sec.  390.3(f) of this subchapter do 
not apply to this part. The employers and drivers identified in Sec.  
390.3(f) must comply with the requirements of this part, unless 
otherwise provided in this section.
    (c) Exception for certain military drivers. Each State must exempt 
from the requirements of this part individuals who operate CMVs for 
military purposes. This exception is applicable to active duty military 
personnel; members of the military reserves; member of the national 
guard on active duty, including personnel on full-time national guard 
duty, personnel on part-time national guard training, and national guard 
military technicians (civilians who are required to wear military 
uniforms); and active duty U.S. Coast Guard personnel. This exception is 
not applicable to U.S. Reserve technicians.
    (d) Exception for farmers, firefighters, emergency response vehicle 
drivers, and drivers removing snow and ice. A State

[[Page 234]]

may, at its discretion, exempt individuals identified in paragraphs 
(d)(1), (d)(2), and (d)(3) of this section from the requirements of this 
part. The use of this waiver is limited to the driver's home State 
unless there is a reciprocity agreement with adjoining States.
    (1) Operators of a farm vehicle which is:
    (i) Controlled and operated by a farmer, including operation by 
employees or family members;
    (ii) Used to transport either agricultural products, farm machinery, 
farm supplies, or both to or from a farm;
    (iii) Not used in the operations of a for-hire motor carrier, except 
for an exempt motor carrier as defined in Sec.  390.5 of this 
subchapter; and
    (iv) Used within 241 kilometers (150 miles) of the farmer's farm.
    (2) Firefighters and other persons who operate CMVs which are 
necessary to the preservation of life or property or the execution of 
emergency governmental functions, are equipped with audible and visual 
signals and are not subject to normal traffic regulation. These vehicles 
include fire trucks, hook and ladder trucks, foam or water transport 
trucks, police SWAT team vehicles, ambulances, or other vehicles that 
are used in response to emergencies.
    (3)(i) A driver, employed by an eligible unit of local government, 
operating a commercial motor vehicle within the boundaries of that unit 
for the purpose of removing snow or ice from a roadway by plowing, 
sanding, or salting, if
    (A) The properly licensed employee who ordinarily operates a 
commercial motor vehicle for these purposes is unable to operate the 
vehicle; or
    (B) The employing governmental entity determines that a snow or ice 
emergency exists that requires additional assistance.
    (ii) This exemption shall not preempt State laws and regulations 
concerning the safe operation of commercial motor vehicles.
    (e) Restricted commercial drivers license (CDL) for certain drivers 
in the State of Alaska. (1) The State of Alaska may, at its discretion, 
waive only the following requirements of this part and issue a CDL to 
each driver that meets the conditions set forth in paragraphs (e) (2) 
and (3) of this section:
    (i) The knowledge tests standards for testing procedures and methods 
of subpart H, but must continue to administer knowledge tests that 
fulfill the content requirements of subpart G for all applicants;
    (ii) All the skills test requirements; and
    (iii) The requirement under Sec.  383.153(a)(4) to have a photograph 
on the license document.
    (2) Drivers of CMVs in the State of Alaska must operate exclusively 
over roads that meet both of the following criteria to be eligible for 
the exception in paragraph (e)(1) of this section:
    (i) Such roads are not connected by land highway or vehicular way to 
the land-connected State highway system; and
    (ii) Such roads are not connected to any highway or vehicular way 
with an average daily traffic volume greater than 499.
    (3) Any CDL issued under the terms of this paragraph must carry two 
restrictions:
    (i) Holders may not operate CMVs over roads other than those 
specified in paragraph (e)(2) of this section; and
    (ii) The license is not valid for CMV operation outside the State of 
Alaska.
    (f) Restricted CDL for certain drivers in farm-related service 
industries. (1) A State may, at its discretion, waive the required 
knowledge and skills tests of subpart H of this part and issue 
restricted CDLs to employees of these designated farm-related service 
industries:
    (i) Agri-chemical businesses;
    (ii) Custom harvesters;
    (iii) Farm retail outlets and suppliers;
    (iv) Livestock feeders.
    (2) A restricted CDL issued pursuant to this paragraph shall meet 
all the requirements of this part, except subpart H of this part. A 
restricted CDL issued pursuant to this paragraph shall be accorded the 
same reciprocity as a CDL meeting all of the requirements of this part. 
The restrictions imposed upon the issuance of this restricted CDL shall 
not limit a person's use of the CDL in a non-CMV during either validated 
or non-validated periods, nor

[[Page 235]]

shall the CDL affect a State's power to administer its driver licensing 
program for operators of vehicles other than CMVs.
    (3) A State issuing a CDL under the terms of this paragraph must 
restrict issuance as follows:
    (i) Applicants must have a good driving record as defined in this 
paragraph. Drivers who have not held any motor vehicle operator's 
license for at least one year shall not be eligible for this CDL. 
Drivers who have between one and two years of driving experience must 
demonstrate a good driving record for their entire driving history. 
Drivers with more than two years of driving experience must have a good 
driving record for the two most recent years. For the purposes of this 
paragraph, the term good driving record means that an applicant:
    (A) Has not had more than one license;
    (B) Has not had any license suspended, revoked, or canceled;
    (C) Has not had any conviction for any type of motor vehicle for the 
disqualifying offenses contained in Sec.  383.51(b);
    (D) Has not had any conviction for any type of motor vehicle for 
serious traffic violations; and
    (E) Has not had any conviction for a violation of State or local law 
relating to motor vehicle traffic control (other than a parking 
violation) arising in connection with any traffic accident, and has no 
record of an accident in which he/she was at fault.
    (ii) Restricted CDLs shall have the same renewal cycle as 
unrestricted CDLs, but shall be limited to the seasonal period or 
periods as defined by the State of licensure, provided that the total 
number of calendar days in any 12-month period for which the restricted 
CDL is valid does not exceed 180. If a State elects to provide for more 
than one seasonal period, the restricted CDL is valid for commercial 
motor vehicle operation only during the currently approved season, and 
must be revalidated for each successive season. Only one seasonal period 
of validity may appear on the license document at a time. The good 
driving record must be confirmed prior to any renewal or revalidation.
    (iii) Restricted CDL holders are limited to operating Group B and C 
vehicles, as described in subpart F of this part.
    (iv) Restricted CDLs shall not be issued with any endorsements on 
the license document. Only the limited tank vehicle and hazardous 
materials endorsement privileges that the restricted CDL automatically 
confers and are described in paragraph (f)(3)(v) of this section are 
permitted.
    (v) Restricted CDL holders may not drive vehicles carrying any 
placardable quantities of hazardous materials, except for diesel fuel in 
quantities of 3,785 liters (1,000 gallons) or less; liquid fertilizers 
(i.e., plant nutrients) in vehicles or implements of husbandry in total 
quantities of 11,355 liters (3,000 gallons) or less; and solid 
fertilizers (i.e., solid plant nutrients) that are not transported with 
any organic substance.
    (vi) Restricted CDL holders may not hold an unrestricted CDL at the 
same time.
    (vii) Restricted CDL holders may not operate a commercial motor 
vehicle beyond 241 kilometers (150 miles) from the place of business or 
the farm currently being served.
    (g) Restricted CDL for certain drivers in the pyrotechnic industry. 
(1) A State may, at its discretion, waive the required hazardous 
materials knowledge tests of subpart H of this part and issue restricted 
CDLs to part-time drivers operating commercial motor vehicles 
transporting less than 227 kilograms (500 pounds) of fireworks 
classified as DOT Class 1.3G explosives.
    (2) A State issuing a CDL under the terms of this paragraph must 
restrict issuance as follows:
    (i) The GVWR of the vehicle to be operated must be less than 4,537 
kilograms (10,001 pounds);
    (ii) If a State believes, at its discretion, that the training 
required by Sec.  172.704 of this title adequately prepares part-time 
drivers meeting the other requirements of this paragraph to deal with 
fireworks and the other potential dangers posed by fireworks 
transportation and use, the State may waive the hazardous materials 
knowledge tests of subpart H of this part.

[[Page 236]]

The State may impose any requirements it believes is necessary to ensure 
itself that a driver is properly trained pursuant to Sec.  172.704 of 
this title.
    (iii) A restricted CDL document issued pursuant to this paragraph 
shall have a statement clearly imprinted on the face of the document 
that is substantially similar as follows: ``For use as a CDL only during 
the period from June 30 through July 6 for purposes of transporting less 
than 227 kilograms (500 pounds) of fireworks classified as DOT Class 
1.3G explosives in a vehicle with a GVWR of less than 4,537 kilograms 
(10,001 pounds).
    (3) A restricted CDL issued pursuant to this paragraph shall meet 
all the requirements of this part, except those specifically identified. 
A restricted CDL issued pursuant to this paragraph shall be accorded the 
same reciprocity as a CDL meeting all of the requirements of this part. 
The restrictions imposed upon the issuance of this restricted CDL shall 
not limit a person's use of the CDL in a non-CMV during either validated 
or non-validated periods, nor shall the CDL affect a State's power to 
administer its driver licensing program for operators of vehicles other 
than CMVs.
    (4) Restricted CDLs shall have the same renewal cycle as 
unrestricted CDLs, but shall be limited to the seasonal period of June 
30 through July 6 of each year or a lesser period as defined by the 
State of licensure.
    (5) Persons who operate commercial motor vehicles during the period 
from July 7 through June 29 for purposes of transporting less than 227 
kilograms (500 pounds) of fireworks classified as DOT Class 1.3G 
explosives in a vehicle with a GVWR of less than 4,537 kilograms (10,001 
pounds) and who also operate such vehicles for the same purposes during 
the period June 30 through July 6 shall not be issued a restricted CDL 
pursuant to this paragraph.
    (h) Exception for drivers of ``covered farm vehicles.'' The rules in 
this part do not apply to a driver of a ``covered farm vehicle,'' as 
defined in Sec.  390.5 of this chapter.
    (i) Hazardous materials endorsement exemption for certain drivers 
transporting diesel. A State may waive the requirement for a holder of a 
Class A commercial driver's license to obtain a hazardous materials 
endorsement under this part, if the license holder is:
    (1) Acting within the scope of the license holder's employment, and 
within the State of domicile (or another State with a hazardous 
materials endorsement exemption) as an employee of a custom harvester 
operation, agrichemical business, farm retail outlet and supplier, or 
livestock feeder; and
    (2) Operating a service vehicle that is:
    (i) Transporting diesel in a quantity of 3,785 liters (1,000 
gallons) or less; and
    (ii) Clearly marked with a ``flammable'' or ``combustible'' placard, 
as appropriate.

[61 FR 9564, Mar. 8, 1996, as amended at 61 FR 14679, Apr. 3, 1996; 62 
FR 1296, Jan. 9, 1997; 67 FR 49755, July 31, 2002; 67 FR 61821, Oct. 2, 
2002; 78 FR 16194, Mar. 14, 2013; 78 FR 58479, Sept. 24, 2013; 81 FR 
47720, July 22, 2016; 81 FR 68346, Oct. 4, 2016; 81 FR 71016, Oct. 14, 
2016]



Sec.  383.5  Definitions.

    As used in this part:
    Administrator means the Federal Motor Carrier Safety Administrator, 
the chief executive of the Federal Motor Carrier Safety Administration, 
an agency within the Department of Transportation.
    Alcohol or alcoholic beverage means:
    (1) Beer as defined in 26 U.S.C. 5052(a), of the Internal Revenue 
Code of 1954,
    (2) Wine of not less than one-half of one per centum of alcohol by 
volume, or
    (3) Distilled spirits as defined in section 5002(a)(8), of such 
Code.
    Alcohol concentration (AC) means the concentration of alcohol in a 
person's blood or breath. When expressed as a percentage it means grams 
of alcohol per 100 milliliters of blood or grams of alcohol per 210 
liters of breath.
    Alien means any person not a citizen or national of the United 
States.
    CDL downgrade means either:
    (1) A State allows the driver to change his or her self-
certification to interstate, but operating exclusively in transportation 
or operation excepted from part 391, as provided in Sec.  390.3(f), 
Sec.  391.2, Sec.  391.68 or Sec.  398.3 of this chapter;

[[Page 237]]

    (2) A State allows the driver to change his or her self-
certification to intrastate only, if the driver qualifies under that 
State's physical qualification requirements for intrastate only;
    (3) A State allows the driver to change his or her certification to 
intrastate, but operating exclusively in transportation or operations 
excepted from all or part of the State driver qualification 
requirements, or
    (4) A State removes the CDL privilege from the driver license.
    CDL driver means a person holding a CDL or a person required to hold 
a CDL.
    CDLIS driver record means the electronic record of the individual 
CDL driver's status and history stored by the State-of-Record as part of 
the Commercial Driver's License Information System (CDLIS) established 
under 49 U.S.C. 31309.
    Commerce means
    (1) Any trade, traffic or transportation within the jurisdiction of 
the United States between a place in a State and a place outside of such 
State, including a place outside of the United States, and
    (2) Trade, traffic, and transportation in the United States that 
affects any trade, traffic, and transportation described in paragraph 
(1) of this definition.
    Commercial driver's license (CDL) means a license issued to an 
individual by a State or other jurisdiction of domicile, in accordance 
with the standards contained in this part, which authorizes the 
individual to operate a class of a commercial motor vehicle.
    Commercial driver's license information system (CDLIS) means the 
CDLIS established by FMCSA pursuant to section 12007 of the Commercial 
Motor Vehicle Safety Act of 1986.
    Commercial learner's permit (CLP) means a permit issued to an 
individual by a State or other jurisdiction of domicile, in accordance 
with the standards contained in this part, which, when carried with a 
valid driver's license issued by the same State or jurisdiction, 
authorizes the individual to operate a class of a commercial motor 
vehicle when accompanied by a holder of a valid CDL for purposes of 
behind-the-wheel training. When issued to a CDL holder, a CLP serves as 
authorization for accompanied behind-the-wheel training in a CMV for 
which the holder's current CDL is not valid.
    Commercial motor vehicle (CMV) means a motor vehicle or combination 
of motor vehicles used in commerce to transport passengers or property 
if the motor vehicle is a--
    (1) Combination Vehicle (Group A)--having a gross combination weight 
rating or gross combination weight of 11,794 kilograms or more (26,001 
pounds or more), whichever is greater, inclusive of a towed unit(s) with 
a gross vehicle weight rating or gross vehicle weight of more than 4,536 
kilograms (10,000 pounds), whichever is greater; or
    (2) Heavy Straight Vehicle (Group B)--having a gross vehicle weight 
rating or gross vehicle weight of 11,794 or more kilograms (26,001 
pounds or more), whichever is greater; or
    (3) Small Vehicle (Group C) that does not meet Group A or B 
requirements but that either--
    (i) Is designed to transport 16 or more passengers, including the 
driver; or
    (ii) Is of any size and is used in the transportation of hazardous 
materials as defined in this section.
    Controlled substance has the meaning such term has under 21 U.S.C. 
802(6) and includes all substances listed on schedules I through V of 21 
CFR 1308 (Sec. Sec.  1308.11 through 1308.15), as they may be amended by 
the United States Department of Justice.
    Conviction means an unvacated adjudication of guilt, or a 
determination that a person has violated or failed to comply with the 
law in a court of original jurisdiction or by an authorized 
administrative tribunal, an unvacated forfeiture of bail or collateral 
deposited to secure the person's appearance in court, a plea of guilty 
or nolo contendere accepted by the court, the payment of a fine or court 
cost, or violation of a condition of release without bail, regardless of 
whether or not the penalty is rebated, suspended, or prorated.
    Disqualification means any of the following three actions:
    (1) The suspension, revocation, or cancellation of a CLP or CDL by 
the State or jurisdiction of issuance.

[[Page 238]]

    (2) Any withdrawal of a person's privileges to drive a CMV by a 
State or other jurisdiction as the result of a violation of State or 
local law relating to motor vehicle traffic control (other than parking, 
vehicle weight or vehicle defect violations).
    (3) A determination by the FMCSA that a person is not qualified to 
operate a commercial motor vehicle under part 391 of this subchapter.
    Driver applicant means an individual who applies to a State or other 
jurisdiction to obtain, transfer, upgrade, or renew a CDL or to obtain 
or renew a CLP.
    Driver's license means a license issued by a State or other 
jurisdiction, to an individual which authorizes the individual to 
operate a motor vehicle on the highways.
    Driving a commercial motor vehicle while under the influence of 
alcohol means committing any one or more of the following acts in a 
CMV--
    (1) Driving a CMV while the person's alcohol concentration is 0.04 
or more;
    (2) Driving under the influence of alcohol, as prescribed by State 
law; or
    (3) Refusal to undergo such testing as is required by any State or 
jurisdiction in the enforcement of Sec.  383.51(b) or Sec.  392.5(a)(2) 
of this subchapter.
    Electronic device includes, but is not limited to, a cellular 
telephone; personal digital assistant; pager; computer; or any other 
device used to input, write, send, receive, or read text.
    Eligible unit of local government means a city, town, borough, 
county, parish, district, or other public body created by or pursuant to 
State law which has a total population of 3,000 individuals or less.
    Employee means any operator of a commercial motor vehicle, including 
full time, regularly employed drivers; casual, intermittent or 
occasional drivers; leased drivers and independent, owner-operator 
contractors (while in the course of operating a commercial motor 
vehicle) who are either directly employed by or under lease to an 
employer.
    Employer means any person (including the United States, a State, 
District of Columbia or a political subdivision of a State) who owns or 
leases a commercial motor vehicle or assigns employees to operate such a 
vehicle.
    Endorsement means an authorization to an individual's CLP or CDL 
required to permit the individual to operate certain types of commercial 
motor vehicles.
    Fatality means the death of a person as a result of a motor vehicle 
accident.
    Felony means an offense under State or Federal law that is 
punishable by death or imprisonment for a term exceeding 1 year.
    Foreign means outside the fifty United States and the District of 
Columbia.
    Foreign commercial driver means an individual licensed to operate a 
commercial motor vehicle by an authority outside the United States, or a 
citizen of a foreign country who operates a commercial motor vehicle in 
the United States.
    Gross combination weight rating (GCWR) is the greater of:
    (1) A value specified by the manufacturer of the power unit, if such 
value is displayed on the Federal Motor Vehicle Safety Standard (FMVSS) 
certification label required by the National Highway Traffic Safety 
Administration, or
    (2) The sum of the gross vehicle weight ratings (GVWRs) or the gross 
vehicle weights (GVWs) of the power unit and the towed unit(s), or any 
combination thereof, that produces the highest value. Exception: The 
GCWR of the power unit will not be used to define a commercial motor 
vehicle when the power unit is not towing another vehicle.
    Gross vehicle weight rating (GVWR) means the value specified by the 
manufacturer as the loaded weight of a single vehicle.
    Hazardous materials means any material that has been designated as 
hazardous under 49 U.S.C. 5103 and is required to be placarded under 
subpart F of 49 CFR part 172 or any quantity of a material listed as a 
select agent or toxin in 42 CFR part 73.
    Imminent hazard means the existence of any condition of vehicle, 
employee, or commercial motor vehicle operations that substantially 
increases the likelihood of serious injury or death if not discontinued 
immediately; or a

[[Page 239]]

condition relating to hazardous material that presents a substantial 
likelihood that death, serious illness, severe personal injury, or a 
substantial endangerment to health, property, or the environment may 
occur before the reasonably foreseeable completion date of a formal 
proceeding begun to lessen the risk of that death, illness, injury or 
endangerment.
    Manual transmission (also known as a stick shift, stick, straight 
drive or standard transmission) means a transmission utilizing a driver-
operated clutch that is activated by a pedal or lever and a gear-shift 
mechanism operated either by hand or foot. All other transmissions, 
whether semi-automatic or automatic, will be considered automatic for 
the purposes of the standardized restriction code.
    Military service member means a member of the United States Army, 
Navy, Marine Corps, Air Force, and Coast Guard, and their associated 
reserve, and National Guard units.
    Military services means the United States Army, Navy, Marine Corps, 
Air Force, and Coast Guard, and their associated reserve and National 
Guard units.
    Mobile telephone means a mobile communication device that falls 
under or uses any commercial mobile radio service, as defined in 
regulations of the Federal Communications Commission, 47 CFR 20.3. It 
does not include two-way or Citizens Band Radio services.
    Motor vehicle means a vehicle, machine, tractor, trailer, or 
semitrailer propelled or drawn by mechanical power used on highways, 
except that such term does not include a vehicle, machine, tractor, 
trailer, semitrailer operated exclusively on a rail.
    Non-CDL means any other type of motor vehicle license, such as an 
automobile driver's license, a chauffeur's license, or a motorcycle 
license.
    Non-CMV means a motor vehicle or combination of motor vehicles not 
defined by the term ``commercial motor vehicle (CMV)'' in this section.
    Non-domiciled CLP or Non-domiciled CDL means a CLP or CDL, 
respectively, issued by a State or other jurisdiction under either of 
the following two conditions:
    (1) To an individual domiciled in a foreign country meeting the 
requirements of Sec.  383.23(b)(1).
    (2) To an individual domiciled in another State meeting the 
requirements of Sec.  383.23(b)(2).
    Out-of-service order means a declaration by an authorized 
enforcement officer of a Federal, State, Canadian, Mexican, or local 
jurisdiction that a driver, a commercial motor vehicle, or a motor 
carrier operation, is out-of-service pursuant to Sec. Sec.  386.72, 
392.5, 395.13, 396.9, or compatible laws, or the North American Uniform 
Out-of-Service Criteria.
    Representative vehicle means a motor vehicle which represents the 
type of motor vehicle that a driver applicant operates or expects to 
operate.
    School bus means a CMV used to transport pre-primary, primary, or 
secondary school students from home to school, from school to home, or 
to and from school-sponsored events. School bus does not include 
operations of a for-hire motor carrier.
    State means a State of the United States and the District of 
Columbia.
    State of domicile means that State where a person has his/her true, 
fixed, and permanent home and principal residence and to which he/she 
has the intention of returning whenever he/she is absent.
    Tank vehicle means any commercial motor vehicle that is designed to 
transport any liquid or gaseous materials within a tank or tanks having 
an individual rated capacity of more than 119 gallons and an aggregate 
rated capacity of 1,000 gallons or more that is either permanently or 
temporarily attached to the vehicle or the chassis. A commercial motor 
vehicle transporting an empty storage container tank, not designed for 
transportation, with a rated capacity of 1,000 gallons or more that is 
temporarily attached to a flatbed trailer is not considered a tank 
vehicle.
    Texting means manually entering alphanumeric text into, or reading 
text from, an electronic device.
    (1) This action includes, but is not limited to, short message 
service, emailing, instant messaging, a command or request to access a 
World Wide Web page, pressing more than a single

[[Page 240]]

button to initiate or terminate a voice communication using a mobile 
telephone, or engaging in any other form of electronic text retrieval or 
entry, for present or future communication.
    (2) Texting does not include:
    (i) Inputting, selecting, or reading information on a global 
positioning system or navigation system; or
    (ii) Pressing a single button to initiate or terminate a voice 
communication using a mobile telephone; or
    (iii) Using a device capable of performing multiple functions (e.g., 
fleet management systems, dispatching devices, smart phones, citizens 
band radios, music players, etc.) for a purpose that is not otherwise 
prohibited in this part.
    Third party skills test examiner means a person employed by a third 
party tester who is authorized by the State to administer the CDL skills 
tests specified in subparts G and H of this part.
    Third party tester means a person (including, but not limited to, 
another State, a motor carrier, a private driver training facility or 
other private institution, or a department, agency or instrumentality of 
a local government) authorized by the State to employ skills test 
examiners to administer the CDL skills tests specified in subparts G and 
H of this part.
    United States means the 50 States and the District of Columbia.
    Vehicle means a motor vehicle unless otherwise specified.
    Vehicle group means a class or type of vehicle with certain 
operating characteristics.

[52 FR 20587, June 1, 1987]

    Editorial Note: For Federal Register citations affecting Sec.  
383.5, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



Sec.  383.7  Validity of CDL issued by decertified State.

    A CDL issued by a State prior to the date the State is notified by 
the Administrator, in accordance with the provisions of Sec.  384.405 of 
this subchapter, that the State is prohibited from issuing CDLs, will 
remain valid until its stated expiration date.

[67 FR 49756, July 31, 2002]



                  Subpart B_Single License Requirement



Sec.  383.21  Number of drivers' licenses.

    No person who operates a commercial motor vehicle shall at any time 
have more than one driver's license.

[64 FR 48110, Sept. 2, 1999]



Sec.  383.23  Commercial driver's license.

    (a) General rule. (1) No person shall operate a commercial motor 
vehicle unless such person has taken and passed written and driving 
tests for a CLP or CDL that meet the Federal standards contained in 
subparts F, G, and H of this part for the commercial motor vehicle that 
person operates or expects to operate.
    (2) Except as provided in paragraph (b) of this section, no person 
may legally operate a CMV unless such person possesses a CDL which meets 
the standards contained in subpart J of this part, issued by his/her 
State or jurisdiction of domicile.
    (b) Exception. (1) If a CMV operator is not domiciled in a foreign 
jurisdiction that the Administrator has determined tests drivers and 
issues CDLs in accordance with, or under standards similar to, the 
standards contained in subparts F, G, and H of this part,\1\ the person 
may obtain a Non-domiciled CLP or Non-domiciled CDL from a State that 
does comply with the testing and licensing standards contained in such 
subparts F, G, and H of this

[[Page 241]]

part, so long as that person meets the requirements of Sec.  383.71(f).
---------------------------------------------------------------------------

    \1\ Effective December 29, 1988, the Administrator determined that 
commercial driver's licenses issued by Canadian Provinces and 
Territories in conformity with the Canadian National Safety Code are in 
accordance with the standards of this part. Effective November 21, 1991, 
the Administrator determined that the new Licencias Federales de 
Conductor issued by the United Mexican States are in accordance with the 
standards of this part. Therefore, under the single license provision of 
Sec.  383.21, a driver holding a commercial driver's license issued 
under the Canadian National Safety Code or a new Licencia Federal de 
Conductor issued by Mexico is prohibited from obtaining a non-domiciled 
CDL, or any other type of driver's license, from a State or other 
jurisdiction in the United States.
---------------------------------------------------------------------------

    (2) If an individual is domiciled in a State while that State is 
prohibited from issuing CDLs in accordance with Sec.  384.405 of this 
subchapter, that individual is eligible to obtain a Non-domiciled CLP or 
Non-domiciled CDL from any State that elects to issue a Non-domiciled 
CDL and which complies with the testing and licensing standards 
contained in subparts F, G, and H of this part, so long as that person 
meets the requirements of Sec.  383.71(f).
    (3) If an individual possesses a CLP, as defined in Sec.  383.5, the 
individual is authorized to operate a class of CMV as provided by the 
CLP in accordance with Sec.  383.25.

[76 FR 26878, May 9, 2011]



Sec.  383.25  Commercial learner's permit (CLP).

    (a) A CLP is considered a valid CDL for purposes of behind-the-wheel 
training on public roads or highways, if all of the following minimum 
conditions are met:
    (1) The CLP holder is at all times accompanied by the holder of a 
valid CDL who has the proper CDL group and endorsement(s) necessary to 
operate the CMV. The CDL holder must at all times be physically present 
in the front seat of the vehicle next to the CLP holder or, in the case 
of a passenger vehicle, directly behind or in the first row behind the 
driver and must have the CLP holder under observation and direct 
supervision.
    (2) The CLP holder holds a valid driver's license issued by the same 
jurisdiction that issued the CLP.
    (3) The CLP holder must have taken and passed a general knowledge 
test that meets the Federal standards contained in subparts F, G, and H 
of this part for the commercial motor vehicle that person operates or 
expects to operate.
    (4) The CLP holder must be 18 years of age or older.
    (5) Endorsements:
    (i) A CLP holder with a passenger (P) endorsement must have taken 
and passed the P endorsement knowledge test. A CLP holder with a P 
endorsement is prohibited from operating a CMV carrying passengers, 
other than Federal/State auditors and inspectors, test examiners, other 
trainees, and the CDL holder accompanying the CLP holder as prescribed 
by paragraph (a)(1) of this section. The P endorsement must be class 
specific.
    (ii) A CLP holder with a school bus (S) endorsement must have taken 
and passed the S endorsement knowledge test. A CLP holder with an S 
endorsement is prohibited from operating a school bus with passengers 
other than Federal/State auditors and inspectors, test examiners, other 
trainees, and the CDL holder accompanying the CLP holder as prescribed 
by paragraph (a)(1) of this section.
    (iii) A CLP holder with a tank vehicle (N) endorsement must have 
taken and passed the N endorsement knowledge test. A CLP holder with an 
N endorsement may only operate an empty tank vehicle and is prohibited 
from operating any tank vehicle that previously contained hazardous 
materials that has not been purged of any residue.
    (iv) All other Federal endorsements are prohibited on a CLP.
    (6) The CLP holder does not operate a commercial motor vehicle 
transporting hazardous materials as defined in Sec.  383.5.
    (b) The CLP must be a separate document from the CDL or non-CDL.
    (c) The CLP must be valid for no more than 180 days from the date of 
issuance. The State may renew the CLP for an additional 180 days without 
requiring the CLP holder to retake the general and endorsement knowledge 
tests.
    (d) The issuance of a CLP is a precondition to the initial issuance 
of a CDL. The issuance of a CLP is also a precondition to the upgrade of 
a CDL if the upgrade requires a skills test.
    (e) The CLP holder is not eligible to take the CDL skills test in 
the first 14 days after initial issuance of the CLP.

[76 FR 26879, May 9, 2011]

[[Page 242]]



    Subpart C_Notification Requirements and Employer Responsibilities



Sec.  383.31  Notification of convictions for driver violations.

    (a) Except as provided in paragraph (d) of this section, each person 
who operates a commercial motor vehicle, who has a commercial learner's 
permit or commercial driver's license issued by a State or jurisdiction, 
and who is convicted of violating, in any type of motor vehicle, a State 
or local law relating to motor vehicle traffic control (other than a 
parking violation) in a State or jurisdiction other than the one which 
issued his/her permit or license, shall notify an official designated by 
the State or jurisdiction which issued such permit or license, of such 
conviction. The notification must be made within 30 days after the date 
that the person has been convicted.
    (b) Each person who operates a commercial motor vehicle, who has a 
commercial driver's license issued by a State or jurisdiction, and who 
is convicted of violating, in any type of motor vehicle, a State or 
local law relating to motor vehicle traffic control (other than a 
parking violation), shall notify his/her current employer of such 
conviction. The notification must be made within 30 days after the date 
that the person has been convicted. If the driver is not currently 
employed, he/she must notify the State or jurisdiction which issued the 
license according to Sec.  383.31(a).
    (c) Notification. The notification to the State official and 
employer must be made in writing and contain the following information:
    (1) Driver's full name;
    (2) Driver's license number;
    (3) Date of conviction;
    (4) The specific criminal or other offense(s), serious traffic 
violation(s), and other violation(s) of State or local law relating to 
motor vehicle traffic control, for which the person was convicted and 
any suspension, revocation, or cancellation of certain driving 
privileges which resulted from such conviction(s);
    (5) Indication whether the violation was in a commercial motor 
vehicle;
    (6) Location of offense; and
    (7) Driver's signature.
    (d) A person is considered to be in compliance with the requirements 
of paragraph (a) of this section if the conviction occurs in a State or 
jurisdiction that is in substantial compliance with 49 CFR 384.209 and 
has not been de-certified in accordance with 49 CFR 384.405.

[52 FR 20587, June 1, 1987, as amended at 54 FR 40787, Oct. 3, 1989; 78 
FR 24688, Apr. 26, 2013]



Sec.  383.33  Notification of driver's license suspensions.

    Each employee who has a driver's license suspended, revoked, or 
canceled by a State or jurisdiction, who loses the right to operate a 
commercial motor vehicle in a State or jurisdiction for any period, or 
who is disqualified from operating a commercial motor vehicle for any 
period, shall notify his/her current employer of such suspension, 
revocation, cancellation, lost privilege, or disqualification. The 
notification must be made before the end of the business day following 
the day the employee received notice of the suspension, revocation, 
cancellation, lost privilege, or disqualification.

[54 FR 40788, Oct. 3, 1989]



Sec.  383.35  Notification of previous employment.

    (a) Any person applying for employment as an operator of a 
commercial motor vehicle shall provide at the time of application for 
employment, the information specified in paragraph (c) of this section.
    (b) All employers shall request the information specified in 
paragraph (c) of this section from all persons applying for employment 
as a commercial motor vehicle operator. The request shall be made at the 
time of application for employment.
    (c) The following employment history information for the 10 years 
preceding the date the application is submitted shall be presented to 
the prospective employer by the applicant:
    (1) A list of the names and addresses of the applicant's previous 
employers for which the applicant was an operator of a commercial motor 
vehicle;
    (2) The dates the applicant was employed by these employers; and

[[Page 243]]

    (3) The reason for leaving such employment.
    (d) The applicant shall certify that all information furnished is 
true and complete.
    (e) An employer may require an applicant to provide additional 
information.
    (f) Before an application is submitted, the employer shall inform 
the applicant that the information he/she provides in accordance with 
paragraph (c) of this section may be used, and the applicant's previous 
employers may be contacted for the purpose of investigating the 
applicant's work history.



Sec.  383.37  Employer responsibilities.

    No employer may allow, require, permit, or authorize a driver to 
operate a CMV in the United States if he or she knows or should 
reasonably know that any of the following circumstances exist:
    (a) During any period in which the driver does not have a current 
CLP or CDL or does not have a CLP or CDL with the proper class or 
endorsements. An employer may not use a driver to operate a CMV who 
violates any restriction on the driver's CLP or CDL.
    (b) During any period in which the driver has a CLP or CDL 
disqualified by a State, has lost the right to operate a CMV in a State, 
or has been disqualified from operating a CMV.
    (c) During any period in which the driver has more than one CLP or 
CDL.
    (d) During any period in which the driver, or the CMV he/she is 
driving, or the motor carrier operation, is subject to an out-of-service 
order.
    (e) In violation of a Federal, State, or local law or regulation 
pertaining to railroad-highway grade crossings.

[76 FR 26879, May 9, 2011, as amended at 78 FR 60231, Oct. 1, 2013]



            Subpart D_Driver Disqualifications and Penalties



Sec.  383.51  Disqualification of drivers.

    (a) General. (1) A person required to have a CLP or CDL who is 
disqualified must not drive a CMV.
    (2) An employer must not knowingly allow, require, permit, or 
authorize a driver who is disqualified to drive a CMV.
    (3) A holder of a CLP or CDL is subject to disqualification 
sanctions designated in paragraphs (b) and (c) of this section, if the 
holder drives a CMV or non-CMV and is convicted of the violations listed 
in those paragraphs.
    (4) Determining first and subsequent violations. For purposes of 
determining first and subsequent violations of the offenses specified in 
this subpart, each conviction for any offense listed in Tables 1 through 
4 to this section resulting from a separate incident, whether committed 
in a CMV or non-CMV, must be counted.
    (5) The disqualification period must be in addition to any other 
previous periods of disqualification.
    (6) Reinstatement after lifetime disqualification. A State may 
reinstate any driver disqualified for life for offenses described in 
paragraphs (b)(1) through (8) of this section (Table 1 to Sec.  383.51) 
after 10 years, if that person has voluntarily entered and successfully 
completed an appropriate rehabilitation program approved by the State. 
Any person who has been reinstated in accordance with this provision and 
who is subsequently convicted of a disqualifying offense described in 
paragraphs (b)(1) through (8) of this section (Table 1 to Sec.  383.51) 
must not be reinstated.
    (7) A foreign commercial driver is subject to disqualification under 
this subpart.
    (b) Disqualification for major offenses. Table 1 to Sec.  383.51 
contains a list of the offenses and periods for which a person who is 
required to have a CLP or CDL is disqualified, depending upon the type 
of vehicle the driver is operating at the time of the violation, as 
follows:

[[Page 244]]



                                                                Table 1 to Sec.   383.51
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                          For a first            For a second
                                                                                     conviction or refusal  conviction or refusal       For a second
                                     For a first conviction                            to be tested while     to be tested in a    conviction or refusal
                                        or refusal to be     For a first conviction     operating a CMV      separate incident of    to be tested in a
                                     tested while operating     or refusal to be          transporting        any combination of    separate incident of
                                         a CMV, a person     tested while operating   hazardous materials      offenses in this      any combination of
    If a driver operates a motor     required to have a CLP    a non-CMV, a CLP or     as defined in Sec.   Table while operating     offenses in this
    vehicle and is convicted of:       or CDL and a CLP or     CDL holder must be       383.5, a person        a CMV, a person     Table while operating
                                       CDL holder must be       disqualified from      required to have a     required to have a    a non-CMV, a CLP or
                                        disqualified from     operating a CMV for *   CLP or CDL and a CLP   CLP or CDL and a CLP    CDL holder must be
                                      operating a CMV for *            * *           or CDL holder must be  or CDL holder must be    disqualified from
                                               * *                                     disqualified from      disqualified from    operating a CMV for *
                                                                                     operating a CMV for *  operating a CMV for *           * *
                                                                                              * *                    * *
--------------------------------------------------------------------------------------------------------------------------------------------------------
(1) Being under the influence of     1 year................  1 year................  3 years..............  Life.................  Life.
 alcohol as prescribed by State law
 * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(2) Being under the influence of a   1 year................  1 year................  3 years..............  Life.................  Life.
 controlled substance * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(3) Having an alcohol concentration  1 year................  Not applicable........  3 years..............  Life.................  Not applicable.
 of 0.04 or greater while operating
 a CMV * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(4) Refusing to take an alcohol      1 year................  1 year................  3 years..............  Life.................  Life.
 test as required by a State or
 jurisdiction under its implied
 consent laws or regulations as
 defined in Sec.   383.72 of this
 part * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(5) Leaving the scene of an          1 year................  1 year................  3 years..............  Life.................  Life.
 accident * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(6) Using the vehicle to commit a    1 year................  1 year................  3 years..............  Life.................  Life.
 felony, other than a felony
 described in paragraph (b)(9) of
 this table * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(7) Driving a CMV when, as a result  1 year................  Not applicable........  3 years..............  Life.................  Not applicable.
 of prior violations committed
 operating a CMV, the driver's CLP
 or CDL is revoked, suspended, or
 canceled, or the driver is
 disqualified from operating a CMV.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(8) Causing a fatality through the   1 year................  Not applicable........  3 years..............  Life.................  Not applicable.
 negligent operation of a CMV,
 including but not limited to the
 crimes of motor vehicle
 manslaughter, homicide by motor
 vehicle and negligent homicide.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(9) Using the vehicle in the         Life-not eligible for   Life-not eligible for   Life-not eligible for  Life-not eligible for  Life-not eligible for
 commission of a felony involving     10-year reinstatement.  10-year reinstatement.  10-year                10-year                10-year
 manufacturing, distributing, or                                                      reinstatement.         reinstatement.         reinstatement
 dispensing a controlled substance
 * * *.
--------------------------------------------------------------------------------------------------------------------------------------------------------

    (c) Disqualification for serious traffic violations. Table 2 to 
Sec.  383.51 contains a list of the offenses and the periods for which a 
person who is required to have a CLP or CDL is disqualified, depending 
upon the type of vehicle the driver is operating at the time of the 
violation, as follows:

[[Page 245]]



                                            Table 2 to Sec.   383.51
----------------------------------------------------------------------------------------------------------------
                                                                                                For a third or
                                                         For a second                             subsequent
                                                       conviction of any                       conviction of any
                                                        combination of                          combination of
                                     For a second      offenses in this     For a third or     offenses in this
                                   conviction of any      Table in a          subsequent          Table in a
                                    combination of     separate incident   conviction of any   separate incident
                                   offenses in this     within a 3-year     combination of      within a 3-year
                                      Table in a         period while      offenses in this      period while
                                   separate incident   operating a non-       Table in a       operating a non-
                                    within a 3-year    CMV, a CLP or CDL   separate incident   CMV, a CLP or CDL
 If the driver operates a motor      period while       holder must be      within a 3-year     holder must be
  vehicle and is convicted of:    operating a CMV, a   disqualified from     period while      disqualified from
                                  person required to   operating a CMV,   operating a CMV, a   operating a CMV,
                                   have a CLP or CDL   if the conviction  person required to   if the conviction
                                   and a CLP or CDL     results in the     have a CLP or CDL    results in the
                                    holder must be        revocation,      and a CLP or CDL       revocation,
                                   disqualified from   cancellation, or     holder must be     cancellation, or
                                    operating a CMV    suspension of the   disqualified from   suspension of the
                                       for * * *          CLP or CDL        operating a CMV       CLP or CDL
                                                       holder's license        for * * *       holder's license
                                                      or non-CMV driving                      or non-CMV driving
                                                       privileges, for *                       privileges, for *
                                                              * *                                     * *
----------------------------------------------------------------------------------------------------------------
(1) Speeding excessively,         60 days...........  60 days...........  120 days..........  120 days.
 involving any speed of 24.1
 kmph (15 mph) or more above the
 regulated or posted speed limit.
(2) Driving recklessly, as        60 days...........  60 days...........  120 days..........  120 days.
 defined by State or local law
 or regulation, including but,
 not limited to, offenses of
 driving a motor vehicle in
 willful or wanton disregard for
 the safety of persons or
 property.
(3) Making improper or erratic    60 days...........  60 days...........  120 days..........  120 days.
 traffic lane changes.
(4) Following the vehicle ahead   60 days...........  60 days...........  120 days..........  120 days.
 too closely.
(5) Violating State or local law  60 days...........  60 days...........  120 days..........  120 days.
 relating to motor vehicle
 traffic control (other than a
 parking violation) arising in
 connection with a fatal
 accident.
(6) Driving a CMV without         60 days...........  Not applicable....  120 days..........  Not applicable.
 obtaining a CLP or CDL.
(7) Driving a CMV without a CLP   60 days...........  Not applicable....  120 days..........  Not applicable.
 or CDL in the driver's
 possession \1\.
(8) Driving a CMV without the     60 days...........  Not applicable....  120 days..........  Not applicable.
 proper class of CLP or CDL and/
 or endorsements for the
 specific vehicle group being
 operated or for the passengers
 or type of cargo being
 transported.
(9) Violating a State or local    60 days...........  Not applicable....  120 days..........  Not applicable.
 law or ordinance on motor
 vehicle traffic control
 prohibiting texting while
 driving a CMV.\2\.

[[Page 246]]

 
(10) Violating a State or local   60 days...........  Not applicable....  120 days..........  Not applicable.
 law or ordinance on motor
 vehicle traffic control
 restricting or prohibiting the
 use of a hand-held mobile
 telephone while driving a
 CMV.\2\.
----------------------------------------------------------------------------------------------------------------
\1\Any individual who provides proof to the enforcement authority that issued the citation, by the date the
  individual must appear in court or pay any fine for such a violation, that the individual held a valid CLP or
  CDL on the date the citation was issued, shall not be guilty of this offense.
\2\ Driving, for the purpose of this disqualification, means operating a commercial motor vehicle on a highway,
  including while temporarily stationary because of traffic, a traffic control device, or other momentary
  delays. Driving does not include operating a commercial motor vehicle when the driver has moved the vehicle to
  the side of, or off, a highway and has halted in a location where the vehicle can safely remain stationary.

    (d) Disqualification for railroad-highway grade crossing offenses. 
Table 3 to Sec.  383.51 contains a list of the offenses and the periods 
for which a person who is required to have a CLP or CDL is disqualified, 
when the driver is operating a CMV at the time of the violation, as 
follows:

                                            Table 3 to Sec.   383.51
----------------------------------------------------------------------------------------------------------------
                                                                                       For a third or subsequent
                                                           For a second conviction of      conviction of any
                                                               any combination of       combination of offenses
                                For a first conviction a    offenses in this Table in      in this Table in a
If the driver is convicted of   person required to have a  a separate incident within   separate incident within
 operating a CMV in violation    CLP or CDL and a CLP or    a 3-year period, a person  a 3-year period, a person
 of a Federal, State or local      CDL holder must be       required to have a CLP or  required to have a CLP or
      law because * * *.            disqualified from         CDL and a CLP or CDL        CDL and a CLP or CDL
                                operating a CMV for * * *        holder must be              holder must be
                                                                disqualified from          disqualified from
                                                            operating a CMV for * * *  operating a CMV for * * *
----------------------------------------------------------------------------------------------------------------
(1) The driver is not          No less than 60 days......  No less than 120 days.....  No less than 1 year.
 required to always stop, but
 fails to slow down and check
 that tracks are clear of an
 approaching train * * *.
----------------------------------------------------------------------------------------------------------------
(2) The driver is not          No less than 60 days......  No less than 120 days.....  No less than 1 year.
 required to always stop, but
 fails to stop before
 reaching the crossing, if
 the tracks are not clear * *
 *.
----------------------------------------------------------------------------------------------------------------
(3) The driver is always       No less than 60 days......  No less than 120 days.....  No less than 1 year.
 required to stop, but fails
 to stop before driving onto
 the crossing * * *.
----------------------------------------------------------------------------------------------------------------
(4) The driver fails to have   No less than 60 days......  No less than 120 days.....  No less than 1 year.
 sufficient space to drive
 completely through the
 crossing without stopping *
 * *.
----------------------------------------------------------------------------------------------------------------

[[Page 247]]

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

    (e) Disqualification for violating out-of-service orders. Table 4 to 
Sec.  383.51 contains a list of the offenses and periods for which a 
person who is required to have a CLP or CDL is disqualified when the 
driver is operating a CMV at the time of the violation, as follows:

                                            TABLE 4 TO Sec.   383.51
----------------------------------------------------------------------------------------------------------------
                                                                For a second conviction       For a third or
                                                                 in a separate incident   subsequent conviction
                                        For a first conviction  within a 10-year period   in a separate incident
                                        while operating a CMV,   while operating a CMV,  within a 10-year period
                                         a person required to     a person required to    while operating a CMV,
 If the driver operates a CMV and is   have a CLP or CDL and a  have a CLP or CDL and a    a person required to
          convicted of * * *            CLP or CDL holder must   CLP or CDL holder must  have a CLP or CDL and a
                                         be disqualified from     be disqualified from    CLP or CDL holder must
                                       operating a CMV for * *  operating a CMV for * *    be disqualified from
                                                  *                        *             operating a CMV for * *
                                                                                                    *
----------------------------------------------------------------------------------------------------------------
(1) Violating a driver or vehicle out- No less than 180 days    No less than 2 years or  No less than 3 years or
 of-service order while transporting    or more than 1 year.     more than 5 years.       more than 5 years.
 nonhazardous materials.
(2) Violating a driver or vehicle out- No less than 180 days    No less than 3 years or  No less than 3 years or
 of-service order while transporting    or more than 2 years.    more than 5 years.       more than 5 years.
 hazardous materials as defined in
 Sec.   383.5, or while operating a
 vehicle designed to transport 16 or
 more passengers, including the
 driver.
----------------------------------------------------------------------------------------------------------------


[67 FR 49756, July 31, 2002, as amended at 68 FR 4396, Jan. 29, 2003; 72 
FR 36787, July 5, 2007; 75 FR 59134,